177 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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46 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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10814 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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Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information

SEC | Securities | Final Rule

Privacy Act of 1974; System of Records

DHS | Mortgage Lending | Notice

Exemption From Derivatives Clearing Organization Registration

CFTC | Securities | Final Rule

Fund of Funds Arrangements

SEC | Securities | Final Rule

Financial Factors in Selecting Plan Investments

EBSA | Securities | Final Rule

Corporate America pulls political donations after Capitol assault

Corporate America pulls political donations after Capitol assault
Financial Times 01/11/2021
Wall Street banks and Big Tech among those to halt or review funding for lawmakers…
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‘It Was a Joke’ Some Small Businesses Got $1 Relief Loans

‘It Was a Joke’: Some Small Businesses Got $1 Relief Loans
The New York Times 01/11/2021
The Paycheck Protection Program was a lifeline for millions of small businesses brutalized by the pandemic…
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Five numbers that show just how big the FCPA industry has become
The FCPA Blog 01/12/2021
How much has FCPA enforcement and compliance changed over the last decade? Ask anyone who’s been around, and they’ll probably say “a lot” or “completely.” Perhaps the most telling metric quantifying this change is the average size of a corporate FCPA resolution…
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Limiting The Severity Of Deficient Securities Fraud Claims
Law 360: Securities 01/08/2021
In 2018, Columbia Law School professor John C. Coffee Jr. indicated that the “scope of ‘event-driven’ litigation could expand rapidly,” which it has, and led to successful recoveries for public equity investors in BP PLC in 2017, Petrobras in 2018, Signet Jewelers Ltd. in 2019 and Equifax Inc. in 2020, among others…
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