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

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FINRA enforcements Increased 59% over the past 30 days

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SEC issued enforcements: $65,449,488.80 over the past 30 days

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128 Final Rules go into effect in the next 30 days

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21 Mortgage Lending docs published in the last 7 days

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7596 docs with 9937 extracted obligations from the last 7 days

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

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6040 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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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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