Comments on a CFPB proposal to establish a public registry of terms and conditions on form contracts that waive or limit consumer rights and protections are due by April 3, 2023.
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The SEC Division of Examinations identified common compliance deficiencies relating to Regulation Best Interest found during broker-dealer supervisory examinations.
An online credit management company agreed to pay $3,000,000 to settle FTC charges for misrepresentations made in marketing third-party financial products to consumers.
A broker-dealer settled FINRA charges for supervision failures related to unsuitable recommendations involving variable interest rate structured products.
The National Credit Union Administration outlined supervisory priorities for its 2023 examination program, focusing on areas that pose the greatest risk to its credit union members.