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

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FINRA enforcements decreased 41% over the past 30 days

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SEC issued enforcements: $20,672,263.00 over the past 30 days

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104 Final Rules go into effect in the next 30 days

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72 Mortgage Lending docs published in the last 7 days

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4948 docs with 12942 extracted obligations from the last 7 days

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

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12133 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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The Last SIFI: The Unwise and Illegal Deregulation of Prudential Financial

Source: Stanford Law Review Online

Covered Investment Fund Research Reports

SEC | Broker-Dealer, Securities | Final Rule

Stocks sink ahead of Fed meeting, shutdown deadline
The Hill: Finance Policy 12/17/2018
U.S. stocks fell sharply Monday amid mounting concerns about the state of the global economy and a likely Federal Reserve rate hike this week. The Dow Jones Industrial Average closed 507 points lower Monday, a 2.1 percent loss, while the Nasdaq Composite dropped 2.3 percent…
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Source: Bloomberg

Nordic risk and compliance outfit FCG acquires Reg&Tech Solutions
Finextra Research Headlines 12/18/2018
FCG today announces the acquisition of Reg&Tech Solutions AB (Reg&Tech), a software technology provider of Big Data analytics and automation solutions to the financial services industry…
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