FINRA highlighted practices which firms found effective for mitigating risks associated with customer account takeovers.
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In its May 2021 Financial Stability Report, the Federal Reserve Board reviewed current conditions that may reflect vulnerabilities to the stability of the financial system.
At a Federalist Society Conference, FDIC Chair Jelena McWilliams described agency policy on alternative data, artificial intelligence, rapid prototyping and FinTech partnerships, and said the FDIC will issue a request for information about bank activities and digital assets.
SEC Division of Investment Management staff cautioned investors on the risks of purchasing mutual funds that take positions in the Bitcoin futures market.
A broker-dealer operating primarily in the retirement services market settled SEC charges for failing to file suspicious activity reports and to include certain required information in the reports that it filed.