A firm settled FINRA charges for "inaccurately report[ing] transactions in TRACE-Eligible Securities without the required 'No Remuneration' indicator."

A controlling shareholder and his publicly traded company settled SEC charges for failing to disclose material information concerning pledges of company securities that were used as collateral "to secure personal margin loans."

Norton Rose Fulbright's Global Asset Management Review features a collection of articles from partners and other senior practitioners active in the funds, asset management and financial services regulation space. These articles will focus on some of the key regulatory, market and transactional developments across a range of core global jurisdictions.

In response to a Treasury Department Request for Information on the impact of AI on the financial sector, Republican leaders of the House Financial Services Committee "committed to fostering an environment where AI can thrive, while protecting consumers and maintaining market integrity."

CFPB Director Rohit Chopra reported that the "Buy Now, Pay Later" industry responded "favorably and constructively" to a recent CFPB interpretive rule on how "existing federal laws and regulations, like the Truth in Lending Act and Regulation Z, apply to BNPL loans."