FINRA proposed extending temporary relief to allow firms to satisfy their office and location inspection requirements remotely through the first half of calendar year 2024.

An investment adviser settled charges with the SEC for (i) misleading investors as to its ESG-related practices and (ii) failing to implement an AML program specific to its mutual funds business.

The SEC declared effective a new interim fingerprint plan for FINRA. FINRA filed the new plan after retiring its previous processing platform because of technological changes.

A multinational telecommunications and internet service provider settled charges with the SEC for making materially misleading statements and omissions regarding "cost-of-revenue" in its annual, quarterly and current reports.

FDIC Vice Chair Travis Hill expressed concern that "an overreaction is underway" from regulators in response to the bank failures in March 2023.