In This Issue. The Securities and Exchange Commission (SEC) approved amendments to the Financial Industry Regulatory Authority’s (FINRA) initial public offering (IPO) allocations rules, expanding the exemptions and exclusions...more
On November 6, 2019, the Federal Deposit Insurance Corporation (FDIC) announced a settlement with a Seattle-based bank over alleged violations of the Real Estate Settlement Procedures Act (RESPA).
According to the FDIC,...more