A firm settled FINRA charges for introducing representatives the firm was recruiting to a third-party vendor so as to obtain customer nonpublic personal information, in violation of the privacy policies of the representatives' previous employers.
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22393 News Results
The U.S. House Financial Services Subcommittee on Oversight and Investigations considered proposed legislation that would bolster the CFPB's enforcement against discrimination by lenders.
The Financial Accounting Standards Board proposed two Implementation Guides for the 2021 U.S. GAAP Financial Reporting Taxonomy.
The CFPB stated that it expects to delay the July 1, 2021 mandatory compliance date of the General Qualified Mortgage Rule and is considering whether to revoke or amend the "Seasoned QM" Final Rule.
In a speech on the digital economy, SEC Commissioner Hester M. Peirce emphasized both the constancy of the regulatory mission of the agency and the need for regulators to adapt their rules, and even their attitudes, so that investors can benefit from the improvements.