An investment adviser settled SEC charges for failing to fully disclose compensation paid to its affiliated broker-dealer for certain mutual fund transactions and related conflicts of interest.
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An investment adviser settled SEC charges for disclosure and conflict of interest violations related to mutual fund share classes offered through a no-transaction fee program in wrap accounts.
At a "National Native Coalition listening session," Federal Reserve Board Vice Chair Lael Brainard described potential benefits of proposed revisions to the Community Reinvestment Act.
The CFPB extended the comment period for a Request for Information ("RFI") on obstacles that prevent consumers from having high-quality interactions with large depository institutions.
The FTC charged a retail corporation with failing to take appropriate and effective measures in a timely fashion to detect and prevent fraud in the processing of money transfers sent and received by consumers at store locations.