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Commentary by Steven Lofchie
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The SEC established a new Climate and Environmental, Social and Governance Task Force within the Division of Enforcement.
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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.
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Office of New York Attorney General Letitia James issued investor and industry alerts warning of the "extreme" risk associated with investment in virtual currencies.
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A firm settled FINRA charges for its failure to "reasonably tailor" its AML program for its "low-priced securities liquidation business."
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Commentary by Steven Lofchie
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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.
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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.
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FINRA proposed amendments to allow firms to use electronic signatures when filing Form U4 applications for securities industry registration or transfer.
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NFA warned member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from NFA staff.
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As outlined in a new strategic plan, the FDIC will promote diversity, equity and inclusion in the agency's culture and operations.
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The Congressional Research Service provided an overview of "selected banking-related issues that may attract congressional interest in the 117th Congress."
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