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

What can go wrong Investors views on the big risks to markets in 2021.

What can go wrong? Investors’ views on the big risks to markets in 2021
Financial Times 12/26/2020
Against a rosy consensus, dangers lurk in inflation, a virus setback, and the sheer weight of optimism…
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Banking Reports CEO makes 2021 predictions

Banking Reports CEO makes 2021 predictions
Bank Innovation 12/29/2020
Fintech thought leaders will be offering their predictions for the year to come — in fact, David Gyori, chief executive of Banking Reports, offers 21…
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FHFA Seeks Input on Appraisal Policies for Home Mortgage Loans
Consumer Finance Monitor 12/30/2020
The Federal Housing Finance Agency (FHFA) recently issued a request for information (RFI) seeking input on appraisal-related policies, practices and processes in connection with home mortgage loans…
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Country, banking long overdue for cyberdefense upgrade
American Banker 12/30/2020
These recent attacks were the result of an elaborate and well-planned global cyber espionage campaign believed to be orchestrated by the Russian government and spanning to earlier this year…
Read More

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