A broker-dealer settled FINRA charges for reporting inaccurate short interest position data.

A broker-dealer settled FINRA charges for failing to implement policies prohibiting firm principals from supervising their own trading activity.

The North American Securities Administrators Association outlined its legislative agenda for the 118th Congress.

The OCC revised and updated the "Fair Lending" booklet for the Comptroller's Handbook.

The DOJ obtained more than $31 million to resolve allegations against a bank for engaging in redlining practices in predominantly Black and Hispanic neighborhoods in Los Angeles County and for discouraging residents in those neighborhoods from applying for mortgage loans.