A credit reporting agency settled charges with the CFPB for security "freeze and lock" violations related to consumer credit reports.

The SEC set a comment deadline of November 28, 2023 for a proposal that would create a "tailored form" for registering the offerings of registered index-linked annuities.

The CFTC set a comment deadline of December 11, 2023 for a proposal that would (i) raise the amount of money required to invest in funds under certain CFTC Rule exemptions with respect to offerings to "qualified eligible persons" and (ii) increase the disclosure requirements applicable to such funds.

In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.

SEC Commissioner Mark T. Uyeda addressed the increasingly difficult challenges faced by compliance professionals resulting from the high volume of SEC rulemaking and "rapid succession of compliance dates."