Comments on a CFTC comparability determination for capital and financial reporting requirements applicable to Mexico-based CFTC-registered swap dealers are due by February 13, 2023. The notice was published in the Federal Register.

The CFPB proposed to establish and maintain a registry designed to collect information about certain public agency and court orders.

A real estate investment company and a related affiliate settled SEC charges for offering promissory notes without filing a registration statement.

An investment adviser settled SEC charges for failing to (i) establish effective compliance policies or a written code of ethics, (ii) conduct annual reviews for its compliance program, (iii) conduct periodic compliance training and (iv) timely file its Form CRS.

The SEC extended its no-action position for broker-dealers that rely on registered investment advisers to fulfill their obligations under the customer identification program and the portion of the customer due diligence rule regarding beneficial ownership requirements for legal entity customers.