187 Enforcement Actions in the U.S. over past 30 days

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FINRA enforcements decreased 70% over the past 30 days

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CME issued enforcements: $1,241,754.92 over the past 30 days

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161 Final Rules go into effect in the next 30 days

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40 Mortgage Lending docs published in the last 7 days

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1460 docs with 2637 extracted obligations from the last 7 days

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44 new Proposed and Final Rules were published in the past 7 days

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2554 new docs in pro.compliance.ai within the last 7 days

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Considering RCM Solutions?  Here’s an RFP to get started.

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Carla Carriveau

Carla Carriveau is a seasoned securities and regulatory affairs attorney. Currently, she is the Global Head of Legal and Public Policy at Forge, a Fintech company serving the private markets. Before joining Forge, she held roles as head of the international regulatory team at crypto company Circle and Managing Counsel at Wealthfront, a robo-advisor. Prior to that, Carla served as Senior Counsel at the United States Securities and Exchange Commission in a number of capacities including as a top government affairs aide to former SEC Chair Mary Jo White. During her tenure with the SEC, she managed the broker-dealer examination program for the Pacific Northwest, drafted SEC rules and interpretations, and directed policymaking teams. Carla began her career at FINRA where she gained a deep understanding of the financial markets and broker-dealer operations.

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