FinCEN renewed a Geographic Targeting Order requiring title insurance companies to collect and report beneficial ownership information for certain real estate purchases.
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21980 News Results
The SEC Office of Compliance Inspections and Examinations identified compliance deficiencies and weaknesses observed in recent examinations of registered investment companies.
The OCC named Kevin Greenfield as the Deputy Comptroller for Operational Risk.
The CFTC and DOJ settled charges with a proprietary trading firm for engaging in spoofing in equity futures contracts over a two-year period.
A broker-dealer settled FINRA charges for share-class recommendations that resulted in clients paying excess fees on their investments.