A broker-dealer settled FINRA charges for supervisory failures over sales of higher fee mutual fund share classes.

The effective date for an FDIC final rule establishing a process to identify and investigate misrepresentations of FDIC deposit insurance or misuse of the agency's name and logo was set for July 5, 2022. The final rule was published in the Federal Register.

A dually-registered investment adviser and broker-dealer settled SEC charges for failing to disclose conflicts of interest in connection with sources of third-party compensation received through revenue sharing cash sweep payments.

OFAC issued additional guidance on the Chinese Military-Industrial Complex Sanctions Regulations.