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


FINRA enforcements decreased 70% over the past 30 days


SEC issued enforcements: $289,563,885 over the past 30 days


161 Final Rules go into effect in the next 30 days


123 Mortgage Lending docs published in the last 7 days


1460 docs with 2637 extracted obligations from the last 7 days


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


16728 new docs in pro.compliance.ai within the last 7 days


Considering RCM Solutions?  Here’s an RFP to get started.


may, 2022

01mayallday05FIRMA 2022 National Training Conference


Event Details

FIRMA™ is especially proud to sponsor its thirty-fifth Annual National Risk Management Training Conference and we are pleased to bring outstanding topics and speakers back to exciting Nashville. Our demanding and challenging responsibilities for fiduciary risk are more critical than ever and FIRMA stands strong in our belief that there is no more vital time than now for training, sharing, and networking. In recognition of this, FIRMA is proud to provide training resources to risk management professionals who are responsible for asset/wealth management, broker/dealer/advisor activities, and insurance products. Our national speakers will discuss the current trends in the industry, new products and specialized lines of business, and will provide insights to the management and control of associated risks.


may 1 (Sunday) - 5 (Thursday) CT


Grand Hyatt Nashville


Fiduciary and Investment Risk Management Association