New York Attorney General Letitia James highlighted actions taken to protect consumers during the pandemic, lawsuits against Big Tech and enforcement efforts to combat fraud and money laundering.
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In a "farewell statement," departing SEC Enforcement Director Stephanie Avakian reviewed the Division's track record during the past four years.
House Financial Services Committee Chair Maxine Waters and 22 other Committee members urged the OCC to withdraw the "fair access to financial services" Notice of Proposed Rulemaking.
A California-based provider of secure digital wallet management services settled its potential civil liability for alleged violations of numerous sanctions programs.
FINRA released the results of its voluntary self-reporting 529 Plan Share Class Initiative, reporting $2.7 million in restitution and interest across approximately 3,900 accounts.