Day: March 16, 2023

The Securities and Exchange Commission has published a proposed rule to amend Regulation S-P to require broker-dealers, investment companies, registered investment advisers, and transfer agents to notify individuals affected by certain types of data breaches that may put them at risk of harm, the SEC announced. Regulation S-P, a regulation Read More

Carrie Tolstedt, former head of Wells Fargo Bank’s retail banking division, has agreed to plead guilty to obstructing a government examination into the bank’s widespread sales practices misconduct, including opening millions of unauthorized accounts, federal authorities announced. In a plea agreement filed March 15 in U.S. District Court, Tolstedt pled Read More