202 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


22 Mortgage Lending docs published in the last 7 days


1460 docs with 2637 extracted obligations from the last 7 days


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


3869 new docs in pro.compliance.ai within the last 7 days


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


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

Capital Requirements of Swap Dealers and Major Swap Participants

CFTC | 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

Digital Banking Transformation Begins With Quality Data1

Digital Banking Transformation Begins With Quality Data
The Financial Brand 10/26/2020
Data is at the core of digital customer experiences, but many financial institutions cannot access good quality information in real-time…
Read More

OCC clarifies who is 'true lender' in bank-nonbank partnerships

OCC clarifies who is ‘true lender’ in bank-nonbank partnerships
American Banker 10/27/2020
The Office of the Comptroller of the Currency finalized its “true lender” rule Tuesday, capping the agency’s effort to address uncertainty about bank partnerships with nonbank financial institutions…
Read More

CFPB Fines 9th lender for mileading VA marketing practices

CFPB fines ninth lender for misleading VA marketing practices
National Mortgage News 10/27/2020
The Consumer Financial Protection Bureau has wrapped up a series of enforcements actions regarding deceptive mortgage mortgage advertisements sent to military personnel and veterans, bringing in $4.4 million in penalties…
Read More

Why the Best GDP Report Ever Wont Mean the Economy has Healed

Why the Best G.D.P. Report Ever Won’t Mean the Economy Has Healed
The New York Times 10/27/2020
The United States almost certainly just experienced its fastest three months of economic growth on record. That doesn’t mean the economy is strong…
Read More

The slowing decline of forbearances reflects an uneven recovery
National Mortgage News 10/26/2020
After back-to-back weeks of steep declines, mortgages entering coronavirus-related forbearance only inched down 2 basis points between Oct. 12 and 18, according to the Mortgage Bankers Association…
Read More