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

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OFAC enforcements increased 50% over the past 30 days

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SEC issued enforcements: $88,633,075.00 over the past 30 days

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123 Final Rules go into effect in the next 30 days

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46 Mortgage Lending docs published in the last 7 days

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149 docs with 7429 extracted obligations from the last 7 days

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

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8506 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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Post-Trade Name Give-Up on Swap Execution Facilities

CFTC | Securities | Final Rule

Regulatory Notice 20-25 FINRA Amends Arbitration Codes to Apply Minimum Fees to Requests for Expungement of Customer Dispute Information Effective Date: September 14, 2020

FINRA | Securities | Notices

Regulatory Notice 20-15 FINRA Amends Rules Governing its Membership Application Program to Incentivize Payment of Arbitration Awards Effective Date: September 14, 2020

FINRA | Securities | Notices

Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors: Prohibiting Exemptions on Behalf of Persons Subject to Certain Statutory Disqualifications

CFTC | Securities | Final Rule

Margin and Capital Requirements for Covered Swap Entities

FCA OCC FHFA FDIC FRS | Securities | Final Rule

Time for action on America's uneven deby drought

Time for action on America’s uneven debt drought
Financial Times 08/24/2020
Credit crisis among small businesses risks creating an even more lopsided US economy…
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Credit Unions Aim to Resume Bank-Buying Spree

Credit unions aim to resume bank-buying spree
American Banker 08/25/2020
Whether the number of deals for 2020 can come close to last year’s record-setting level will come down to one question: Can community banks generate strong enough profits in the second half to justify their independence?…
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Dow rises following changes in benchmark

Dow rises following changes in benchmark
The Hill: Finance Policy 08/25/2020
U.S. markets opened up Tuesday morning following an announcement of changes to the 30 stocks that comprise the Dow Jones Industrial Average.The Dow was up 80 points, or 0.3 percent, and the S&P 500 was up 7 points, or 0.2 percent, in the opening…
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Citigroup cites $900 million human error. Lenders are puzzled.
American Banker 08/25/2020
Citigroup is chalking up its wayward $900 million payment to lenders of the embattled cosmetics giant Revlon to one thing: human error…
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TD Bank To Pay $122M In CFPB Overdraft Settlement
Law360: Banking 08/20/2020
TD Bank must pay $122 million to settle Consumer Financial Protection Bureau allegations that it charged customers illegal fees by not obtaining appropriate consent for a debit card overdraft service it offers, and in some cases engaged in “deceptive and abusive” tactics during the enrollment process, the regulator announced Thursday…
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