SEC Commissioners Peirce and Roisman criticize Chair Gensler's regulatory agenda. Financial Services Committee Chair seeks moratorium on large bank mergers and acquisitions. SEC Commissioner Peirce advocates for longer rulemaking comment periods. SEC returns to individual written response policy for proxy requests. FINRA settles cases stemming from targeted exams on UIT early rollovers. Firms settle FINRA charges for supervisory violations on UIT rollovers.
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