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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Branch Application Procedures

FDIC | Deposits  Final Rule

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

CFTC | Securities | Final Rule

Whistleblower Program Rules

SEC | 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

Biden’s Transition Teams Suggest Tougher Wall Street Oversight

Biden’s Transition Teams Suggest Tougher Wall Street Oversight
The New York Times 11/13/2020
For four years, Wall Street has benefited from the Trump administration’s push to loosen bank rules and weaken post-crisis financial regulations…
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FBI Director to Keynote Financial Crimes Enforcement Conference

FBI Director to Keynote Financial Crimes Enforcement Conference
ABA Banking Journal 11/17/2020
FBI Director Christopher Wray will join the keynote speaker lineup at the ABA/ABA Financial Crimes Enforcement Conference, to be held virtually Dec. 8-10…
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Deep Dive: How FIs and Merchants Are Pushing Back Against Push Payment Fraud

Deep Dive: How FIs And Merchants Are Pushing Back Against Push Payment Fraud
PYMNTS.com 11/17/2020
The number of real-time payments has risen dramatically in recent years, and APP fraud has grown alongside it…
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In Memoriam: Sen. Roger Jepsen, Former NCUA Leader
Credit Union Times 11/17/2020
The NCUA on Monday paid tribute to former U.S. Senator Roger Jepsen, who chaired the board of the independent federal agency for eight years…
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