FINRA filed a proposed rule change with the SEC that would implement resolution procedures for disputes that arise in relation to Consolidated Audit Trail fees.

The Office of the Comptroller of the Currency published answers to frequently asked questions about risk management expectations regarding third-party relationships.

The Board of Governors of the Federal Reserve System approved an extension of the transition period during which Deutsche Bank AG, SVB Financial Group, and UBS Group AG must conform certain investments in illiquid funds to Volcker Rule Requirements.

FINRA permanently barred a California-based registered representative for participating in private securities transactions in connection with the EB-5 investment program and actively concealing these activities from his employer.

The FDIC adopted guidance on Model Risk Management issued by the Board of Governors of the Federal Reserve System and the Office of the Comptroller of the Currency.