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

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FINRA enforcements Increased 59% over the past 30 days

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SEC issued enforcements: $65,449,488.80 over the past 30 days

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128 Final Rules go into effect in the next 30 days

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21 Mortgage Lending docs published in the last 7 days

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7596 docs with 9937 extracted obligations from the last 7 days

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

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6126 new docs in pro.compliance.ai within the last 7 days

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

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april, 2021

28apr(apr 28)6:00 am30(apr 30)12:00 pmLaw & Compliance Division Conference

Event Details

L&C-V will cover legal and regulatory issues impacting the derivatives industry as well as practical considerations driven by the remote work environment. L&C-V meets the needs of multiple levels of practitioners in the industry, from the new law firm associate to the chief compliance officer. Between live and on demand sessions, this year’s program offers approximately 20 hours of CLE credit covering topics like enforcement, climate risk, digital asset regulation, SEC issues, clearing models and much more.

Time

28 (Wednesday) 6:00 am - 30 (Friday) 12:00 pm PST

Location

Virtual

Organizer

FIA

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