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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Open banking set to disrupt the financial industry

Source: TechCentral

Covered Investment Fund Research Reports

SEC | Broker-Dealer, Securities | Final Rule

Cashless Super Bowl coming? Visa says yes
Boston Herald 01/29/2019
So you’re headed to the Super Bowl some year in the future, and you’re wondering how much cash you’ll need for the big game. No worries: During its sponsorship renewal with the NFL through the 2025 season, Visa envisions the first cashless Super Bowl…
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US files criminal charges against Chinese firm Huawei
The Hill: Cybersecurity 01/28/2019
Federal prosecutors filed criminal charges on Monday against Chinese telecommunications firm Huawei, a move that is likely to inflame tensions between the U.S. and China…

Senate Republicans reintroduce bill to repeal the estate tax
The Hill: Finance Policy 01/28/2019
Senate Republicans on Monday announced that they are reintroducing legislation to repeal the federal estate tax…
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