A broker-dealer settled FINRA charges for failing to retain email exchanges.

The OCC, Federal Reserve Board, FDIC, Farm Credit Association, and Federal Housing Finance Agency jointly adopted an interim final rule to delay the compliance dates for initial margin requirements.

The U.S. Court of Appeals for the Second Circuit denied a petition filed by several attorneys general and investment advisers challenging the legality of the SEC's adoption of Regulation Best Interest.

In its Semiannual Risk Perspective for Spring 2020, the OCC highlighted elevated compliance, operational and credit risks faced by the federal banking industry.

The DOL proposed a new class exemption for investment advice fiduciaries from certain prohibited transaction rules under ERISA and the Internal Revenue Code.