In testimony before the House Financial Services Committee, OCC Comptroller Joseph M. Otting defended proposed amendments to the Community Reinvestment Act designed to encourage banks to provide more qualified lending, investment and services.
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The MSRB proposed amendments to a rule on Board membership in order to improve governance.
A mutual fund and its CEO settled CFTC and SEC charges for making materially misleading statements regarding the fund's risk management practices.
The CFTC became the first federal agency to adopt the National Institute of Standards and Technology Privacy Framework.
NFA reminded member firms that January 31, 2020 is the effective date to be in compliance with swaps proficiency requirements.