A firm and its general securities principal settled FINRA charges for disclosure and supervisory violations on outside business activities and private securities transactions.
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The Federal Reserve Board, the CFPB, the FDIC, the National Credit Union Administration and the OCC extended a request for information and comments on financial institutions' use of artificial intelligence and machine learning.
A global provider of stock market indices settled SEC charges for the dissemination of stale index values due to an undisclosed quality control feature in one of its volatility-related indices.
The SEC provided notice that it will increase the minimum net worth of a "qualified client" under the Advisers Act and increase the minimum dollar amount of assets under management to adjust for inflation.
OFAC amended two sanctions programs concerning narcotics trafficking.