SEC Establishes Enforcement Task Force Focused on Climate Risks and ESG | The SEC established a new Climate and Environmental, Social and Governance Task Force within the Division of Enforcement.
U.S. House Financial Services Committee members reintroduced a bill that would block states from imposing financial transaction taxes on, among other securities industry participants, stock exchanges and broker-dealers.
Office of New York Attorney General Letitia James issued investor and industry alerts warning of the "extreme" risk associated with investment in virtual currencies.
A firm settled FINRA charges for failing to exercise reasonable diligence to ensure that it routed customer orders through venues that provided the best execution quality.
A mortgage lender entered into a settlement with the New York State Department of Financial Services after a finding that the mortgage lender failed to report a 2019 cyber breach that exposed the sensitive personal data of mortgage loan applicants.
FINRA proposed amendments to allow firms to use electronic signatures when filing Form U4 applications for securities industry registration or transfer.
The Congressional Research Service provided an overview of "selected banking-related issues that may attract congressional interest in the 117th Congress."
