A broker-dealer settled FINRA charges for failing to supervise two of its registered representatives that made unsuitable investment recommendations.

FDIC Chair Martin J. Gruenberg said that the agency must implement a cautious and deliberate approach to crypto regulation, and that existing regulatory concepts can apply to crypto assets.

The U.S. Court of Appeals for the Fifth Circuit ruled that the CFPB's independent funding process which runs through the Federal Reserve rather than through congressional appropriations violates the Constitution's separation of powers clause.

An insurance plan provider settled charges with NYDFS for violations of New York's Cybersecurity Regulation that resulted in a data leak that exposed hundreds of thousands of consumers' sensitive, non-public personal health data, including data concerning minors.

A broker-dealer settled FINRA charges for failing to monitor the fairness of mark-ups that it charged to retail customers through one of its registered representatives.