A firm and its "unregistered indirect owner" settled FINRA charges over the associated person's involvement in a principal capacity for the firm.

In a report titled: "The Failure of ESG: An Examination of Environmental, Social, and Governance Factors in the American Boardroom and Needed Reforms," a Republican working group responded to "the troubling increase in efforts to force progressive policies on the private sector."

At the inaugural meeting of the Strike Force on Unfair and Illegal Pricing, SEC Chair Gary Gensler warned that artificial intelligence will challenge "all of our agencies ... to grapple with what this technology means when it comes to guarding against deception, fraud, and anticompetitive behavior."

The OCC, FRB and FDIC set a deadline of October 30, 2024 on their request for comment on a set of rules to identify "outdated" or "unnecessary" regulatory requirements on insured depository institutions and their holding companies.

Much of the Biden administration's regulatory agenda could be undone if Republicans win control of the White House and Congress in November. It is at risk because of a statute called the Congressional Review Act – the CRA. This statute allows Congress to overturn federal agency rules by passing a joint resolution of disapproval under a set of expedited legislative procedures. A joint resolution under the CRA need only receive a simple majority in both chambers of Congress and cannot be filibustered in the Senate. But, because a joint resolution under the CRA must be signed into law by the President, it is susceptible to a presidential veto unless it enjoys the support of veto-proof majorities in both the House and Senate.