5,948 results found

After seven years of extending the implementation date of the original rulemaking adopted in 2016 for Covered Agency Transactions, the SEC approved FINRA's amendments...

Suspicious Activity Report, FinCEN, Financial Crimes Enforcement Network, SAR-DI

A financial institution settled CFTC charges of spoofing, manipulation and the attempted manipulation of certain precious metals futures contracts.

A firm settled FINRA charges for failing to establish a supervisory system designed to monitor employees' outside brokerage accounts.

To settle the charges, the firm agreed to (i) a censure and (ii) a $15,000 fine.

A broker-dealer settled FINRA charges for failing to submit certain interest rate information to the MSRB's Short-Term Obligation Rate Transparency system.

A firm settled FINRA charges for failing to adequately review one of its registered representative's outside business activity disclosures.

A firm settled FINRA charges for effecting opening transactions in a stock option contract that exceeded the applicable options position limits, and for related supervisory system failures.

A firm settled FINRA charges for maintaining inadequate supervisory procedures to prevent locking or crossing quotations in OTC equity securities.

A firm settled FINRA charges for failing to review "sensitive information" contained in electronic communications made by certain associated persons involved in the firm's securities business.

Moody’s Investors Service recently raised the credit ratings of 34 states and Puerto Rico, marking the first stage in a massive ratings adjustment expected to affect tens of thousands of outstanding municipal securities.

The case serves as a reminder that many of the largest frauds at financial institutions have been perpetrated by employees of those institutions.

Freddie Mac is selling three pools of deeply delinquent loans with the combined unpaid principal balance of $410 million.

On March 17, 2015, Freddie Mac issued an update to its Single-Family Seller/Servicer Guide ("Guide") requiring servicers to offer additional modifications on previously modified step-rate mortgages.

SEC Issues Risk Alert Regarding Advertising Rule Compliance Based on Recent OCIE Examinations

Recently, the House of Representatives passed the SECURE Notarization Act of 2022 (H.R. 3962). The legislation that creates federal minimum standards to allow notaries in all states...

HUD OIG Again Takes Issue With Mortgage Servicer Websites Addressing Cares Act.