The SEC awarded over $500,000 to a whistleblower for providing original information that led to a successful enforcement and aided in stopping an ongoing fraudulent scheme.
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Financial Stability Board Chair Randal K. Quarles identified nonbank financial intermediation, money market funds and cross-border payments as the FSB's priority areas for 2021.
On March 31, 2021, New York State Governor Andrew Cuomo signed into law a bill legalizing the recreational cultivation, possession, distribution, sale and use of cannabis for individuals aged twenty-one or older.
A firm, its chief compliance officer and one of its supervisors settled FINRA charges for supervisory failures relating to unsuitable recommendations made by one of the firm's representatives.
A Federal Reserve Board, CFPB, FDIC, National Credit Union Administration and OCC request for information and comments on financial institutions' use of artificial intelligence and machine learning was published in the Federal Register.