A broker-dealer settled FINRA charges for supervisory failures, unsuitable short-term trading, excessive commissions and overcharges.
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21984 News Results
FINRA provided clarification to member firms on reviewing, adjusting and responding to their "Final Statements" and renewal reports.
The Federal Reserve Board, the FDIC and the OCC provided time-limited no-action relief to asset managers and other institutions from certain regulations that limit extensions of credit to "insiders."
Regulation Best Interest significantly expands the obligations that broker-dealers owe to retail investors. To assist in navigating these new requirements, the Cabinet produced four new Retail Best Interest Topic Pages.
The banking agencies adjusted the asset-size thresholds used to define small and intermediate small banks and savings associations under the Community Reinvestment Act.