A broker-dealer settled FINRA charges for failing to establish controls and supervisory procedures reasonably designed to ensure compliance with the Market Access Rule.
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SIFMA, the American Bankers Association and the Financial Services Forum urged the Federal Reserve Board to extend a temporary interim final rule amending the Supplementary Leverage Ratio.
A firm settled FINRA charges for introducing representatives the firm was recruiting to a third-party vendor so as to obtain customer nonpublic personal information, in violation of the privacy policies of the representatives' previous employers.
The U.S. House Financial Services Subcommittee on Oversight and Investigations considered proposed legislation that would bolster the CFPB's enforcement against discrimination by lenders.
The Financial Accounting Standards Board proposed two Implementation Guides for the 2021 U.S. GAAP Financial Reporting Taxonomy.