A broker-dealer that sells mutual funds and variable products settled charges with FINRA for failing to supervise the outside business activities of its registered representatives.
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The CFPB reviewed federal student loan servicing practices since required repayments have resumed.
The CFTC set a comment deadline of February 16, 2024 for a proposed rule to enhance protection of funds and assets owned by clearing members of a DCOs.
FDIC Director Jonathan McKernan expressed skepticism on the Basel Committee's proposed "endgame" for capital standards.
SEC Commissioner Mark T. Uyeda was sworn into office for a second term. His new term on the Commission expires in 2028.