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

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FINRA enforcements decreased 14% over the past 30 days

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SEC issued enforcements: $225,742,880.78 over the past 30 days

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117 Final Rules go into effect in the next 30 days

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91 Mortgage Lending docs published in the last 7 days

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1836 docs with 3519 extracted obligations from the last 7 days

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

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4940 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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2018 Fintech trend predictions from Business Insider Intelligence

Source: Business Insider

Disclosure of Order Handling Information

SEC | Broker-Dealer, Securities | Final Rule

Covered Investment Fund Research Reports

SEC | Broker-Dealer, Securities | Final Rule

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