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

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FINRA enforcements increased 21% over the past 30 days

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FTC issued enforcements: $8,726,254.27 over the past 30 days

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165 Final Rules go into effect in the next 30 days

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55 Mortgage Lending docs published in the last 7 days

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5330 docs with 12540 extracted obligations from the last 7 days

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

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11634 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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Financial Factors in Selecting Plan Investments

EBSA | Securities | Final Rule

Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8

SEC | Securities | Final Rule

SBA Supervised Lenders Application Process

SBA | Lending | Final Rule

Financial Disclosure About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities; Correction

SEC | Securities | Final Rule

Order Granting a Temporary Conditional Exemption From the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Registered Municipal Advisors

SEC | Securities | Notice

Banking Must Commit to Increased Tech Spending in 2021
The Financial Brand 12/14/2020
To provide improved customer experiences and lower costs of delivery, financial institutions must hike investment in advanced technology…
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Top SEC Markets Regulator to Leave After Battling Exchanges
The Wall Street Journal 12/15/2020
The Securities and Exchange Commission’s top official for the oversight of exchanges, brokers and high-speed trading firms is stepping down at the end of December, concluding a three-year tenure marked by clashes with the stock exchanges he regulated…
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Forbearance rate resumes decline after upward movement
National Mortgage News 12/14/2020
Following three weeks of no improvement, the number of mortgages in coronavirus-related forbearance fell 6 basis points between Nov. 30 and Dec. 6, according to the Mortgage Bankers Association…
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What Biden’s pledge to forgive student loans means for consumer lenders
American Banker 12/11/2020
If President-elect delivers on his plan to grant blanket forgiveness of federal student loan debt, banks, credit unions, and other consumer lenders stand to benefit…
Read More

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