An investment adviser settled SEC charges for failing to disclose that it transferred the majority of its highest-performing traders from its client hedge fund to a proprietary fund.

The Federal Reserve Board adopted a final rule that raises the threshold on fee assessments for bank holding companies and savings and loan holding companies.

The largest nonbank mortgage servicer in the United States reached concurrent settlements with the CFPB, state attorneys general and state bank regulators concerning allegations of unfair and deceptive mortgage loan servicing practices.

A firm settled FINRA charges for failing to review "sensitive information" contained in electronic communications made by certain associated persons involved in the firm's securities business.

NFA updated reporting Form PQR to conform to recent CFTC amendments to Form CPO-PQR.