154 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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1926 new docs in pro.compliance.ai within the last 7 days

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Introducing new content from WesPay

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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

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

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

Financial services key global updates COVID19

Financial services: key global updates (COVID-19)
Lexology 10/19/2020
Financial services providers in the US that have engaged in transactions with non-US persons in 2019 are required to file a BE-180 survey to the US Department of Commerce’s Bureau of Economic Analysis (BEA)…
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Midsize banks brace for loan defaults, more margin pressure

Midsize banks brace for loan defaults, more margin pressure
American Banker 10/20/2020
Midsize banks are preparing for more credit losses, uneven loan demand and ongoing pressure on net interest margins, but is unclear just how long they will need to hunker down…
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Attorney General Barr has played a hands-on role in the Google antitrust case.

Attorney General Barr has played a hands-on role in the Google antitrust case.
The New York Times 10/20/2020
Attorney General William P. Barr has played an unusually active role in the investigation that led to the antitrust lawsuit that the Justice Department filed against Google on Tuesday…
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Traders Pick Up Pieces After Outages at European Exchange Giant

Traders Pick Up Pieces After Outages at European Exchange Giant
The Wall Street Journal 10/20/2020
Traders and investors across Europe scrambled Tuesday to understand how a series of failures at one of the continent’s biggest exchange-operators had affected their positions in stocks, bonds and derivatives…
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Crypto-Friendly Signature Bank Raked In $4B in Deposits in Q3 2020
Coindesk 10/20/2020
The $1 billion in deposit growth from digital asset banking at crypto-friendly Signature Bank was driven in part by the bank holding the dollars backing stablecoins, CEO Joseph DePaolo said on a third-quarter earnings call Tuesday…
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