A broker-dealer firm and its CEO settled SEC charges for enabling Ukraine-based customers to conduct a manipulative trading scheme.
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The Federal Reserve Board finalized rules that will tailor the application of prudential standards to U.S. bank holding companies and apply enhanced standards to certain large savings and loan holding companies.
The SEC proposal to rescind certain exceptions concerning national market system plan fee changes was published in the Federal Register. Comments must be submitted by December 10, 2019.
The Federal Reserve Board, OCC and FDIC joint final rule exempting residential real estate transactions of $400,000 or less from appraisal requirements was published in the Federal Register.
In its Semi-Annual Report to Congress, the CFPB highlighted significant problems faced by consumers between October 1, 2018 and March 31, 2019.