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

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FINRA enforcements decreased 31% over the past 30 days

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SEC issued enforcements: $293,829,552.51 over the past 30 days

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148 Final Rules go into effect in the next 30 days

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84 Mortgage Lending docs published in the last 7 days

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4743 docs with 9164 extracted obligations from the last 7 days

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

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11951 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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1

Enforcement Documents

Jan 05 – Jan 11

Jan 12 – Jan 18

Jan 19 – Jan 25

1

Enforcement Documents

Jan 01 – Jan 04

Jan 05 – Jan 11

$0.00

11

Enforcement Documents

Jan 12 – Jan 18

$15,000.00

3

Enforcement Documents

Jan 19 – Jan 25

$10,500.00

7

Enforcement Documents

Jan 26 – Jan 31

$0.00

10

Enforcement Documents

8

Enforcement Documents

12

Enforcement Documents

3

Enforcement Documents

5

Enforcement Documents

11

Enforcement Documents

1

Enforcement Documents

Jan 05 – Jan 11

Jan 12 – Jan 18

1

Enforcement Documents

1

Enforcement Documents

1

Enforcement Documents

1

Enforcement Documents

3

Enforcement Documents

3

Enforcement Documents

29

Enforcement Documents

X