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

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FRS enforcements decreased 100% over the past 30 days

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SEC issued enforcements: $59,971,440.07 over the past 30 days

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78 Final Rules go into effect in the next 30 days

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21 Mortgage Lending docs published in the last 7 days

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103 docs with 1146 extracted obligations from the last 7 days

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

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1748 new docs in pro.compliance.ai within the last 7 days

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Introducing new content from WesPay

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Regulatory Agency Updates | Week of Apr 22 - Apr 29

 
 
CFPB
 
 
 
 

Proposed Rule: Request for Information Regarding Potential Regulatory Changes to the … | 04/29/2019

Notice: Academic Research Council Meeting… | 04/25/2019

News: CFPB Issues Request for Information on Remittance Rule… | 04/25/2019

News: CFPB Announces Policy Change Regarding Bureau Civil Investigative Dema… | 04/23/2019

Notice: Agency Information Collection Activities: Submission for OMB Review; C… | 04/23/2019

Notice: Agency Information Collection Activities: Submission for OMB Review; C… | 04/22/2019

 
 
 
CFTC
 
 
 
 
 
 

Notice: Privacy Act of 1974; System of Records… | 04/26/2019

Notice: Privacy Act of 1974; System of Records… | 04/26/2019

Notice: Privacy Act of 1974; System of Records… | 04/26/2019

Final Rule: Privacy of Consumer Financial Information-Amendment To Conform Regulat… | 04/25/2019

Notice: Sunshine Act Meetings… | 04/23/2019

Notice: Agency Information Collection Activities: Notice of Intent To Renew Co… | 04/22/2019

Notice: Agency Information Collection Activities: Notice of Intent To Extend C… | 04/22/2019

Enforcement: Complaint: Oasis International Group, Mainstream Fund Services, Inc…. | 04/22/2019

News: CFTC Charges Forex Trading Firms and Principals in $75 Million Fraud… | 04/22/2019

 
 
 
DOJ
 
 
 
 

Notice: Notice Pursuant to the National Cooperative Research and Production Ac… | 04/29/2019

Notice: Notice of Lodging of Proposed Consent Decree Under The Comprehensive E… | 04/26/2019

Notice: Agency Information Collection Activities; Proposed Collection; Comment… | 04/26/2019

Final Rule: Updating the Description of Functions for the Executive Office for Uni… | 04/26/2019

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Air Act… | 04/25/2019

Notice: Notice of Lodging of Proposed Consent Decree Under The Clean Air Act… | 04/24/2019

Agency Update: Honoring Sexual Assault Awareness Month… | 04/24/2019

Agency Update: Justice Staffers Celebrate Earth Day with Anacostia River Cleanup… | 04/24/2019

Final Rule: Department of Justice Freedom of Information Act Regulations… | 04/23/2019

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 04/25/2019

Notice: Vacancy Posting for a District Chief Administrative Law Judge… | 04/23/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 04/22/2019

 
 
 
EOP
 
 
 
 

Presidential Document: Transferring Responsibility for Background Investigations to the Depar… | 04/29/2019

Presidential Document: National Park Week, 2019… | 04/24/2019

 
 
 
FDIC
 
 
 
 

Notice: Proposed Agency Information Collection Activities: Comment Request… | 04/29/2019

News: Deposit Insurance Coverage Seminars… | 04/23/2019

Proposed Rule: Resolution Plans Required for Insured Depository Institutions With $50… | 04/22/2019

 
 
 
FFIEC
 
 
 
 

Notice: Appraisal Subcommittee Notice of Meeting… | 04/29/2019

 
 
 
FINRA
 
 
 
 

News: FINRA Orders Buckman, Buckman & Reid to Pay Approximately $205,000 in … | 04/25/2019

Enforcement: Gelband & Co., Inc…. | 04/25/2019

Enforcement: Harry John (“Chip”) Buckman, Jr. and Buckman, Buckman & Reid, Inc…. | 04/25/2019

Enforcement: Janet Lynn Derrick… | 04/24/2019

Enforcement: Arnold Schonbrun… | 04/24/2019

News: FINRA Forms Office of Financial Innovation, Announces Haimera Workie a… | 04/24/2019

Enforcement: Voya Financial Advisors, Inc…. | 04/23/2019

Enforcement: James E. Bashaw… | 04/23/2019

Enforcement: Steven E. Zerbarini… | 04/22/2019

Enforcement: Nelson Freyre-Gallardo… | 04/22/2019

 
 
 
FRS
 
 
 
 

Notice: Proposed Agency Information Collection Activities: Comment Request… | 04/29/2019

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 04/29/2019

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 04/26/2019

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 04/25/2019

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 04/25/2019

News: Federal Reserve Board issues enforcement action with Sumitomo Mitsui B… | 04/25/2019

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 04/24/2019

News: Opening Statement by Vice Chair for Supervision Randal K. Quarles – Fe… | 04/23/2019

News: Opening Statement by Chair Jerome H. Powell – Federal Reserve Board in… | 04/23/2019

News: Federal Reserve Board invites public comment on proposal to simplify a… | 04/23/2019

 
 
 
FTC
 
 
 
 

News: Cmr. Phillips participant in roundtable at the IAPP Global Privacy Sum… | 04/27/2019

News: Cmr. Phillips participant in roundtable at the IAPP Global Privacy Sum… | 04/25/2019

Enforcement: James V. Grago, Jr. doing business as ClixSense.com… | 04/24/2019

Enforcement: Surescripts LLC… | 04/24/2019

Enforcement: Unixiz, Inc. doing business as i-Dressup.com… | 04/24/2019

Notice: Granting of Requests for Early Termination of the Waiting Period Under… | 04/23/2019

Notice: Granting of Requests for Early Termination of the Waiting Period Under… | 04/23/2019

 
 
 
Fannie
 
 
 
 

News: April 2019 AQM List Posted upda… | 04/23/2019

 
 
 
Freddie
 
 
 
 

News: We are Automating Cash Contract Extensions in Loan Selling Advisor… | 04/23/2019

 
 
 
OCC
 
 
 
 
 
 

Proposed Rule: Fiduciary Capacity; Non-Fiduciary Custody Activities… | 04/29/2019

Notice: Proposed Agency Information Collection Activities: Comment Request… | 04/29/2019

Bulletin: Description: Notice of Proposed Rulemaking… | 04/26/2019

Proposed Rule: Other Real Estate Owned and Technical Amendments… | 04/24/2019

News: OCC to Host Innovation Office Hours in New York… | 04/23/2019

 
 
 
OFAC
 
 
 
 

Final Rule: Foreign Interference in U.S. Elections Sanctions Regulations… | 04/29/2019

 
 
 
RHS
 
 
 
 

Notice: Notice of Request for Extension of a Currently Approved Information Co… | 04/23/2019

 
 
 
SEC
 
 
 
 
 
 

Notice: Symmetry Panoramic Trust and Symmetry Partners, LLC; Notice of Applica… | 04/29/2019

Proposed Rule: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing a… | 04/29/2019

Proposed Rule: Cboe BZX Exchange, Inc.; Order Scheduling Filing of Statements on Revi… | 04/29/2019

Proposed Rule: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and… | 04/26/2019

Enforcement: SEC Complaint – Christopher D. Dougherty, et al…. | 04/26/2019

Agency Update: Comments on Cboe EDGX Rulemaking… | 04/26/2019

Proposed Rule: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Fili… | 04/26/2019

Enforcement: Christopher D. Dougherty, et al…. | 04/26/2019

Notice: Submission for OMB Review; Comment Request… | 04/26/2019

Proposed Rule: Self-Regulatory Organizations; Municipal Securities Rulemaking Board; … | 04/26/2019

 
 
 
TREAS
 
 
 
 

Notice: Multiemployer Pension Plan Application To Reduce Benefits… | 04/29/2019

Agency Update: U.S. Department of the Treasury… | 04/26/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 04/25/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 04/25/2019

Agency Update: U.S. Department of the Treasury… | 04/24/2019

Agency Update: U.S. Department of the Treasury… | 04/22/2019

Agency Update: U.S. Department of the Treasury… | 04/22/2019

 
 
 
VA
 
 
 
 

Notice: Solicitation of Nominations for Appointment to the Veterans and Commun… | 04/25/2019

Notice: Advisory Committee on Cemeteries and Memorials, Notice of Meeting, Ame… | 04/24/2019

Notice: Agency Information Collection Activity Under OMB Review: Application f… | 04/22/2019

Notice: Agency Information Collection Activity Under OMB Review: Claim for One… | 04/22/2019

Notice: Funding Availability: Homeless Providers Grant and Per Diem Program… | 04/22/2019

Notice: Agency Information Collection Activity: Authorization and Certificatio… | 04/22/2019

Notice: Veterans’ Advisory Committee on Education (VACOE), Notice of Meeting, … | 04/22/2019

 

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