Staff of the SEC Division of Examinations intend to expand the scope of future Regulation Best Interest examinations and conduct enhanced transaction testing.
News & Insights
21984 News Results
A firm settled FINRA charges for failing to supervise its representatives' recommendations regarding variable annuities, mutual funds and 529 plans.
FinCEN proposed a rule that would impose reporting, recordkeeping and identity verification requirements on banks and money service businesses in connection with transactions that involve certain convertible virtual currency and digital assets with legal tender status.
In an Annual Report, the SEC Office of Credit Ratings reviewed the state of competition among nationally recognized statistical rating organizations; in a related summary report, the Office of Credit Ratings reviewed NRSRO examinations.
The CFPB amended its regulations under the Fair Debt Collection Practices Act to clarify certain restrictions and address predatory debt collection practices.