The Securities and Exchange Commission (SEC) filed charges against Titan Global Capital Management USA for using hypothetical performance metrics in misleading advertisements. Titan Global, a New Yor...
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The Financial Industry Regulatory Authority (FINRA) named Bill St. Louis as its new head of enforcement, effective immediately. In this new role, St. Louis will be responsible for the management of a...
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The Credit Union National Association (CUNA), along with Cornerstone League and Rally Credit Union, filed to join an injunction that seeks to stop implementation of the Consumer Financial Protection B...
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At its Summer National Meeting last week, the National Association of Insurance Commissioners (NAIC) adopted the Regulatory Guide to Understanding the Market for Cannabis Insurance: 2023 Update. The ...
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U.S. Sen. Bill Cassidy, M.D. (R-LA) is among a group of senators calling upon the U.S. Department of the Interior (DOI) to extend the public comment period for the Outer Continental Shelf (OCS) financ...
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The Consumer Financial Protection Bureau (CFPB) fined Freedom Mortgage last week for illegally providing incentives to real estate brokers and agents in exchange for mortgage loan referrals. The C...
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Marking the one-year anniversary of the passage of the Inflation Reduction Act (IRA), the Internal Revenue Service (IRS) outlined some of its achievements toward its goals of delivering world-class se...
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CME Group, a leading derivatives marketplace, has undergone a realignment of its FX futures, options, cash and over the counter (OTC) FX businesses. The realignment now has these businesses in a si...
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The Commodity Futures Trading Commission (CFTC) settled charges against a Texas company and its owner for committing fraud while acting as an unregistered commodity trading advisor (CTA) and for faili...
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Fifteen financial industry groups, including the Managed Funds Association (MFA), are asking the U.S. Securities and Exchange Commission (SEC) for a 60-day extension of the comment period for proposed...
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