A firm, its chief compliance officer and one of its supervisors settled FINRA charges for supervisory failures relating to unsuitable recommendations made by one of the firm's representatives.

A Federal Reserve Board, CFPB, FDIC, National Credit Union Administration and OCC request for information and comments on financial institutions' use of artificial intelligence and machine learning was published in the Federal Register.

A firm settled FINRA charges for failing to (i) properly designate personnel as either public side or private side, (ii) reasonably supervise communications between them and (iii) escalate communications that disclosed potential material nonpublic information.

The Cabinet Regulatory Tracker is a list of effective dates, comment deadlines and compliance dates.