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Compliance News

CFPB issues additional HMDA guidance

CFPB issues document to give financial institutions examples of HMDA data and reporting as well as factual scenarios.






Compliance News

Increased focus on SCRA enforcement

Department of Justice unveils pilot program to increase SCRA enforcement. Learn about the efforts it will support.





Financial Reporting Insights

Promptly transmitting customer funds

A recent SEC staff no-action letter addresses prompt transmission of customer’s funds to the carrying broker-dealer.