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

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FINRA enforcements increased 21% over the past 30 days

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FTC issued enforcements: $8,726,254.27 over the past 30 days

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165 Final Rules go into effect in the next 30 days

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55 Mortgage Lending docs published in the last 7 days

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5330 docs with 12540 extracted obligations from the last 7 days

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

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11627 new docs in pro.compliance.ai within the last 7 days

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Download the Q3 Enforcement eBook now!

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Join us Feb 4th at Comply 2021

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CFPB
 
 
 
 

Enforcement Document: Omni Financial of Nevada, Inc. Stipulation… | 12/30/2020

Enforcement Document: Omni Financial of Nevada, Inc. Consent order… | 12/30/2020

Comment: Comment Submitted by Kaley Schafer, NAFCU; Public Submission; NAFCU… | 12/30/2020

Press release: Consumer Financial Protection Bureau Issues Approval Order to Facilita… | 12/30/2020

Press release: Consumer Financial Protection Bureau Issues an Approval Order to Facil… | 12/30/2020

Press release: Consumer Financial Protection Bureau Settles with Omni Financial of Ne… | 12/30/2020

Comment: Comment Submitted by Robert Bascom, ; Public Submission; NA… | 12/28/2020

 
 
 
FDIC
 
 
 
 

Financial Institution Letter: FIL-117-2020 – Proposed Assessment-Related Revision to the Consolidate… | 12/30/2020

Press Release: FDIC Makes Public November Enforcement Actions… | 12/28/2020

 
 
 
FINCEN
 
 
 
 

News: FinCEN Asks Financial Institutions to Stay Alert to COVID-19 Vaccine-R… | 12/28/2020

 
 
 
FINRA
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): LPL Financial LLC AWCs (Letters of Acceptance, Waiver, and Consent)… | 12/31/2020

AWCs (Letters of Acceptance, Waiver, and Consent): SG Americas Securities, LLC AWCs (Letters of Acceptance, Waiver, and C… | 12/31/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Deutsche Bank Securities Inc. AWCs (Letters of Acceptance, Waiver, and… | 12/31/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Jason P. Collichio AWCs (Letters of Acceptance, Waiver, and Consent)… | 12/31/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Worden Capital Management LLC Jamie J. Worden AWCs (Letters of Accepta… | 12/31/2020

AWCs (Letters of Acceptance, Waiver, and Consent): B. Riley Wealth Management AWCs (Letters of Acceptance, Waiver, and Co… | 12/30/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Morgan Stanley Smith Barney LLC AWCs (Letters of Acceptance, Waiver, a… | 12/30/2020

 
 
 
FRS
 
 
 
 

Term Sheet: Nonprofit Organization Expanded Loan Facility (NOELF) Term Sheet (Dece… | 12/29/2020

FAQs: Main Street Lending Program Frequently Asked Questions (FAQs) For-Prof… | 12/29/2020

Press Release: Main Street New Loan Facility Term Sheet (PDF) – Federal Reserve exten… | 12/29/2020

Term Sheet: Main Street New Loan Facility (MSNLF) Term Sheet (December 29, 2020) (… | 12/29/2020

Term Sheet: Nonprofit Organization New Loan Facility (NONLF) Term Sheet (December … | 12/29/2020

Press Release: Nonprofit Organization New Loan Facility Term Sheet (PDF) – Federal Re… | 12/29/2020

Term Sheet: Main Street Expanded Loan Facility (MSELF) Term Sheet (December 29, 20… | 12/29/2020

Press Release: Main Street Expanded Loan Facility Term Sheet (PDF) – Federal Reserve … | 12/29/2020

Term Sheet: Main Street Priority Loan Facility (MSPLF) Term Sheet (December 29, 20… | 12/29/2020

Press Release: Main Street Priority Loan Facility Term Sheet (PDF) – Federal Reserve … | 12/29/2020

 
 
 
FTC
 
 
 
 
 
 

News: Statement of Daniel Francis, Deputy Director of the FTC’s Bureau of Co… | 12/31/2020

Complaint: Joint Motion to Dismiss Complaint (945.06 KB) CoStar Group / RentPath … | 12/30/2020

News: Ten Individual and Corporate Defendants Settle FTC Charges that They P… | 12/29/2020

Complaint: Commission Order Dismissing Complaint (46.33 KB) Methodist Le Bonheur … | 12/29/2020

Event: Prehearing scheduling conference in the matter of Hackensack Meridian … | 12/28/2020

Enforcement Order: Commission Order Withdrawing Matter from Adjudication for the Purpose … | 12/28/2020

 
 
 
INT-BIS
 
 
 
 

News: Agust=C3=ADn Carstens speaks about inflation, insolvencies and green financ… | 12/31/2020

News: Elvira Nabiullina: Speech – OPORA RUS Governor SIA session… | 12/29/2020

News: Fehmi Mehmeti: The Central Bank of the Republic of Kosovo was proactiv… | 12/29/2020

 
 
 
INT-EC
 
 
 
 

Regulation: Kommissionens gennemf=C3=B8relsesforordning (EU) 2020/2254 af 29. december … | 12/29/2020

Regulation: Durchf=C3=BChrungsverordnung (EU) 2020/2254 der Kommission vom 29. Dezember… | 12/29/2020

Regulation: Regulamento de Execu=C3=A7=C3=A3o (UE) 2020/2254 da Comiss=C3=A3o de 29 de dezembro d… | 12/29/2020

Regulation: Reglamento de Ejecuci=C3=B3n (UE) 2020/2254 de la Comisi=C3=B3n de 29 de diciemb… | 12/29/2020

Regulation: Regolamento di esecuzione (UE) 2020/2254 della Commissione del 29 dice… | 12/29/2020

Regulation: Commission Implementing Regulation (EU) 2020/2254 of 29 December 2020 … | 12/29/2020

Regulation: R=C3=A8glement d’ex=C3=A9cution (UE) 2020/2254 de la Commission du 29 d=C3=A9cembre 2… | 12/29/2020

 
 
 
NYSE
 
 
 
 

Agency Update: Proposal to amend its Schedule of Fees and Charges to establish annual… | 12/31/2020

Agency Update: UPHOLDINGS COMPOUND KINGS ETF… | 12/30/2020

Agency Update: CABOT GROWTH ETF… | 12/30/2020

Agency Update: Notice of Filing and Immediate Effectiveness of Proposed Rule Change E… | 12/30/2020

Agency Update: NEW AGE ALPHA TRUST (AVDR, AVDG)… | 12/30/2020

Agency Update: MERLYN.AI SECTORSURFER MOMENTUM ETF… | 12/30/2020

Agency Update: PACER SWAN SOS FUND OF FUNDS ETF… | 12/30/2020

Agency Update: Proposal to modify the NYSE Arca Options Fee Schedule to extend the wa… | 12/29/2020

Agency Update: Notice of Filing and Immediate Effectiveness of Proposed Rule Change t… | 12/28/2020

 
 
 
OCC
 
 
 
 

Comment: Anonymous 322; Public Submission; NA… | 01/01/2021

Comment: Polly Barry; Public Submission; NA… | 01/01/2021

Comment: Jordan House; Public Submission; NA… | 01/01/2021

Comment: Brian Bormann; Public Submission; NA… | 01/01/2021

Comment: Anonymous 325; Public Submission; NA… | 01/01/2021

Comment: Claire Davis; Public Submission; NA… | 01/01/2021

Comment: Andr=C3=A9s Isaac; Public Submission; NA… | 01/01/2021

Comment: Anonymous 321; Public Submission; NA… | 01/01/2021

Comment: Don Wolsfeld; Public Submission; NA… | 01/01/2021

Comment: Eric Penner; Public Submission; NA… | 01/01/2021

 
 
 
OFAC
 
 
 
 

Financial Sanction: Release of the 2019 Terrorist Assets Report… | 12/31/2020

Financial Sanction: Settlement Agreement between the U.S. Department of the Treasury=C3=A2=E2=82=AC=E2=84=A2s O… | 12/30/2020

Financial Sanction: Venezuela-related Designations… | 12/30/2020

Financial Sanction: Publication of Communist Chinese Military Companies Frequently Asked Q… | 12/28/2020

Financial Sanction: Settlement Agreement between the U.S. Department of the Treasury=C3=A2=E2=82=AC=E2=84=A2s O… | 12/28/2020

 
 
 
SEC
 
 
 
 
 
 

Enforcement: Signator Investors, Inc. and Gregory J. Mitchell… | 12/31/2020

Enforcement: SEC Complaint – Bowser et al…. | 12/31/2020

Enforcement: Signator Investors, Inc. and Gregory J. Mitchell – Proposed Plan of Di… | 12/31/2020

Enforcement: Bowser et al…. | 12/31/2020

Enforcement: DeAndre P. Sears et al…. | 12/31/2020

Enforcement: SEC Complaint – DeAndre P. Sears et al…. | 12/31/2020

Enforcement: OTR, Inc…. | 12/30/2020

Incoming Letter: The Alger ETF Trust… | 12/30/2020

Enforcement: Anthony Thompson, Jr., et al…. | 12/30/2020

Enforcement: Final Judgment – Joseph Taub, et al…. | 12/30/2020

 
 
 
TREAS
 
 
 
 

Civil Money Penalty: BitGo, Inc.=C3=82… | 12/30/2020

Press Release: Treasury Designates Venezuelan Officials Involved in Unjust Trial of t… | 12/30/2020

Press Release: Treasury and IRS Begin Delivering the Second Round of Economic Impact … | 12/29/2020

Civil Money Penalty: National Commercial Bank… | 12/28/2020

 
 
 
UK-FCA
 
 
 
 

Memorandums of understanding: MoU concerning consultation, cooperation and the exchange of informati… | 01/04/2021

Memorandums of understanding: Multilateral MoU concerning consultation, cooperation and the exchange… | 01/04/2021

Publication: Notification form: EEA ECD firms… | 12/31/2020

Publication: CRAs application for registration (form)… | 12/31/2020

Publication: NPPR Guidance Note – material change notifications for full-scope Gibr… | 12/31/2020

Publication: CRAs application for certification (notes)… | 12/31/2020

Publication: Full-scope Gibraltar AIFM=C3=82 only – regulation 57 material change… | 12/31/2020

Publication: CRAs application for registration (notes)… | 12/31/2020

Publication: Direction: no s.272 applications… | 12/31/2020

Publication: Notification following entry into contractual run-off (Payments)… | 12/31/2020

 
 
 
UK-ICO
 
 
 
 

Statement: ICO statement in response to UK Government’s announcement on the exten… | 12/28/2020

 
 
 
UK-PRA
 
 
 
 
 
 

PRA Regulatory Digest: PRA Regulatory Digest – December 2020… | 01/04/2021

Statement: PRA statement on the EU requirement on prudential treatment of softwar… | 12/30/2020

Prudential Regulation: PRA Rulebook: CRR Firms: Capital Buffers (Capital Requirements Directi… | 12/28/2020

Policy statement: The Bank of England’s amendments under the European Union (Withdrawal)… | 12/28/2020

Policy statement: The Bank of England’s amendments under the European Union (Withdrawal)… | 12/28/2020

Prudential Regulation: PRA Rulebook: CRR Firms: Remuneration (Capital Requirements Directive … | 12/28/2020

Prudential Regulation: PRA Rulebook: CRR Firms: Non CRR Firms: Regulatory Reporting – Branch … | 12/28/2020

Prudential Regulation: PRA Rulebook: (EU Exit) Instrument 2020… | 12/28/2020

Policy statement: The Bank of England’s amendments under the European Union (Withdrawal)… | 12/28/2020

Prudential Regulation: PRA Rulebook: CRR Firms: Arrangements, Processes and Mechanisms (Capit… | 12/28/2020

 
 
 
VA
 
 
 
 

Circular: Circular 26-20-40 – Extended Foreclosure and Eviction Relief… | 12/28/2020

 

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