A broker-dealer settled FINRA charges for failing to establish a supervisory system designed to achieve compliance with Reg BI and for omitting required information on the firm's Form CRS.

The CFPB reported that a majority of home mortgage borrowers paid “discount points” upfront as overall interest rates rose.

The CFPB reported on supervisory deficiencies related to credit reporting companies’ compliance with accuracy and identity theft requirements under the Fair Credit Reporting Act.

The SEC rescinded various rules and forms related to its adoption of the "Repurchase Rule". The U.S. Court of Appeals for the Fifth Circuit vacated the rule on December 19, 2023.

The North American Securities Administrators Association supported a PCAOB proposed rulemaking to prohibit public accounting firms from making false or misleading statements concerning the firm’s registration status in its marketing efforts.