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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US stocks suffer worst year since 2008

Source: The Hill: Finance Policy

Disclosure of Order Handling Information

SEC | Broker-Dealer, Securities | Final Rule

Erik Prince to launch fund for electric car metals
Financial Times 01/01/2019
Blackwater founder to capitalize on the scramble for once niche metals across Africa…
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House Democrats to push for more diversity in top corporate ranks
Politico 01/01/2018
California Democrat Maxine Waters, the first woman, and first African-American to chair the House Financial Services Committee, is planning to use her new power to push for more women and minorities in the top ranks of corporate America…
Read More
Banking Regulation To Watch In 2019
Law360 01/01/2019
The return of divided government in Washington may put a damper on the prospects for more banking legislation, but federal regulators will have their hands full in 2019 finishing rules to…
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