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


FINRA enforcements decreased 70% over the past 30 days


CME issued enforcements: $1,241,754.92 over the past 30 days


161 Final Rules go into effect in the next 30 days


29 Mortgage Lending docs published in the last 7 days


1460 docs with 2637 extracted obligations from the last 7 days


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


3935 new docs in pro.compliance.ai within the last 7 days


Considering RCM Solutions?  Here’s an RFP to get started.


Exemptions From the Proxy Rules for Proxy Voting Advice

SEC | Securities | Final Rule

Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act

SEC FDIC | Broker-Dealer, Securities | Final Rule

Payday, Vehicle Title, and Certain High-Cost Installment Loans

CFPB | Lending, Deposits, Debt CollectionS | Final Rule

Agency Information Collection Activities Under OMB Review

CFTC | Securities | Notice

69V-40.0312 Application Procedure for Loan Originator License

FL-DFS | Mortgage Lending | Proposed Rule

Congress's scrutiny of tech giants could be blessing and curse for banks

Congress’s scrutiny of tech giants could be blessing and curse for banks
American Banker 10/13/2020
House Democrats’ antitrust reform plan intended to rein in companies like Amazon and Google could help level the regulatory playing field between the banking industry and its digital competitors. It could also revive calls to break up financial behemoths…
Read More

PayPal Offers BNPL Installment Loans in UK

PayPal Offers BNPL Installment Loans In UK
PYMNTS.com 10/13/2020
PayPal is rolling out a new buy now, pay later (BNPL) solution called PayPal Pay in 3 in the U.K., according to a press release. The solution, similar to the company’s Pay in 4 program in the U.S. and the Paiement in 4x in France, introduced earlier this year, will let customers pay for items…
Read More

When Your Last 166 Vanishes Fast Fraud Surges on Payment Apps

When Your Last $166 Vanishes: “Fast Fraud” Surges on Payment Apps
The New York Times 10/11/2020
People are getting defrauded as they turn to Square’s Cash App and PayPal’s Venmo to do more online banking in the pandemic…
Read More

Biggest US Banks keep assets at safest level in 35 years

Biggest U.S. banks keep assets at safest level in 35 years
American Banker 10/09/2020
The largest banks haven’t been this cautious with their holdings in at least 35 years…
Read More

New Research: U.S. Investors Unfazed by Pandemic-Related Market Volatility
FINRA 10/13/2020
Despite dramatic market volatility related to the COVID-19 pandemic during early 2020, investor optimism about the stock market remained high, and one in five Americans indicated an increased interest in investing, according to a new research study by the FINRA Foundation and NORC at the University of Chicago…
Read More