A real estate investment company and a related affiliate settled SEC charges for offering promissory notes without filing a registration statement.
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The CFPB highlighted findings from supervisory examinations completed between January 2022 and June 2022.
FINRA warned investors to exercise caution when investing in small capitalization initial public offerings due to an increase in pump-and-dump schemes.
Chair Gary Gensler, Commissioner Hester M. Peirce and Commissioner Mark T. Uyeda asked the SEC Small Business Capital Formation Advisory Committee to address the issues of the declining number of U.S. IPOs.
The CFPB filed a Complaint against a payday lender, alleging that the company (i) concealed the option of a free repayment plan to consumers struggling to repay their short-term, high-cost loans and (ii) "made electronic withdrawals of consumers’ money without their authorization."