A broker-dealer settled FINRA charges for failing to timely deliver customer relationship summaries to retail customers and failing to have adequate written supervisory procedures to ensure compliance with Regulation Best Interest.

A broker-dealer settled FINRA charges for failure to establish written and supervisory procedures to ensure compliance with Regulation Best Interest and customer relationship summary requirements.

The FDIC set a comment deadline of July 21, 2023 for proposed special assessments to recover losses to the Deposit Insurance Fund that resulted from the FDIC making whole all uninsured depositors of Silicon Valley Bank and Signature Bank.

ISDA warned of the “destabilizing impact” of an SEC proposal to expand requirements for investment advisers regarding the custody of funds and securities for derivatives markets.

The American Bankers Association with several other trade associations urged the White House's Office of Information and Regulatory Affairs to reject the CFPB's request for approval of its "Junk Fees Timing Study" information collection.