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

-

OFAC enforcements increased 50% over the past 30 days

-

SEC issued enforcements: $88,633,075.00 over the past 30 days

-

123 Final Rules go into effect in the next 30 days

-

42 Mortgage Lending docs published in the last 7 days

-

149 docs with 7429 extracted obligations from the last 7 days

-

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

-

6910 new docs in pro.compliance.ai within the last 7 days

-

Download the Q3 Enforcement eBook now!

-

Join us Feb 4th at Comply 2021

-

 
 
CFPB
 
 
 
 

News: Consumer Financial Protection Bureau Files Suit Against Lexington Law,… | 05/02/2019

News: Consumer Financial Protection Bureau Proposes Changes to HMDA Rules… | 05/02/2019

News: Bureau releases redesigned HMDA research & data page… | 05/02/2019

Enforcement Action: PGX Holdings, Inc…. | 05/02/2019

News: Consumer Financial Protection Bureau Settles with Conduent Education S… | 05/01/2019

News: Youth Financial Education: What We Know and Key Questions for Future R… | 05/01/2019

Enforcement Action: Conduent Education Services, LLC… | 05/01/2019

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

News: Financial information and tools available to help people transitioning… | 04/29/2019

 
 
 
CFTC
 
 
 
 

Notice: Agency Information Collection Activities: Notice of Intent To Renew Co… | 05/01/2019

 
 
 
DOJ
 
 
 
 

Notice: Privacy Act of 1974; Systems of Records… | 05/06/2019

Notice: Agency Information Collection Activities; Proposed Collection Comments… | 05/02/2019

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Air Act… | 05/02/2019

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Water Act… | 05/02/2019

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 05/02/2019

Notice: Agency Information Collection Activities: New Information Collection I… | 05/01/2019

Notice: Agency Information Collection Activities; Proposed Collection; Comment… | 05/01/2019

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

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 05/02/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 05/02/2019

Notice: Vacancy Posting for a Member of the Benefits Review Board… | 05/02/2019

 
 
 
EOP
 
 
 
 

Presidential Document: Law Day, U.S.A., 2019… | 05/06/2019

Presidential Document: Loyalty Day, 2019… | 05/06/2019

Presidential Document: Jewish American Heritage Month, 2019… | 05/06/2019

Presidential Document: Older Americans Month, 2019… | 05/06/2019

Presidential Document: Asian American and Pacific Islander Heritage Month, 2019… | 05/06/2019

Presidential Document: National Physical Fitness and Sports Month, 2019… | 05/06/2019

Presidential Document: National Foster Care Month, 2019… | 05/06/2019

Presidential Document: National Day of Prayer, 2019… | 05/06/2019

Presidential Document: National Mental Health Awareness Month, 2019… | 05/06/2019

Presidential Document: World Intellectual Property Day, 2019… | 05/02/2019

 
 
 
FDIC
 
 
 
 

Notice: Notice of Termination of Receiverships… | 05/06/2019

Notice: Notice to All Interested Parties of Intent To Terminate Receivership… | 05/06/2019

Notice: FDIC Systemic Resolution Advisory Committee; Notice of Charter Renewal… | 05/02/2019

Proposed Rule: Regulatory Capital Rule: Revisions to the Supplementary Leverage Ratio… | 04/30/2019

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

 
 
 
FFIEC
 
 
 
 

News: Fite Re-Appointed to FFIEC State Liaison Committee… | 05/01/2019

News: Gonzales Elected as State Liaison Committee Chairman… | 05/01/2019

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

 
 
 
FINCEN
 
 
 
 

News: Updated FinCEN Advisory Warns Against Continued Corrupt Venezuelan Att… | 05/03/2019

 
 
 
FINRA
 
 
 
 

Enforcement: Midtown Partners & Co., LLC… | 05/02/2019

Enforcement: AXA Advisors, LLC… | 05/02/2019

News: FINRA Sanctions AXA Advisors, LLC Approximately $772,000 for Misrepres… | 05/02/2019

Enforcement: Jamie Bennett… | 04/30/2019

Enforcement: Anselmo Contreras Jr…. | 04/30/2019

Enforcement: Gerard N. Whelan… | 04/30/2019

Enforcement: Michael John Ahearn… | 04/29/2019

Enforcement: Kajo Movsesian… | 04/29/2019

 
 
 
FRS
 
 
 
 

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 05/06/2019

Notice: Change in Bank Control Notices; Acquisitions of Shares of an Insured D… | 05/06/2019

News: Federal Reserve Board invites comment on a proposal to apply netting p… | 05/03/2019

News: Models, Markets, and Monetary Policy – Vice Chair Richard H. Clarida… | 05/03/2019

News: Attachment (PDF) – Federal Reserve Board invites comment on a proposal… | 05/03/2019

News: Federal Reserve System’s Community Development Research Conference to … | 05/02/2019

Notice: Privacy Act of 1974; System of Records… | 05/02/2019

News: Federal Reserve Board issues enforcement action with former employee o… | 05/02/2019

Proposed Rule: Netting Eligibility for Financial Institutions… | 05/02/2019

News: Federal Reserve issues FOMC statement… | 05/01/2019

 
 
 
FTC
 
 
 
 
 
 

News: FTC Becomes a Founding Member of ICN Framework to Promote Procedural F… | 05/03/2019

News: In Submissions, Brevity=E2=80=99s Better… | 05/02/2019

News: In Submissions, Brevity=E2=80=99s Better… | 05/02/2019

Proposed Rule: Regulatory Review Schedule… | 05/02/2019

Final Rule: Trade Regulation Rule Concerning Preservation of Consumers’ Claims and… | 05/02/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 05/02/2019

Notice: ClixSense.com; Analysis to Aid Public Comment… | 05/01/2019

News: Cmr. Phillips speech at the Hudson Institute… | 04/30/2019

Enforcement: Reembolsos de Repair All… | 04/30/2019

Enforcement: Repair All Refunds… | 04/30/2019

 
 
 
Fannie
 
 
 
 

News: Fannie Mae Reports Net Income of $2.4 Billion and Comprehensive Income… | 05/01/2019

News: Selling Guide Updates… | 05/01/2019

News: Key Selling Announcement SEL-2019-04 Updates… | 05/01/2019

 
 
 
Freddie
 
 
 
 

News: Guide Bulletin 2019-9: Updates to Property Eligibility, Appraisal Requ… | 05/01/2019

News: Coming Soon: A New Way to Experience Freddie Mac Single-Family Busines… | 05/01/2019

News: Coming Soon: A New Way to Experience Freddie Mac Single-Family Busines… | 05/01/2019

News: Guide Bulletin 2019-9: Updates to Property Eligibility, Appraisal Requ… | 05/01/2019

News: Guide Bulletin 2019-9: Updates to Property Eligibility, Appraisal Requ… | 05/01/2019

 
 
 
NYSE
 
 
 
 

Agency Update: Poposal to modify Rule 6.15-O regarding the Give Up of a Clearing Memb… | 05/02/2019

Agency Update: Proposal to amend the NYSE Arca Equities Fees and Charges regarding cr… | 04/30/2019

Agency Update: Proposal to amend the NYSE Arca Equities Fees and Charges to adopt a h… | 04/30/2019

 
 
 
OCC
 
 
 
 
 
 

Notice: Agency Information Collection Activities: Information Collection Renew… | 05/06/2019

Notice: Agency Information Collection Activities: Information Collection Renew… | 05/06/2019

Notice: Agency Information Collection Activities: Information Collection Renew… | 05/06/2019

News: OCC Releases CRA Evaluations for 32 National Banks and Federal Savings… | 05/03/2019

News: OCC Hosts Credit and Compliance Risk Workshops in Kentucky… | 05/01/2019

Proposed Rule: Regulatory Capital Rule: Revisions to the Supplementary Leverage Ratio… | 04/30/2019

News: OCC Solicits Public Comment on Proposed Innovation Pilot Program… | 04/30/2019

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

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

Bulletin: Description: Advance Notice of Proposed Rulemaking… | 04/29/2019

 
 
 
OFAC
 
 
 
 

Notice: Proposed Collection; Comment Request for Remittance Forwarding Service… | 04/30/2019

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

 
 
 
SEC
 
 
 
 
 
 

Proposed Rule: Self-Regulatory Organizations; The Options Clearing Corporation; Notic… | 05/06/2019

Proposed Rule: Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a … | 05/06/2019

Proposed Rule: Self-Regulatory Organizations; Municipal Securities Rulemaking Board; … | 05/06/2019

Agency Update: [Release No. 34-85772; File No. SR-NYSE-2019-22]… | 05/03/2019

News: SEC Charges Sapphire Glass Manufacturer and Former CEO With Fraud… | 05/03/2019

News: Statement on Financial Disclosures about Acquired and Disposed Busines… | 05/03/2019

Enforcement: Paul Peter Gierten… | 05/03/2019

News: SEC Proposes to Improve Disclosures Relating to Acquisitions and Dispo… | 05/03/2019

Enforcement: GT Advanced Technologies Inc…. | 05/03/2019

Enforcement: Thomas Gutierrez… | 05/03/2019

 
 
 
TREAS
 
 
 
 

Notice: Departmental Offices; Renewal of the Treasury Borrowing Advisory Commi… | 05/06/2019

Agency Update: U.S. Department of the Treasury… | 05/03/2019

Agency Update: U.S. Department of the Treasury… | 05/02/2019

Agency Update: U.S. Department of the Treasury… | 05/01/2019

Notice: Request for Information on Data Collection and Tracking for Qualified … | 05/01/2019

Agency Update: U.S. Department of the Treasury… | 05/01/2019

Agency Update: U.S. Department of the Treasury… | 04/30/2019

Agency Update: U.S. Department of the Treasury… | 04/30/2019

Agency Update: U.S. Department of the Treasury… | 04/30/2019

Agency Update: U.S. Department of the Treasury… | 04/29/2019

 
 
 
VA
 
 
 
 

Notice: Agency Information Collection Activity: Application for Health Profess… | 05/06/2019

Notice: Agency Information Collection Activity: Airborne Hazards and Open Burn… | 05/06/2019

Notice: Agency Information Collection Activity: Disability Benefits Questionna… | 05/06/2019

Notice: Agency Information Collection Activity Under OMB Review: VA MATIC Enro… | 05/02/2019

Notice: Advisory Committee on Disability Compensation, Notice of Meeting… | 04/30/2019

Notice: Joint Biomedical Laboratory Research and Development and Clinical Scie… | 04/30/2019

Notice: Research Advisory Committee on Gulf War Veterans’ Illnesses; Notice of… | 04/30/2019

 

X