Merrill Lynch to pay ADR settlement

By Douglas Clark  |   March 27, 2019   |   Featured

Merrill Lynch, Pierce, Fenner & Smith Incorporated will pay over $8 million to address what the Securities and Exchange Commission noted as improper handling of pre-released American Depositary R...

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CFPB examines debt collection measure

By Douglas Clark  |   March 22, 2019   |   Federal

The recently released Consumer Financial Protection Bureau (CFPB) annual report to Congress on the administration of the Fair Debt Collection Practices Act (FDCPA) highlighted continued unlawful coll...

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SEC Fintech forums slated for May

By Douglas Clark  |   March 20, 2019   |   Federal

The Securities and Exchange Commission’s (SEC) Strategic Hub for Innovation and Financial Technology (FinHub) will host a public forum in May focusing on distributed ledger technology (DLT) and dig...

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ACLI backs standard of care initiative

By Douglas Clark  |   March 19, 2019   |   Federal

The American Council of Life Insurers (ACLI) favors a best interest standard of care initiative consistent with timely and substantial Securities and Exchange Commission (SEC) and state insurance reg...

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ICBA urges personal information safeguards

By Douglas Clark  |   March 18, 2019   |   Federal

The Independent Community Bankers of America (ICBA) is encouraging Congress to require all entities handling personal information safeguard such similarly to how it is protected at financial insti...

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