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Cards Wire 6 segments
0:15
US US Federal Trade Commission — press releases Source document ↗
United States US Federal Trade Commission — press releases Conduct & Consumer ✓ 11 claims 29 Oct 2026

FTC warns 25 healthcare plan marketers over deceptive enrollment claims

The FTC's Bureau of Consumer Protection has sent warning letters to 25 companies that market or generate leads for healthcare plans, timed to the current open enrollment period. The letters flag specific categories of claims the agency considers potentially unlawful and reference past enforcement actions. Compliance and marketing teams in this sector should read the claim categories closely against their own current advertising.

  • FTC staff sent warning letters to 25 companies that market or generate sales leads for healthcare plans during the current open enrollment season.
  • The letters flag four categories of potentially unlawful claims, including misrepresenting plan benefits, costs, or falsely claiming a plan is major medical insurance.
  • The letters also warn against falsely claiming enrollees will receive free offers, cash rewards or rebates.
  • The letters cite seven prior FTC enforcement actions as examples, including Simple Health Plans, Benefytt Technologies, and Assurance IQ & MediaAlpha.
  • The FTC says it will send additional warning letters on a rolling basis and does not allege wrongdoing by current recipients.
Source document
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FINR FINRA Source document ↗
United States FINRA Conduct & Consumer ✓ 23 claims 28 Oct 2026

SEC clears FINRA rule letting brokers show performance projections to clients

FINRA's October 21 weekly update confirms SEC approval of a rule change allowing member firms to include performance projections in communications with investors, alongside several other near-term compliance deadlines. Compliance officers tracking advertising rules, underwriting compensation disclosure and qualification exam policy should note the staggered effective dates listed.

  • The SEC approved FINRA's amendment to Rule 2210 on Oct. 15, 2026, allowing performance projections and targeted returns in public communications subject to certain conditions.
  • FINRA has not yet set an effective date for the Rule 2210 amendment and will announce it in a future Regulatory Notice.
  • Regulatory Notice 26-19, published Oct. 21, amends Rules 5110 and 5123; the Rule 5123 changes take effect Oct. 21 and the Rule 5110 changes take effect Dec. 21.
  • Regulatory Notice 26-18, published Oct. 14, details shortened waiting periods for retaking failed qualification exams, effective Jan. 19, 2027.
  • Responses to the 2026 Customer Information Request are requested by Nov. 18, and SFAC/Regional Committee candidate forms are due by Nov. 19.
Source document
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DFI Washington State DFI Source document ↗
United States Washington State DFI Conduct & Consumer ✓ 14 claims 26 Oct 2026

Washington regulator warns consumers on hidden costs of BNPL and card rewards

Washington's Department of Financial Institutions published consumer guidance examining three common payment structures, credit card rewards, promotional 0% financing and buy now, pay later installments, and the costs each can obscure. Compliance teams marketing these products should note the regulator's framing of what adequate disclosure looks like from a consumer-protection standpoint.

  • DFI states that a 3% credit card surcharge would more than offset 2% cash back earned on the same purchase.
  • The post notes that unpaid promotional financing balances begin accruing interest at the regular APR once the promotional period ends.
  • DFI describes BNPL plans that automatically withdraw payments from a debit card or bank account, risking overdraft fees if funds are unavailable.
  • The guidance advises consumers to ask four questions before accepting any offer: what they get, what fees or interest apply, when payments are due, and what happens if they cannot pay on schedule.
  • DFI notes that adding an authorized user, opening a joint account or asking someone to cosign can create financial consequences for both parties involved.
Source document
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DFI Washington State DFI Source document ↗
United States Washington State DFI Conduct & Consumer ✓ 17 claims 23 Oct 2026

Washington state regulator publishes consumer guide to credit card billing cycles

This is a consumer-facing explainer from Washington's Department of Financial Institutions aimed at cardholders confused by statement balances versus app balances. It covers billing cycle mechanics, grace periods and the difference between a credit card balance and a checking account balance, intended as financial literacy content rather than new rulemaking.

  • The post explains that a credit card purchase is effectively borrowing money with a promise to repay, usually with interest, unlike a debit card which draws funds immediately.
  • Purchases and transactions accumulate during a billing cycle, and the card issuer produces a statement when that cycle ends.
  • Paying the full statement balance by the due date will generally allow a cardholder to avoid interest on purchases if the card has a grace period.
  • The statement balance, minimum payment and payment due date are described as three distinct pieces of information that tell a cardholder different things.
  • The statement closing date is cited as the reason a newer purchase may not appear in the amount currently due.
Source document
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FCA FCA Publications Source document ↗
United Kingdom FCA Publications Conduct & Consumer ✓ 12 claims 22 Oct 2026

FCA sets 2027 timetable for retail investment rule changes

The FCA has published feedback to DP25/3, its discussion paper on expanding consumer access to investments, and set out the next phase of work. This matters to platforms, advisers and product providers because it signals which reforms are prioritised and on what timetable, ahead of formal rule changes.

  • The discussion paper DP25/3 was open for feedback from 8 December 2025 to 6 March 2026, with the feedback statement published 16 October 2026.
  • The FCA will review financial promotion rules for high-risk investments to check whether products with similar risks are treated consistently.
  • The FCA plans to consult in early 2027 on changes to rules and guidance on risk information for mainstream investments.
  • A review of the appropriateness assessment, including the impact of the current model and alternatives, will involve stakeholder engagement in 2027.
  • A multi-firm review of model portfolio services has begun, with findings expected by the first quarter of 2027.
Source document
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ABN American Bankers Association — newsroom Source document ↗
United States American Bankers Association — newsroom Conduct & Consumer ✓ 17 claims 19 Oct 2026

ABA Guidance Clarifies Business-Purpose Loans Are Not Exempt Across All Lending Rules

ABA's October compliance column answers a recurring examiner question: does a business-purpose loan secured by a home automatically fall outside consumer protection rules? The answer, drawn directly from Regulation Z, X, C and B text and commentary, is no — each regulation must be checked separately, and the same loan can be exempt from some and covered by others.

  • Regulation Z, §1026.3(a)(1), excludes an extension of credit made primarily for a business, commercial, or agricultural purpose, and comment 3(a)-3.ii.A confirms this covers loans secured by a borrower's residence.
  • Regulation X, §1024.5(b)(2), exempts business-purpose loans from RESPA coverage and allows lenders to rely on the Regulation Z determination.
  • Regulation C requires a separate analysis under §1003.3(c)(10): a business-purpose mortgage is excluded from HMDA reporting unless it qualifies as a home improvement loan, home purchase loan, or refinancing.
  • Regulation B, §1002.2(g), defines business credit but contains no general exemption comparable to Regulations Z or X, meaning ECOA generally continues to apply, including the notification requirements in §1002.9(a)(3).
Source document