A real estate firm settled SEC charges for failing to satisfy registration exemption requirements and selling interests in a real estate fund to unaccredited investors.

FINRA proposed extending temporary Supplementary Material .17 under FINRA Rule 3110 ("Supervision") to allow remote office inspections through calendar year 2023.

The New York Department of Financial Services issued a proposed second amendment to New York's Cybersecurity Regulation to account for new tools and technologies and provide additional clarity and guidance on NYDFS's risk-based approach to mitigating cybersecurity risks.

The SEC Division of Examinations found deficiencies in reports on how broker-dealers identified venues, classified orders and calculated aggregate net rebates, in violation of order routing information disclosure rules.

The CFPB analyzed complaints relating to crypto assets between October 2018 and September 2022 and found that the complaint rate increased year to year. The CFPB questioned whether crypto asset platforms are effectively monitoring for misconduct.