FINRA proposed amendments to arbitration and mediation rules concerning representation before FINRA's Dispute Resolution Services forum.

A Florida-based company settled Department of Justice and Small Business Administration charges for conspiring to fraudulently obtain loan funds provided under the Paycheck Protection Program.

The Federal Trade Commission proposed a new rule to combat "junk fees." The CFPB issued an advisory opinion clarifying financial institution obligations to respond to consumers' account requests and provide information on fees and charges.

The SEC set an effective date of December 11, 2023 for rule amendments that prevent investment companies from adopting names that may mislead investors. The date was published in the Federal Register.