FINRA advised member firms not to "close or withdraw" any existing branch office registration form for those locations that are or will be designated as a "residential supervisory location."

A global commodities firm settled CFTC charges for (i) misappropriating material nonpublic information, (ii) engaging in manipulative conduct and (iii) using non-disclosure agreements to limit the ability of employees to voluntary communicate with the CFTC.

The Financial Crimes Enforcement Network reminded financial institutions to "remain vigilant" in identifying and reporting suspicious activity related to elder financial exploitation.

The CFPB is seeking a $3.95 million penalty for alleged violations of a 2019 Consent Order concerning the filing of false mortgage data by a Florida-based nonbank mortgage lender.

Recently, the European Union's financial markets regulator and supervisor, the European Securities and Markets Authority (ESMA), issued a statement providing initial guidance for firms that use artificial intelligence (AI) technologies when providing investment services to retail clients.