Automatically monitor regulatory updates to map to your internal policies, procesures and controls. Learn More
Automatically monitor regulatory updates to map to your internal policies, procesures and controls. Learn More

Free eBook:Enforcement Actions

The SEC's enforcement activity for Q3-2023 had a persistent focus on Sections 10, 15, and 17, emphasizing the SEC's commitment to combating fraud and maintaining transparent securities transactions. In both Q2 and Q3, Rule 2010 stood out as a linchpin within FINRA's enforcement framework. Q2-2023 showcased 84 enforcement documents, primarily comprising Letters of Acceptance, The Consumer Financial Protection Bureau (CFPB) has continued its robust enforcement efforts in Q3-2023, revealing notable trends in its actions compared to the preceding quarter.

Learn more about how the latest enforcement and regulations across agencies from FINRA, FTC and the SEC have impacted compliance teams across the board. Download the Enforcement eBook to see all the trends that culminated in Q4 2023.

In this eBook, we uncover and investigate the latest enforcement actions, trends, and what we learned, including:

  • SEC’s commitment to combating fraud and maintaining transparent securities transactions.
  • While Q2 had a strong focus on existing cases, Q3 introduced a proactive stance with four new complaints.
  • In Q4-2022, the FDIC issued a total of 31 enforcements against financial institutions, comprising a variety of penalties such as Civil Money Penalties, Prohibition Orders, Termination Orders, and Cease & Desist Letters.
  • In Q3, the CFPB exhibited a strong stance against deceptive practices in the financial sector, particularly targeting issues such as inaccurate credit reporting and unlawful debt collection.
  • and much more to shape changes for 2024.

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