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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11225 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

Banks can repurchase shares again. Will they?

Banks can repurchase shares again. Will they?
American Banker 12/21/2020
Under the Federal Reserve’s loosened restrictions, big banks can buy back a limited amount of their stock starting next quarter, but only JPMorgan Chase has announced detailed plans to do so…
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Dozens of US organizations also used softwarer targeted by Russian hackers

Dozens of US organizations also used software targeted by Russian hackers: analysis
The Hill: Cybersecurity 12/22/2020
Several major technology and accounting firms are among 24 U.S. organizations that used software targeted by Russian hackers in a cyberattack that breached federal agencies, according to The Wall Street Journal…
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FHA foreclosure and eviction moratorium extended
BankersOnline 12/22/2020
The Federal Housing Administration has announced it is extending the foreclosure and eviction moratorium for single family FHA-insured mortgages for an additional two months, through February 28, 2021…
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Annual Defense Bill Extends SEC’s Disgorgement Shot Clock
Law360 12/11/2020
The annual defense bill that President Donald Trump is threatening to veto this week, despite overwhelming support from Congress, contains amendments that would quietly strengthen the government’s ability to seek disgorgement for securities law violations…
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