A U.S. District Court held that compliance communications are not protected by attorney-client privilege or the work-product doctrine, and that the SEC can force an investment advisor to produce documentation of such communications.
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The Federal Reserve Board, the FDIC and the Office of the Comptroller of the Currency adopted rules intended to reduce the number of reporting requirements for eligible small depository institutions.
SIFMA dismissed New Jersey's proposal to create a state fiduciary standard, calling a federal standard the "optimal approach," as compared to the "uneven patchwork" of state laws.
An accounting firm settled SEC charges of using stolen information to improve the outcome of the firm's Public Company Accounting Oversight Board annual inspection.
A former general securities representative settled FINRA charges for failing to notify his company that he created an external cryptocurrency-mining business.