The SEC sued an individual and his investment firm for their roles in defrauding investors through the selling of securities in a California real estate investment and management company.

The OCC, FDIC and Federal Reserve Board have each published guidance for banks and bank service providers to assist entities in meeting new regulatory obligations on information sharing for cybersecurity incidents impacting the U.S. banking system.

Comments on an FDIC-proposed framework for the management of exposures to climate-related financial risks are due by June 3, 2022.

FINRA assured users that it was "aware" of recently discovered vulnerabilities and has taken steps to neutralize risks to FINRA's web-based applications that were developed using the Java "Spring" application development framework.

The SEC obtained a final judgment in federal court against a hedge firm adviser for making false statements with regard to a drug company that the hedge fund had shorted.