A broker-dealer settled FINRA charges for attempting to influence the market for securities offered by the firm’s corporate affiliates and investment banking clients.
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A broker-dealer settled FINRA charges for failing to conduct reasonable due diligence in connection with a private-placement offering and for failing to maintain the minimum net capital required to operate as a securities business.
Comments are due by July 21, 2022 on a CFPB Request for Information concerning the quality of customer service at big banks. The notice was published in the Federal Register.
The CFPB requested data and customer input regarding obstacles that may prevent consumers from receiving (i) high levels of customer service and (ii) high-quality interaction with large depository institutions.
The Federal Reserve Board, the FDIC and the OCC solicited comments on proposed amendments to Community Reinvestment Act regulations. Comments are due by August 5, 2022. The notice was published in the Federal Register.