A broker-dealer settled FINRA charges for failing to maintain adequate market access risk management controls.

In an Annual Report covering 2022, the CFPB Office of Servicemember Affairs analyzed complaints submitted by servicemembers, veterans and their families.

FDIC Chair Martin J. Gruenberg announced that the FDIC, the Federal Reserve Board and the OCC plan to issue a joint proposed rulemaking in the near term to incorporate the finalization of the Basel III capital framework.

A public accounting firm settled SEC charges for systemic quality control failures and professional standards violations for audit work performed on special purpose acquisition companies.

The House Financial Services Committee marked up legislation offered by Democrats to advance targeted reforms in response to the failures of Silicon Valley Bank, Signature Bank and First Republic Bank.