A broker dealer settled SEC charges for failing to investigate and file suspicious activity reports on hundreds of customer transactions which raised "red flags" according to the broker dealer’s own procedures.

At an SEC Investor Advisory Committee meeting, regulators, academics and market participants examined (i) the disparity in growth between the private and public markets, (ii) oversight of investment advisers and related custody rules, and (iii) a recent rule proposal regarding open-end fund liquidity risk management and swing pricing.

In a newly-released compliance note, the DOJ, Office of Foreign Assets ("OFAC") and the U.S. Department of Commerce Bureau of Industry and Security ("BIS") outlined red flags that U.S. entities should be on the lookout for, and which may signify efforts to evade Russia-related sanctions.

Based on 2022 survey data and credit bureau records, the CFPB reviewed the financial profiles of Buy Now, Pay Later borrowers.

The New York Attorney General proposed several rules aimed at protecting consumers against price gouging by sellers following market disruptions.