173 Enforcement Actions in the U.S. over past 30 days

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SEC enforcements decreased 119% over the past 30 days

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SEC issued enforcements: $59,971,440.07 over the past 30 days

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59 Final Rules go into effect in the next 30 days

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28 Mortgage Lending docs published in the last 7 days

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210 docs with 2467 extracted obligations from the last 7 days

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75 new Proposed and Final Rules were published in the past 7 days

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1940 new docs in pro.compliance.ai within the last 7 days

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Introducing new content from WesPay

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Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

CFTC | Securities | Final Rule

General Provisions; Electric Bicycles

NPS | Deposits | Final Rule

Regulatory Notice 20-19 FINRA and ISG Announce the Update of Blue Sheet Data Elements and Repositioning of Exchange Code Field Effective Date: Updates to Requestor and Exchange Codes are Effective Immediately; Reposition Exchange Code Field by November 30, 2020

FINRA | Securities | Notices

Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments and Modified Procedures for Proposed NMS Plans and Plan Amendments

SEC | Securities | Final Rule

Update of Statistical Disclosures for Bank and Savings and Loan Registrants

SEC | Deposits, Securities | Final Rule

SEC Commissioner Peirce Says Regulations Should Be Slow, Though Crypto Rules Could Be Faster

SEC Commissioner Peirce Says Regulations Should Be Slow, Though Crypto Rules Could Be Faster
CoinDesk 11/09/2020
New regulations take time to allow for public feedback, SEC Commissioner Hester Peirce said at CoinDesk’s Bitcoin for Advisors conference…
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What the Biden administration may do in the housing sector

What the Biden administration may do in the housing sector
National Mortgage News 11/10/2020
Plans for a first-time homebuyer tax credit and expanded affordable housing opportunities may be attractive to lenders, but they’re wary of increased regulation…
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Why companies are ‘undervaluing’ their FCPA exposure
The FCPA Blog 11/10/2020
I recently conducted a virtual training session, during which I displayed a slide showing the top ten FCPA fines and penalties in history…
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Banks tighten standards on consumer, commercial loans

Banks tighten standards on consumer, commercial loans
American Banker 11/09/2020
With the pandemic continuing to crimp the US economy, banks tighten their underwriting standards on consumer and commercial loans during the third quarter, according to the Federal Reserve’s latest survey on bank lending practices…
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