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


FINRA enforcements decreased 70% over the past 30 days


CME issued enforcements: $1,241,754.92 over the past 30 days


161 Final Rules go into effect in the next 30 days


37 Mortgage Lending docs published in the last 7 days


1460 docs with 2637 extracted obligations from the last 7 days


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


2509 new docs in pro.compliance.ai within the last 7 days


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Proposed Rule | Published 12/13/2018 | Comments Close 02/11/2019
The Bureau of Consumer Financial Protection (Bureau or BCFP) invites the public to take this opportunity to comment on its proposed Policy on No-Action Letters and the BCFP Product Sandbox, which is intended to carry out certain of the Bureau’s autho… Read More
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Agency Update | Published 12/14/2018
FHA INFO #18-49 December 14, 2018 TO: All FHA-Approved Mortgagees All Other Interested Stakeholders in FHA Transactions NEWS AND UPDATES Streamlining Warranty Requirements for Federal Housing Administration (FHA) Single Family Mortgage Insura… Read More
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Enforcement | Published 12/14/2018
Tags: Consumer Protection Advertising and Marketing Made in USA Appliances… Read More
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News | Published 12/12/2018
TO: Freddie Mac Sellers December 5, 2018 | 2018-24 SUBJECT: SELLING UPDATES This Guide Bulletin announces: Single Security Initiative… Read More
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News | Published 12/11/2018
Chairman Crapo, Ranking Member Brown, and Senators of the Committee thank you for the opportunity to testify before you today about the work of the U.S. Securities and Exchange Commission (SEC or Commission or Agency). Chairing the Commission is a great privilege, and I am fortunate to be able to observe firsthand the incredible work done by the agency’s almost 4,500 dedicated staff, approximately41 percent of whom are outside of Washington, D.C., in our eleven regional offices… Read More
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Notice | Published 12/10/2018 | Comments Close 01/09/2019
The Department of Labor (DOL) is submitting the Bureau of Labor Statistics (BLS) sponsored information collection request (ICR) revision titled, “Survey of Occupational Injuries and Illnesses,” to the Office of Management and Budget (OMB) for… Read More
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Notice | Published 12/14/2018 | Comments Close 01/29/2019
VA announces the availability of the draft PEIS for the VA West Los Angeles Medical Center Campus (WLA) draft Master Plan for public comment. The draft PEIS identifies, analyzes, and documents the potential environmental, cultural, socioeconomic, and… Read More
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Proposed Rule | Published 12/10/2018 | Comments Close 02/08/2019
The Commodity Futures Trading Commission (“CFTC” or “Commission”) is proposing to revise its regulations requiring covered persons to provide annual privacy notices to customers. The proposed revisions implement the Fixing America’s Surface Trans… Read More
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Agency Update | Published 12/14/2018
Actions Demonstrate U.S. Commitment to Stabilizing South Sudan Washington – Today, the U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC) imposed sanctions on three individuals pursuant to Executive Order (E.O) 13664: Israel Zi… Read More
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Presidential Document | Published 12/12/2018
Our Nation was founded on the idea that our Creator endows each individual with certain unalienable rights. In the Declaration of Independence, Thomas Jefferson identified life, liberty, and the pursuit of happiness as among these fundamental human… Read More
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Notice | Published 12/14/2018
Pursuant to the provisions of the “Government in the Sunshine Act” (5 U.S.C. 552b), notice is hereby given that the Federal Deposit Insurance Corporation’s Board of Directors will meet in open session at 10:00 a.m. on Tuesday, December 18, 2018, to… Read More
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News | Published 12/13/2018
The Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for the Compliance Outreach Program for Municipal Advisors… Read More
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Final Rule | Published 12/13/2018 | Effective 12/13/2018
On August 6, 2018, the Board of Governors of the Federal Reserve System (Board) published a final rule in the Federal Register (83 FR 38460) regarding Single-Counterparty Credit Limits for Bank Holding Companies and Foreign Banking Organizations… Read More
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Enforcement | Published 12/12/2018
NYSE ARCA, INC. Complainant, v. Proceeding No. 2017-05-00062 December 12, 2018 NYSE REGULATION, SUMMIT SECURITIES GROUP, LLC, Respondent. Summit Securities Group, LLC violated: (i) NYSE Arca Equitie…. Read More
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News | Published 12/12/2018
WASHINGTON — The Office of the Comptroller of the Currency (OCC) reported trading revenue of U.S. commercial banks and federal savings associations of $7.1 billion in the third quarter 2018, which was $0.2 billion, 2.7 percent, more than the previous… Read More
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Notice | Published 12/14/2018 | Comments Close 02/12/2019
The Department of Justice, Drug Enforcement Administration (DEA), will be submitting the following information collection request to the Office of Management and Budget for review and approval in accordance with the Paperwork Reduction Act of 1995… Read More
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News | Published 12/03/2018
WASHINGTON—As a result of a working group established by the U.S. Department of the Treasury’s Office of Terrorism and Financial Intelligence and the Federal depository institutions regulators, the Financial Crimes Enforcement Network (FinCEN) and it… Read More
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News | Published 12/12/2018
For a summary of key updates in this Servicing Guide Announcement, view the executive overview provided by Carlos Perez, Chief Credit Officer for Single Family… Read More
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