A telecommunications company settled SEC charges for violating rules on fair disclosure by selectively sharing company performance data that was material to investors.

Acting OCC Comptroller Michael J. Hsu said that he expects banks to improve credit risk management practices under the new "current expected credit losses" standard.

NFA issued guidance reminding CPOs and CTAs that failure to affirm an active exemption from registration will result in the exemption being withdrawn on March 2, 2023.

Comments on a FINRA proposal to establish new order routing disclosure report publication requirements for over-the-counter and National Market System equity securities orders are due by December 27, 2022.

The CFPB proposed a settlement of claims against a healthcare-focused loan origination company for misleading customers about how it handled customer deposits.