In a Risk Alert, the SEC Division of Examinations warned advisers to review their marketing practices and advertisements to ensure compliance with the recently amended Advisers Act Marketing Rule.
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The Managed Funds Associations urged the U.S. Court of Appeals for the Eleventh Circuit to reject a lower court's finding that construed the term "dealer" in an overly broad manner.
A broker-dealer settled FINRA charges for omitting required disclosures on transaction confirmations related to exchange-traded notes and preferred securities.
The Federal Reserve Board, CFPB, FDIC, National Credit Union Administration and OCC proposed risk management guidance for financial institutions on incorporating "reconsiderations of value" for residential real estate transactions.
SEC Chair Gary Gensler reasserted that crypto asset securities issuers and intermediaries must register with the SEC and denied claims that compliance "isn’t possible."