The Financial Industry Regulatory Authority (FINRA) published its Annual Regulatory Oversight Report this week, which provides member firms with a recap of recent regulatory activities they can use to...
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The Insured Retirement Institute (IRI) is spearheading an initiative that seeks to transform the industry through the use of digital solutions for managing annuities. IRI’s Digital First initiati...
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A new survey from the National Association of Manufacturers (NAM) found that optimism among small- and mid-sized firms remains below average. NAM’s Manufacturers’ Outlook Survey for the fourth ...
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The Securities Industry and Financial Markets Association (SIFMA) expressed its concerns with a recent proposal by the Securities and Exchange Commission (SEC) on transaction pricing. The SEC’s p...
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On Friday, the Securities and Exchange Commission (SEC) announced Stacey Bowers would be the new director of the SEC’s Office of the Advocate for Small Business Capital Formation. Bowers, a Univ...
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The Consumer Financial Protection Bureau (CFPB) provided an update on its oversight of student loan servicing practices in the early months of the resumption of federal student loan repayments. Aft...
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Small business owners are concerned mostly about labor quality, a report from the National Federation of Independent Business (NFIB) has found. In its monthly jobs report, the NFIB found that 20 p...
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The Independent Community Bankers of America (ICBA) has come out in favor of a new proposal by federal regulators that would require banks with $100 billion or more in assets to hold minimum levels of...
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The Federal Reserve Bank of St. Louis tapped Alberto Musalem as its next president and CEO, effective April 2. Musalem succeeds Jim Bullard, who resigned from his role in July 2023 after 15 years ...
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U.S. Sens. Elizabeth Warren (D-MA), Richard Blumenthal (D-CT), and Bernie Sanders (I-VT), along with U.S. Rep. Katie Porter (D-CA) reached out to tax filing company Intuit, seeking a full accounting o...
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The Association of International Certified Public Accountants (AIPCA) recently released its 2023 Trends Report, which featured some interesting findings related to the talent gap in the field. It ...
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On Wednesday, the Securities and Exchange Commission announced it had frozen the assets of a Florida real estate broker as part of his part in a $93 million fraud scheme. The SEC charged Rishi Kap...
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The Securities Industry and Financial Markets Association (SIFMA), and the SIFMA Asset Management Group (AMG) voiced their concerns over the Department of Labor’s proposed rule regarding investment ...
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The Consumer Bankers Association (CBA) has weighed in on the Consumer Financial Protection Bureau's (CFPB) proposed rule on personal financial data. The rule would implement section 1033 of the Dod...
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The Independent Community Bankers of America (ICBA) is urging the Consumer Financial Protection Bureau (CFPB) to exempt certain community banks from proposed standards for sharing consumer financial d...
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The U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) has started to accept beneficial ownership information reports, in accordance with the Corporate Transparency Act....
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A new survey from small business association National Federation of Independent Business (NFIB) has found that small business owners are saying that high interest rates are impacting their operations....
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According to the National Association of Federal Credit Unions (NAFCU), changes in the NCUA exams reflect reforms suggested by credit unions. The Economic & CU Monitor found that more credit union...
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One individual and three entities were designated by the Department of the Treasury’s Office of Foreign Assets Control (OFAC) as being responsible for facilitating the flow of Iranian financial assi...
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The U.S. District Court for the District of New Jersey issued a default order of final judgment against Illinois-based Valdas Dapkus on Nov. 28, according to the Commodity Futures Trading Commission (...
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