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

-

FINRA enforcements decreased 41% over the past 30 days

-

SEC issued enforcements: $20,672,263.00 over the past 30 days

-

104 Final Rules go into effect in the next 30 days

-

72 Mortgage Lending docs published in the last 7 days

-

4948 docs with 12942 extracted obligations from the last 7 days

-

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

-

12133 new docs in pro.compliance.ai within the last 7 days

-

Download the Q3 Enforcement eBook now!

-

Join us Feb 4th at Comply 2021

-

Federal Home Loan Bank Community Support Program-Administrative Amendments

FHFA | Lending, Mortgage Lending, Consumer Lending | Final Rule

Amendments to Municipal Securities Disclosure

SEC | Broker-Dealer, Securities | Final Rule

Walmart To Pay $160M To End Investor Suit Over Bribes
Law 360 10/26/2018
Walmart Stores Inc. will pay $160 million to settle with a class of investors who sued the company after its stock plunged in the wake of allegations that it had bribed…
Coinbase Hits $8 Billion Valuation After $300 Million Raise
CoinDesk 10/30/2018
U.S.-based cryptocurrency exchange Coinbase has just announced $300 million in new funding. According to a blog post, Tuesday, the firm said that the Series E equity round was led by…
David Colflesh
FINRA | Securities | Enforcement | 10/26/2018
FINRA | Securities | Enforcement | 10/29/2018
FINRA | Securities | Enforcement | 10/29/2018
Marilyn R. Thomassen
SEC | Securities | Enforcement | 10/24/2018
FINRA | Securities | Enforcement | 10/25/2018
X