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

-

FINRA enforcements decreased 14% over the past 30 days

-

SEC issued enforcements: $225,742,880.78 over the past 30 days

-

117 Final Rules go into effect in the next 30 days

-

70 Mortgage Lending docs published in the last 7 days

-

1836 docs with 3519 extracted obligations from the last 7 days

-

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

-

5599 new docs in pro.compliance.ai within the last 7 days

-

Considering RCM Solutions?  Here’s an RFP to get started.

-

Agency Report Apr 26 - May 03

 
 
CFPB
 
 
 
 
 
 
 
 

Comment: Comment from Collins, J.; Public Submission; NA… | 04/30/2021

Comment: Comment from Anonymous; Public Submission; NA… | 04/30/2021

Comment: Comment from Walker, Erica; Public Submission; NA… | 04/30/2021

Comment: Comment from Anonymous; Public Submission; NA… | 04/30/2021

Blog: Making Ends Meet series: Changes in consumer financial status during t… | 04/30/2021

Blog: Money Smarts for Military Families… | 04/30/2021

Final Rule: Qualified Mortgage Definition Under the Truth in Lending Act (Regulati… | 04/30/2021

Comment: Comment from Anonymous; Public Submission; NA… | 04/29/2021

Comment: Comment from ProVest LLC; Public Submission; ProVest LLC… | 04/29/2021

Comment: Comment from Anonymous; Public Submission; NA… | 04/29/2021

 
 
 
CFTC
 
 
 
 

Enforcement: Consent Order: Aaron Michael Scott… | 04/27/2021

News: Federal Court Orders Oregon Owner of Precious Metals Firm to Pay $1.3 … | 04/27/2021

 
 
 
DOJ
 
 
 
 

Agency Update: Virtual Best Practices Workshops Focus on FOIA Administration During C… | 04/28/2021

Notice: Agency Information Collection Activities; Proposed Collection Comments… | 04/28/2021

Notice: Agency Information Collection Activities; Proposed eCollection, eComme… | 04/28/2021

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 04/27/2021

Notice: Agency Information Collection Activities; Proposed Collection Comments… | 04/27/2021

Notice: Notice of Lodging of Proposed Bankruptcy Settlement Agreement Resolvin… | 04/27/2021

Notice: Agency Information Collection Activities; Proposed eCollection; eComme… | 04/26/2021

Notice: Agency Information Collection Activities; Proposed eCollection of eCom… | 04/26/2021

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 05/03/2021

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 05/03/2021

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 05/03/2021

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 05/03/2021

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 05/03/2021

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 04/29/2021

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 04/29/2021

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 04/29/2021

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 04/29/2021

Final Rule: Uniform Administrative Requirements, Cost Principles, and Audit Requir… | 04/27/2021

 
 
 
EBSA
 
 
 
 

Notice: State All Payer Claims Databases Advisory Committee-Notice of Virtual … | 04/30/2021

 
 
 
EOP
 
 
 
 

Presidential Document: Increasing the Minimum Wage for Federal Contractors… | 04/30/2021

Presidential Document: Workers Memorial Day, 2021… | 04/30/2021

Presidential Document: Worker Organizing and Empowerment… | 04/29/2021

Presidential Document: World Intellectual Property Day, 2021… | 04/28/2021

Presidential Document: Earth Day, 2021… | 04/27/2021

 
 
 
FDIC
 
 
 
 

Notice: FDIC System Resolution Advisory Committee; Notice of Charter Renewal… | 05/03/2021

Financial Institution Letter: FIL-31-2021 – Regulatory Relief: Guidance to Help Financial Institutio… | 04/30/2021

Financial Institution Letter: FIL-32-2021 – Regulatory Relief: Guidance to Help Financial Institutio… | 04/30/2021

Press Release: FDIC Makes Public March Enforcement Actions… | 04/30/2021

Financial Institution Letter: FIL-30-2021 – FDiTech Launches “Office Hours” to Connect with Stakehol… | 04/29/2021

Press Release: FDiTech to Host Virtual “Office Hours” on Banking-Related Innovation… | 04/29/2021

Notice: Agency Information Collection Activities: Proposed Collection Renewal;… | 04/28/2021

Notice: FDIC Advisory Committee on Economic Inclusion (ComE-IN); Notice of Mee… | 04/27/2021

Notice: Notice to All Interested Parties of Intent To Terminate Receiverships… | 04/27/2021

 
 
 
FINCEN
 
 
 
 

Comment: Comment on FR Doc # 2021-06922; Public Submission; National Associatio… | 04/29/2021

News: FinCEN Reissues Real Estate Geographic Targeting Orders for 12 Metropo… | 04/29/2021

 
 
 
FINRA
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): O.N. Equity Sales Company, Inc. AWCs (Letters of Acceptance, Waiver, a… | 04/30/2021

AWCs (Letters of Acceptance, Waiver, and Consent): Gary Len Wells AWCs (Letters of Acceptance, Waiver, and Consent)… | 04/29/2021

Notices: Regulatory Notice 21-17 FINRA Seeks Comment on Supporting Diversity an… | 04/29/2021

Notices: Special Notice – 4/28/21 2021 Election Process Overview… | 04/28/2021

AWCs (Letters of Acceptance, Waiver, and Consent): Ronald V. Pullman AWCs (Letters of Acceptance, Waiver, and Consent)… | 04/27/2021

OHO Decisions: WILFREDO FELIX OHO Decisions… | 04/27/2021

AWCs (Letters of Acceptance, Waiver, and Consent): Kevin D. Barton AWCs (Letters of Acceptance, Waiver, and Consent)… | 04/27/2021

AWCs (Letters of Acceptance, Waiver, and Consent): Paul A. Spero AWCs (Letters of Acceptance, Waiver, and Consent)… | 04/26/2021

AWCs (Letters of Acceptance, Waiver, and Consent): Constantinos Maniatis AWCs (Letters of Acceptance, Waiver, and Consent… | 04/26/2021

AWCs (Letters of Acceptance, Waiver, and Consent): David Martin Martirosian AWCs (Letters of Acceptance, Waiver, and Cons… | 04/26/2021

 
 
 
FRS
 
 
 
 
 
 

Final Rule: Regulation YY: Stress Test Rules; Correction… | 04/30/2021

Press Release: Federal Reserve Board issues enforcement actions with former employee … | 04/29/2021

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 04/29/2021

Order (PDF): John Atwater Everest Bancshares, Inc., Everest, Kansas… | 04/28/2021

Press Release: Federal Reserve issues FOMC statement… | 04/28/2021

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 04/28/2021

Notice: Formations of, Acquisitions by, and Mergers of Savings and Loan Holdin… | 04/27/2021

Notice: Privacy Act of 1974; System of Records… | 04/27/2021

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 04/27/2021

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 04/27/2021

 
 
 
FTC
 
 
 
 
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 05/03/2021

Speech: Prepared Remarks of Commissioner Noah J. Phillips at Multilevel Market… | 04/30/2021

News: Smart Home Monitoring Company Vivint Will Pay $20 Million to Settle FT… | 04/29/2021

Enforcement Order: Stipulated Order for Permanent Injunction and Civil Penalty Judgment (… | 04/29/2021

Complaint: Complaint for Civil Penalties, Permanent Injunction and Other Relief (… | 04/29/2021

News: The FTC Directed 30 More Marketers to Stop Making Unsupported Claims T… | 04/29/2021

Speech: Antitrust in the Technology Sector: Policy Perspectives and Insights F… | 04/29/2021

Enforcement Order: Stipulated Order for Permanent Injunction and Civil Penalty Judgment (… | 04/28/2021

Consent Order: Analysis of Agreement Containing Consent Orders to Aid Public Comment … | 04/28/2021

Consent Order: Analysis of Agreement Containing Consent Orders to Aid Public Comment … | 04/28/2021

 
 
 
INT-EBA
 
 
 
 

Press Release: The European Banking Authority publishes report on mystery shopping ac… | 05/03/2021

News: EBA consults on draft technical standards specifying how to identify t… | 04/29/2021

News: EBA consults on draft Guidelines on the delineation and reporting of a… | 04/28/2021

News: The European Banking Authority launches public consultation to enhance… | 04/28/2021

News: EBA releases a new erratum (erratum 2) of the taxonomy package on repo… | 04/27/2021

 
 
 
INT-EC
 
 
 
 
 
 
 
 

Press Release: Union europ=C3=A9enne de la sant=C3=A9: la Commission publie une consultation pu… | 05/03/2021

Press Release: European Health Union: Commission publishes open public consultation o… | 05/03/2021

Press Release: Coronavirus: Commission proposes to ease restrictions on non-essential… | 05/03/2021

Press Release: Recovery and Resilience Facility: Belgium, Italy, Austria, and Sloveni… | 05/01/2021

Statement: Russie : D=C3=A9claration conjointe du Pr=C3=A9sident du Conseil europ=C3=A9en, de la… | 04/30/2021

Statement: Russland: Gemeinsame Erkl=C3=A4rung des Pr=C3=A4sidenten des Europ=C3=A4ischen Rates,… | 04/30/2021

Statement: Russia: Joint Statement by the President of the European Council, the … | 04/30/2021

Press Release: State aid: Commission approves =E2=82=AC12 million coronavirus damage compensa… | 04/30/2021

Press Release: Recovery and Resilience Facility: Denmark, Spain, Latvia and Luxembour… | 04/30/2021

Statement: D=C3=A9claration du commissaire Nicolas Schmit =C3=A0 la veille de la Journ=C3=A9e in… | 04/30/2021

 
 
 
INT-FATF
 
 
 
 

Publication: Consolidated assessment ratings… | 04/29/2021

Publication: New Zealand’s measures to combat money laundering and terrorist financ… | 04/29/2021

 
 
 
INT-IOSCO
 
 
 
 

Media Release: Jean-Paul Servais re-elected Chair of the IFRS Foundation Monitoring B… | 04/30/2021

 
 
 
NCUA
 
 
 
 

Notice: Agency Information Collection Activities: Proposed Collection; Comment… | 05/03/2021

 
 
 
NYSE
 
 
 
 

Agency Update: Proposal to amend the NYSE Arca Equities Fees and Charges… | 04/30/2021

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 04/29/2021

Agency Update: Proposal to amend Commentary .02 to NYSE Arca Rule 8.200-E… | 04/28/2021

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 04/28/2021

Agency Update: Partial Amendment No. 1… | 04/27/2021

Agency Update: Partial Amendment No. 1… | 04/27/2021

Notice: Self-Regulatory Organizations; New York Stock Exchange, LLC; Notice of… | 04/27/2021

Agency Update: Proposal to extend the temporary period for specified Commentaries to … | 04/26/2021

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 04/26/2021

 
 
 
OCC
 
 
 
 

Comment: Icarus Oil and Gas, Inc.; Public Submission; Icarus Oil and Gas, Inc…. | 04/29/2021

Comment: Cutter Machine Works, LLC; Public Submission; Cutter Machine Works, LL… | 04/29/2021

Comment: Ebling’s Gun Shop; Public Submission; Ebling’s Gun Shop… | 04/29/2021

Bulletin: OCC 2021-22 Credit Card Lending : Revised Comptroller’s Handbook Bookl… | 04/29/2021

Notice: Agency Information Collection Requirements: Information Collection Ren… | 04/27/2021

 
 
 
OFAC
 
 
 
 

Notice: Notice of OFAC Sanctions Actions… | 05/03/2021

Financial Sanction: Iraq-related Designation Removal… | 04/30/2021

Financial Sanction: Migration of NS-CCMC List From Temporary Format to OFAC Standard List … | 04/30/2021

Notice: Notice of OFAC Sanctions Actions… | 04/30/2021

Financial Sanction: Settlement Agreements between the U.S. Department of the Treasury’s Of… | 04/29/2021

Final Rule: Somalia Sanctions Regulations… | 04/28/2021

Financial Sanction: Issuance of Amended Somalia Sanctions Regulations… | 04/27/2021

Financial Sanction: Global Magnitsky Designations… | 04/26/2021

Notice: Notice of OFAC Sanctions Actions… | 04/26/2021

Notice: Notice of OFAC Sanctions Actions… | 04/26/2021

 
 
 
SEC
 
 
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and I… | 05/03/2021

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Withdraw… | 05/03/2021

Notice: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and … | 05/03/2021

Notice: Sunshine Act Meetings; Cancellation… | 05/03/2021

Notice: Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filin… | 05/03/2021

Notice: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of … | 05/03/2021

Notice: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and … | 05/03/2021

Notice: Sunshine Act Meetings… | 05/03/2021

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing o… | 05/03/2021

Notice: Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Ru… | 05/03/2021

 
 
 
TREAS
 
 
 
 
 
 

Notice: Open Meeting of the Federal Advisory Committee on Insurance… | 05/03/2021

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 05/03/2021

Press Release: Report on Foreign Portfolio Holdings of U.S. Securities at End-June 20… | 04/30/2021

Readout: READOUT: Deputy Secretary of the Treasury Wally Adeyemo’s Roundtable D… | 04/29/2021

Statement: Remarks by Acting Under Secretary of International Affairs at the U.S…. | 04/29/2021

Readout: READOUT: Secretary of the Treasury Janet L. Yellen’s Call with Nadia C… | 04/29/2021

Readout: READOUT: Deputy Secretary of the Treasury Wally Adeyemo’s Discussion o… | 04/29/2021

Civil Money Penalty: SAP SE… | 04/29/2021

Civil Money Penalty: MoneyGram Payment Systems, Inc…. | 04/29/2021

Notice: Departmental Offices; Renewal of the Treasury Borrowing Advisory Commi… | 04/29/2021

 
 
 
UK-BOE
 
 
 
 
 
 

Agency Update: Jon Cunliffe: OMFIF Digital Monetary Institute meeting “The Bank of En… | 04/30/2021

Agency Update: Angus Moir: Panellist at the International Swaps and Derivatives Assoc… | 04/30/2021

Agency Update: Andrew Bailey: A moderated discussion with John Williams, President of… | 04/30/2021

Agency Update: Sarah Breeden: Pre-recorded Aviva Investors environmental, social and … | 04/30/2021

Agency Update: David Phillips: Panellist at the International Swaps and Derivatives A… | 04/30/2021

News: David Phillips: Panellist at the International Swaps and Derivatives A… | 04/30/2021

News: Sarah Breeden: Panellist at the International Swaps and Derivatives As… | 04/30/2021

News: Sarah Breeden: Pre-recorded Aviva Investors environmental, social and … | 04/30/2021

News: Angus Moir: Panellist at the FinTech Global RegTech Summit =E2=80=9CRegulatory… | 04/30/2021

News: Andrew Bailey: International Swaps and Derivatives Association (ISDA) … | 04/30/2021

 
 
 
UK-CMA
 
 
 
 
 
 

Press Release: Teletext faces court action unless it pays over =C2=A37m in refunds… | 04/30/2021

Transparency: CMA: spending over =C2=A3500, March 2021… | 04/30/2021

Transparency: CMA: spending over =C2=A325,000, March 2021… | 04/30/2021

CMA Case: NVIDIA / Arm merger inquiry… | 04/30/2021

CMA Case: COVID-19 cancellations: package holidays… | 04/30/2021

Press Release: Imprivata’s purchase of Isosec raises competition concerns… | 04/29/2021

Guidance: Payment Protection Insurance Market Investigation Order 2011: Directio… | 04/29/2021

CMA Case: Imprivata, Inc. / Isosec Limited merger inquiry… | 04/29/2021

CMA Case: Bellis Acquisition Company 3 Limited / Asda Group Limited merger inqui… | 04/29/2021

CMA Case: SK hynix / Intel’s NAND and SSD business merger inquiry… | 04/27/2021

 
 
 
UK-FCA
 
 
 
 
 
 
 
 

News: Forex Cube/ForexCube (clone of an FCA Authorised Firm and EEA Authoris… | 04/30/2021

News: Forex Premium (clone of FCA authorised firm)… | 04/30/2021

News: Wolberg-Cohen & Associates LLC… | 04/30/2021

News: Bonds 4U / bonds-4u.com (clone of FCA authorised firm)… | 04/30/2021

News: WhiteRock Capital Partners Limited… | 04/30/2021

News: ISA Supermarket / isa-supermarket.com (clone of FCA authorised firm)… | 04/30/2021

News: 5starinvestcompare.co.uk… | 04/30/2021

News: Instant Loan Lender… | 04/30/2021

News: SocialTRD… | 04/30/2021

News: FCA consults on strengthening investor protections in SPACs… | 04/30/2021

 
 
 
UK-HMT
 
 
 
 
 
 
 
 

News Story: Chris Grigg CBE appointed Chair of the UK Infrastructure Bank… | 04/30/2021

Guidance: Financial sanctions, Myanmar… | 04/29/2021

News Story: Call for views on new residential developer tax… | 04/29/2021

Open Consultation: Residential Property Developer Tax: consultation… | 04/29/2021

News Story: Milestone for UK financial services as Bill receives Royal Assent… | 04/29/2021

Html Publication: Levelling Up Fund: Frequently asked questions… | 04/28/2021

Html Publication: Marginal Viability Funding projects in contract… | 04/28/2021

Policy Paper: Counter-Terrorism Licensing Policy… | 04/28/2021

Policy Paper: Financial Reporting Manual Addendum 2019-20 and 2020-21… | 04/27/2021

Impact Assessment: Strategic review of the financial reporting response to COVID-19… | 04/27/2021

 
 
 
UK-ICO
 
 
 
 

Blog: Free advisory check-ups help small businesses make the best use of the… | 04/30/2021

Decision Notice: Somerset County Council… | 04/28/2021

Decision Notice: Armagh City, Banbridge and Craigavon Borough Council… | 04/27/2021

Decision Notice: Northumbria Police… | 04/27/2021

Decision Notice: Northumbria Police… | 04/27/2021

Decision Notice: Royal Borough of Kingston upon Thames… | 04/27/2021

Decision Notice: University of Sheffield… | 04/27/2021

Decision Notice: London Borough of Sutton Council… | 04/27/2021

Decision Notice: Staffordshire Police… | 04/27/2021

Decision Notice: Department for Education… | 04/27/2021

 
 
 
UK-LSB
 
 
 
 

News: Keeping it simple: the fight against jargon and unsuitable comms — ww… | 04/29/2021

News: Keeping it simple: the fight against jargon and unsuitable comms… | 04/29/2021

 
 
 
UK-PRA
 
 
 
 
 
 

Letter: Letter from Melanie Beaman ‘Thematic Findings of Internal Audit Review… | 04/30/2021

Letter: Letter from Melanie Beaman ‘Thematic Findings of Internal Audit Review… | 04/30/2021

Discussion paper: DP1/21 – A strong and simple prudential framework for non-systemic ban… | 04/29/2021

Discussion paper: DP1/21 – A strong and simple prudential framework for non-systemic ban… | 04/29/2021

Statement: PRA statement on the disclosure of exposures subject to measures appli… | 04/27/2021

Consultation paper: CP9/21 – Remuneration: Correction to the definition of ‘higher paid ma… | 04/26/2021

Consultation paper: CP9/21 – Remuneration: Correction to the definition of ‘higher paid ma… | 04/26/2021

 
 
 
VA
 
 
 
 

Notice: Agency Information Collection Activity Under OMB Review: Claim for Rei… | 05/03/2021

Notice: Agency Information Collection Activity Under OMB Review: Financial Cou… | 05/03/2021

Notice: Agency Information Collection Activity under OMB Review: Supporting St… | 05/03/2021

Notice: Veterans’ Advisory Committee on Education, Notice of Meeting… | 05/03/2021

Notice: Agency Information Collection Activity: 36.4350-Servicing Procedures f… | 05/03/2021

Notice: Advisory Committee on Tribal and Indian Affairs; Establishment… | 05/03/2021

Notice: Dependency and Indemnity Compensation Cost of Living Adjustments… | 05/03/2021

Notice: Privacy Act of 1974; System of Records… | 04/30/2021

Notice: Privacy Act of 1974; System of Records… | 04/30/2021

Notice: Geriatric and Gerontology Advisory Committee; AMENDED, Notice of Meeti… | 04/29/2021

 

X