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

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FINRA enforcements decreased 70% over the past 30 days

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SEC issued enforcements: $289,563,885 over the past 30 days

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161 Final Rules go into effect in the next 30 days

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120 Mortgage Lending docs published in the last 7 days

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1460 docs with 2637 extracted obligations from the last 7 days

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

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16097 new docs in pro.compliance.ai within the last 7 days

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Recent regulatory changes mentioning . View Complete List


SECTION 514 Reimbursement of brokers or dealers

Published : 2022-01-17


SECTION 511 Unclaimed property; when deemed abandoned

Published : 2022-01-17


SECTION 510 Definitions

Published : 2022-01-17


Proposed Amendments respecting Reporting, Internal Investigation and Client Complaint Requirements

Published : 2022-01-13


Proposed Collection; Comment Request; Extension: Order Granting a Conditional Exemption Under the Securities Exchange Act of 1934 From the Confirmation Requirements of Exchange Act Rule 10b-10(a) for Certain Transactions in Money Market Funds

Published : 2022-01-13


122-3-5. Investment transactions; requirements for brokers and dealers

Published : 2022-01-11


86-3-31. Broker supervision

Published : 2022-01-11


86-3-8. Brokerage agreements

Published : 2022-01-11


81-5-19. Cross-border trading exemption

Published : 2022-01-11


81-3-7. Supervisory, financial reporting, recordkeeping, net capital, and operational requirements for broker-dealers

Published : 2022-01-11


81-3-6. Dishonest or unethical practices of broker-dealers and agents

Published : 2022-01-11


81-3-5. Sales of securities at financial institutions

Published : 2022-01-11


81-3-1. Registration procedures for broker-dealers and agents

Published : 2022-01-11


Article 3.-Licensing; Broker-Dealers and Agents

Published : 2022-01-11


81-1-1. Definition of terms

Published : 2022-01-11


40-15-8. Variable annuity or separate accounts; agents; procedure for obtaining licenses

Published : 2022-01-08


17-23-12. Record-keeping for securities transactions

Published : 2022-01-08


17-23-2. Adoption of policies and procedures with respect to brokerage placement practices

Published : 2022-01-08


15-314

Published : 2022-01-07


15-312

Published : 2022-01-07


13-113.1

Published : 2022-01-07


11-602

Published : 2022-01-07


11-412

Published : 2022-01-07


11-402

Published : 2022-01-07


11-401

Published : 2022-01-07


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