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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Changes Coming to House Financial Services Committee Under New Congress

Source: PYMNTS.com

Investors Sue Bank OZK For Hiding $46M Lost On Bad Loans
Law360: Banking 11/19/2018
Investors hit Bank OZK with a proposed securities class action in New York federal court on Monday after the regional bank was forced to write down nearly $46 million on real…
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Image Source: Wall Street Journal

Report: Venezuela media tycoon charged with FCPA violations
The FCPA Blog 11/20/2018
An indictment unsealed Monday charged a Venezuelan TV network owner with violating the Foreign Corrupt Practices Act and laundering money using U.S. banks and real estate deals…
Spencer Edwards, Inc.
FINRA | Broker-Dealer, Securities | Enforcement | 11/14/2018
FINRA | Broker-Dealer, Securities | Enforcement | 11/16/2018
FINRA | Broker-Dealer, Securities | Enforcement | 11/16/2018
Solaris Power Cells, Inc., Stragenics, Inc. and Ultimate Rack Inc.
SEC | Securities | Enforcement | 11/14/2018
FINRA | Securities | Enforcement | 11/14/2018
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