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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Federal Home Loan Bank Community Support Program-Administrative Amendments

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

DTCC begins testing DLT platform for credit derivatives
Finextra Research Headlines 11/06/2018
The Depository Trust & Clearing Corporation (DTCC) is ploughing ahead with its project to re-platform its credit derivatives Trade Information Warehouse (TIW) on distributed ledger technology and cloud, enlisting 15 of the world’s largest banks for a testing phase…
Crypto Mining Tech Firm Bitfury Closes $80 Million Funding Round
CoinDesk 11/06/2018
Cryptocurrency mining technology firm Bitfury Group has just closed an $80 million funding round led by venture capital firm Korelya Capital. Also participating in the private placement were investors such as Mike Novogratz’s Galaxy Digital, Macquarie Capital, Dentsu Inc., Armat Group and others, according to a Bitfury press release. Advising Bitfury on the funding was investment bank Bryan, Garnier & Co…
Charles A. Banks, IV
SEC | Securities | Enforcement | 11/02/2018
FINRA | Broker-Dealer, Securities | Enforcement | 10/31/2018
SEC | Securities | Enforcement | 11/02/2018
James E. Barnes
FINRA | Securities | Enforcement | 10/31/2018
SEC | Securities | Enforcement | 11/02/2018
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