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

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FINRA enforcements decreased 41% over the past 30 days

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SEC issued enforcements: $20,672,263.00 over the past 30 days

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104 Final Rules go into effect in the next 30 days

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71 Mortgage Lending docs published in the last 7 days

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4948 docs with 12942 extracted obligations from the last 7 days

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

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12098 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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Dec 08 – Dec 14

1

Enforcement Documents

Dec 22 – Dec 28

Dec 29 – Dec 31

$12,416.00

5

Enforcement Documents

Dec 08 – Dec 14

$0.00

4

Enforcement Documents

Dec 15 – Dec 21

$7,850.00

4

Enforcement Documents

Dec 22 – Dec 28

Dec 29 – Dec 31

$0.00

1

Enforcement Documents

3

Enforcement Documents

Dec 15 – Dec 21

Dec 22 – Dec 28

Dec 29 – Dec 31

1

Enforcement Documents

Dec 08 – Dec 14

Dec 15 – Dec 21

Dec 22 – Dec 28

Dec 29 – Dec 31

4

Enforcement Documents

1

Enforcement Documents

1

Enforcement Documents

Dec 22 – Dec 28

Dec 29 – Dec 31

7

Enforcement Documents

13

Enforcement Documents

12

Enforcement Documents

2

Enforcement Documents

Dec 29 – Dec 31

16

Enforcement Documents

32

Enforcement Documents

52

Enforcement Documents

13

Enforcement Documents

Dec 29 – Dec 31

$16,000,000.00

1

Enforcement Documents

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