A firm and its CEO settled FINRA charges for failing to adequately supervise the firm's outside business activities and employee communications.

In an annual notice, the MSRB provided criteria for designating participants in the next required testing of the MSRB's business continuity / disaster recovery plans.

The CFPB amended Truth in Lending regulations to provide certain insured depository institutions and credit unions with an exemption from establishing escrow accounts for higher-priced mortgage loans.

The CFPB charged a non-depository mortgage company and its managing executives for knowingly engaging in unlawful mortgage-origination activities.