A broker-dealer settled FINRA charges for failing to compute accurately its aggregate indebtedness and net capital, failing to file accurate reports as a result and failing to respond to FINRA requests for information.

A broker-dealer settled FINRA charges for failing to investigate red flags raised by the undisclosed outside business activities of one of its registered representatives.

In its semiannual risk perspective, the OCC highlighted the operational, credit compliance and interest rate risks impacting the federal banking system.

SEC Commissioner Hester M. Peirce warned that, if adopted, the SEC's rulemaking on climate-related risk disclosure would (i) interfere with corporate decision-making in an inflexible way that fails to consider differences between companies, (ii) over-emphasize climate risks and (iii) confuse investors.

The SEC Division of Corporation Finance urged issuers with exposure to crypto-asset markets to evaluate and update their current disclosures to give investors "specific, tailored disclosure about market events and conditions, the company’s situation in relation to those events and conditions," and potential impacts.