FDIC Acting Chair Martin J. Gruenberg highlighted regulatory efforts to enhance central counterparties' resolvability to minimize the risk of financial instability.
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In comments on an SEC proposal to standardize the inclusion and consistency of climate-related disclosures in registration statements and periodic reports, financial trade and industry associations urged the agency to balance the value of the additional information disclosed against the cost to produce it.
A broker-dealer settled parallel charges brought by NYSE LLC, NYSC Arca Inc., NYSE American LLC, and NYSE Chicago, Inc., for failing to recognize technical errors with a vendor’s smart order router which resulted in the broker-dealer failing to route intermarket sweep orders as necessary to execute against protected quotes.
A credit rating agency and its CEO settled SEC charges for issuing a credit rating for a client in which the rating agency's CEO participated in the rating determination and assisted in marketing activities with respect to that client.
Comments are due by July 21, 2022 on a CFPB Request for Information concerning the quality of customer service at big banks. The notice was published in the Federal Register.