The CFPB highlighted findings from supervisory examinations completed in 2020.
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FINRA asked that member firms notify their risk-monitoring analysts if the firms currently engage in, or intend to engage in, any activities involving digital assets.
A firm settled NYSE charges for failing to have in place a reasonable supervisory system designed to detect errors in "Market on Close" orders.
In a meeting of the SEC Asset Management Advisory Committee, SEC Chair Gary Gensler questioned the basis for marketing claims that a fund is "green" or "sustainable."
In an enforcement compliance bulletin, the CFPB warned it will hold credit rating agencies accountable for compliance failures with respect to "accuracy and dispute obligations" concerning rental information under the Fair Credit Reporting Act and Regulation V.