A broker-dealer settled charges with the SEC for failing to ensure that the firm's representatives were providing suitable recommendations.

CFPB Enforcement Director Eric Halperin identified areas of evolving risk that can disrupt a "level playing field" in the market for consumer financial products.

The CFPB proposed a rule to implement a section of the Consumer Financial Protection Act on consumer-authorized access to financial data, including "data about their use of checking and prepaid accounts, credit cards, and digital wallets."

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

CFTC Commissioner Kristin N. Johnson expressed discomfort with the notion that investors could interact directly with other investors on an exchange without going through the intermediation of a futures commission merchant.