The Congressional appropriations bill signed into law on March 23, 2018 includes a provision that will amend rules applicable to business development companies.
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The Federal Trade Commission is investigating Facebook's privacy practices following reports that a data collection firm may have misappropriated the personal information of over 50 million users.
A broker-dealer settled allegations that it engaged in a fraudulent masking scheme. The New York State Attorney General reported that the broker-dealer agreed to pay a record penalty of $42 million.
FINRA is seeking comments on a retrospective review of rules governing introducing/clearing arrangements to determine whether they meet intended investor-protection objectives.
The Government Accountability Office issued a report evaluating the risks and benefits, customer protections, and regulatory oversight of FinTech products and activities.