Federal Reserve Board Governor Michelle W. Bowman addressed the need for a “transparent regulatory posture” in order to foster innovation in the banking system and address concurrent risk.
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A CFTC-registered futures commission merchant ("FCM") settled NFA charges for recordkeeping, reporting, disclosure and supervision failures.
A broker-dealer settled FINRA charges for failing to properly manage its market access services.
A broker-dealer settled NYSE charges for failing to implement adequate credit limit and erroneous order controls.
A broker-dealer settled FINRA charges for failing to preserve business-related text messages sent by its registered representatives on firm-issued iPhones using Apple's iPhone-to-iPhone messaging system.