A broker-dealer settled FINRA charges for over-tendering shares into a partial tender offer.

The CFPB intends to issue a proposed rulemaking this year on "consumer-authorized access to financial records."

A broker-dealer settled FINRA charges for conduct failures while acting as a placement agent on behalf of an issuer for a contingency offering of securities.

A broker-dealer settled FINRA charges for reporting inaccuracies and submission failures to the Order Audit Trail System.

The SEC and the FDIC finalized a rule governing the orderly liquidation of "covered broker-dealers."