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

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FINRA enforcements increased 21% over the past 30 days

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FTC issued enforcements: $8,726,254.27 over the past 30 days

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165 Final Rules go into effect in the next 30 days

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55 Mortgage Lending docs published in the last 7 days

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5330 docs with 12540 extracted obligations from the last 7 days

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

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11692 new docs in pro.compliance.ai within the last 7 days

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Download the Q3 Enforcement eBook now!

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Join us Feb 4th at Comply 2021

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Jeffrey Smith

Mr. Smith is a seasoned CCO and securities and business attorney with over 20 years of experience strengthening the legal and compliance functions of investment advisers, broker-dealers, and both public and private investment vehicles. He currently is CCO and CLO of Virtue Capital Management LLC, CEO and Co-founder of RIA Compliance Firm LLC, and Founder and Managing Attorney for LawVisory. He has previously served as head of legal and compliance for several large registered investment advisers, as Investigative Counsel for the Financial Crisis Inquiry Commission and worked in the Director of Enforcement’s Office at the SEC. In addition to being a J.D. and having a LL.M. in Securities & Financial Regulation from Georgetown Law, Mr. Smith holds the certifications of IACCP, CRCP, and CRM.

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