In an Advisory Opinion, the CFPB reminded operators of Digital Mortgage Comparison-Shopping Platforms of referral fee prohibitions under the Real Estate Settlement Procedures Act.

The SEC Office of Investor Education and Advocacy, NASAA and FINRA issued a new investor alert on the risks associated with self-directed Individual Retirement Accounts

A broker-dealer settled FINRA charges for failing to tailor its AML program to monitor for and report potentially suspicious activity.

The National Credit Union Administration issued guidance on the credit, strategic, compliance and reputational risks to federal credit unions arising from its credit union service organization rule.

The SEC Division of Corporate Finance granted a Spanish multinational bank no-action relief which will allow it to conduct concurrent tender offers in the United States and Mexico.