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227 Enforcement Actions in the U.S. over past 30 days
FINRA enforcements decreased 70% over the past 30 days
CME issued enforcements: $1,241,754.92 over the past 30 days
161 Final Rules go into effect in the next 30 days
23 Mortgage Lending docs published in the last 7 days
1460 docs with 2637 extracted obligations from the last 7 days
97 new Proposed and Final Rules were published in the past 7 days
2668 new docs in pro.compliance.ai within the last 7 days
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The Spring 2021 Unified Agenda of Regulatory and Deregulatory Actions, which includes the SEC’s priorities, lists short and long-term regulatory actions that administrative agencies plan to take.
Learn more about the SEC’s emphasis on market structure modernization within equity markets, and required disclosures relating to climate, human capital, and cybersecurity risks. And see where the FTC is struggling to enforce authority in the latest FREE enforcement ebook!
How are financial compliance, risk and crime professionals tracking and monitoring enforcement actions?
In the second quarter (Q2) of 2021, the FTC also began enforcing the COVID-19 Consumer Protection Act, which prohibits deceptive acts or practices in connection to the pandemic. In the latest ebook you’ll see:
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