Washington Report 360 | February 20, 2020

FINRA exam letter on zero commissions; OCC/FDIC extend comment period for CRA rule; SEC proposed revisions to RNMS; focus on ESG risks

Amy S. Matsuo

Amy S. Matsuo

Regulatory and ESG Insights Leader, KPMG US

+1 919-664-7100

Key Highlights

  • FINRA issues targeted examination letter on zero commissions.
  • OCC and FDIC extend the comment period on their CRA proposed rule until April 8, 2020.
  • SEC proposes revisions to Regulation National Market System including reporting requirements for “competing consolidators.”
  • Continued focus on ESG risks highlighted by SEC statement on Coronavirus, pressures to address climate risk.

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