The Senate Banking Committee considered testimony on legislative options for holding bank executives and regulators accountable following the failures of Silicon Valley Bank and Signature Bank.
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FINRA set an effective date of June 1, 2023 for amendments to rules on the disclosure of BrokerCheck's designation of "Restricted Firms."
SIFMA and FIA urged the FTC not to adopt its proposed "Non-Compete Clause Rule," which would effectively prevent employers from implementing non-compete clauses.
The SEC granted "accelerated approval" of a FINRA rule proposal, as modified by "Amendments Nos. 1 and 2," to change the process relating to the expungement of customer dispute information in FINRA's Codes of Arbitration Procedure.
The Congressional Research Service identified legislative policy options in light of news that executives of Silicon Valley Bank reaped “significant financial rewards” before the bank's failure.