A broker-dealer settled FINRA charges for publishing quotations without demonstrating its eligibility to do so under unsolicited quotation exemption regulations.

A California app developer and its Philippines-based affiliate settled SEC and CFTC charges for improper sales of security-based swaps.

The Bank for International Settlements Basel Committee on Banking Supervision finalized several "limited adjustments" to the credit valuation adjustment risk framework.

The DOJ filed charges against the owner of two companies in Florida that provide Medicare services for submitting false and fraudulent claims in order to receive (i) reimbursement from Medicare and (ii) loans from the Paycheck Protection Program.

A U.S. District Court denied the assertion by a national bank that a state law requiring the bank to pay interest on certain property-related escrow accounts was preempted by the National Bank Act and OCC regulations.