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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11627 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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Fund of Funds Arrangements

SEC | Securities | Final Rule

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

NCUA seeks input to improve transparency

NCUA seeks input to improve transparency
American Banker 01/04/2021
The panel unanimously approved the measure by a notation vote, its second such move in weeks, and the proposal will now be subject to a comment period…
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4 key sets of metrics mortgage companies must watch in 2021

4 key sets of metrics mortgage companies must watch in 2021
National Mortgage News 01/05/2021
Many factors will determine how the home mortgage market will fare under the continued pressures of the pandemic in 2021, including whether the low interest rates and supply-and-demand factors that have fueled the housing market will keep driving originations to the highs like those seen in 2020…
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Securities Litigation Trends That Will Matter Most In 2021
Law360: Securities 01/03/2021
Like most everything in 2020, securities litigation was dominated by cases arising out of the ongoing COVID-19 pandemic and resulting economic crisis…
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10 ways coronavirus upended credit union industry in 2020
American Banker 12/31/2020
This year credit unions have been forced to quickly adapt to the effects of a global pandemic. That has included everything from getting most employees set up to work remotely to regulatory exams moving to a virtual format faster than expected…
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