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

-

FINRA enforcements decreased 70% over the past 30 days

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

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161 Final Rules go into effect in the next 30 days

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22 Mortgage Lending docs published in the last 7 days

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1460 docs with 2637 extracted obligations from the last 7 days

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

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3869 new docs in pro.compliance.ai within the last 7 days

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

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CAN-BOC
 
 
 
 

Agency Update: Market Concentration and Uniform Pricing: Evidence from Bank Mergers… | 02/16/2021

 
 
 
CAN-OSFI
 
 
 
 

Agency Update: Ligne directrice Pratiques et proc=C3=A9dures de souscription de pr=C3=AAts hypo… | 02/18/2021

Agency Update: Residential Mortgage Underwriting Practices and Procedures Guideline (… | 02/18/2021

 
 
 
CFPB
 
 
 
 

Final Rule: Higher-Priced Mortgage Loan Escrow Exemption (Regulation Z)… | 02/17/2021

Blog: Homeowners have expanded access to protections… | 02/16/2021

 
 
 
CFTC
 
 
 
 

Notice: Global Markets Advisory Committee… | 02/19/2021

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 02/17/2021

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 02/17/2021

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 02/17/2021

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 02/17/2021

 
 
 
EOP
 
 
 
 

Presidential Document: Establishment of the White House Office of Faith- Based and Neighborho… | 02/18/2021

Presidential Document: Continuation of the National Emergency With Respect to Libya… | 02/16/2021

 
 
 
FDIC
 
 
 
 
 
 

Financial Institution Letter: FIL-08-2021 – Revisions to the Consolidated Reports of Condition and I… | 02/19/2021

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 02/18/2021

Notice: Agency Information Collection Activities: Submission for OMB Review; C… | 02/17/2021

Notice: Agency Information Collection Activities: Proposed Collection Renewal;… | 02/17/2021

Memorandum: Final Rule on Assessments, Amendments to Address the Temporary Deposit… | 02/16/2021

Financial Institution Letter: FIL-07-2021 – Final Rule to Address the Temporary Deposit Insurance As… | 02/16/2021

Final Rule: Branch Application Procedures; Correction… | 02/16/2021

 
 
 
FFIEC
 
 
 
 

Notice: Standardized Instructions and Format To Be Used for Interim and Final … | 02/17/2021

 
 
 
FINCEN
 
 
 
 

Comment: Comment on FR Doc # 2020-28437; Public Submission; NA… | 02/18/2021

Comment: Comment on FR Doc # 2021-01918; Public Submission; NA… | 02/16/2021

 
 
 
FINRA
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): Kapitall Generation, LLC AWCs (Letters of Acceptance, Waiver, and Cons… | 02/19/2021

AWCs (Letters of Acceptance, Waiver, and Consent): Scott Wayne Reed AWCs (Letters of Acceptance, Waiver, and Consent)… | 02/19/2021

Notices: Regulatory Notice 21-06 2021 GASB Accounting Support Fee to Fund the G… | 02/19/2021

AWCs (Letters of Acceptance, Waiver, and Consent): James Alan Schumaker AWCs (Letters of Acceptance, Waiver, and Consent)… | 02/18/2021

Notices: Regulatory Notice 21-05 SEC Grants FINRA Request for 30-Day Filing Ext… | 02/18/2021

AWCs (Letters of Acceptance, Waiver, and Consent): James Scott Harrison AWCs (Letters of Acceptance, Waiver, and Consent)… | 02/17/2021

AWCs (Letters of Acceptance, Waiver, and Consent): Network 1 Financial Securities Inc. AWCs (Letters of Acceptance, Waive… | 02/17/2021

AWCs (Letters of Acceptance, Waiver, and Consent): Michael Nagy AWCs (Letters of Acceptance, Waiver, and Consent)… | 02/17/2021

Notices: Information Notice 2/16/21 New Rate for Fees Paid Under Section 31 of … | 02/16/2021

AWCs (Letters of Acceptance, Waiver, and Consent): Bradley Allen Goodbred AWCs (Letters of Acceptance, Waiver, and Consen… | 02/16/2021

 
 
 
FRS
 
 
 
 
 
 

Testimony: Monetary Policy Report – February 2021… | 02/19/2021

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 02/18/2021

Press Release: Federal Register notice: Netting Eligibility for Financial Institution… | 02/18/2021

Speech: The Role of Financial Institutions in Tackling the Challenges of Clima… | 02/18/2021

Press Release: Federal Reserve Board announces final rule intended to reduce risk and… | 02/18/2021

Notice: Proposed Agency Information Collection Activities; Comment Request… | 02/17/2021

Notice: Proposed Agency Information Collection Activities; Comment Request… | 02/17/2021

Press Release: Minutes of the Federal Open Market Committee, January 26-27, 2021… | 02/17/2021

Final Rule: Loans to Executive Officers, Directors, and Principal Shareholders of … | 02/17/2021

Notice: Agency Information Collection Activities: Announcement of Board Approv… | 02/17/2021

 
 
 
FTC
 
 
 
 
 
 

Consumer Alert: Refunds for Amazon Flex Drivers… | 02/19/2021

Notice: Granting of Requests for Early Termination of the Waiting Period Under… | 02/18/2021

Notice: Granting of Requests for Early Termination of the Waiting Period Under… | 02/18/2021

Blog: HSR threshold adjustments and reportability for 2021… | 02/17/2021

News: FTC Report Cites Benefits of International Cooperation On Antitrust an… | 02/16/2021

 
 
 
Freddie
 
 
 
 

News: Uniform Residential Loan Application March 1 Mandate and Messaging Upd… | 02/16/2021

 
 
 
INT-BIS
 
 
 
 

Working Paper: Debt specialisation and diversification: International evidence… | 02/17/2021

 
 
 
INT-EBA
 
 
 
 

Press Release: EBA publishes final draft technical standards on indirect exposures ar… | 02/19/2021

Press Release: EBA publishes final draft technical standards on disclosure of indicat… | 02/18/2021

News: EBA consults on guidance to assess breaches of the large exposure limi… | 02/17/2021

Press Release: EBA publishes final guidelines on the conditions for the alternative t… | 02/16/2021

 
 
 
INT-FATF
 
 
 
 

Publication: FATF Plenary, February 2021… | 02/19/2021

Publication: Botswana’s progress in strengthening measures to tackle money launderi… | 02/18/2021

Publication: Uganda’s progress in strengthening measures to tackle money laundering… | 02/18/2021

Publication: Seychelles’ progress in strengthening measures to tackle money launder… | 02/18/2021

Publication: Mauritius’ progress in strengthening measures to tackle money launderi… | 02/18/2021

Publication: Madagascar’s progress in strengthening measures to tackle money launde… | 02/18/2021

Publication: Ethiopia’s progress in strengthening measures to tackle money launderi… | 02/18/2021

Publication: Barbados’ progress in strengthening measures to tackle money launderin… | 02/17/2021

Publication: Denmark’s progress in strengthening measures to tackle money launderin… | 02/16/2021

 
 
 
INT-IOSCO
 
 
 
 

Final Rule: FR02/2021 Observed Impact of COVID-19 Government Support Measures on C… | 02/15/2021

Media Release: IOSCO Reviews the Impact of COVID-19 Government Support Measures on Cr… | 02/15/2021

 
 
 
NCUA
 
 
 
 

Notice: Sunshine Act Meetings… | 02/17/2021

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 02/19/2021

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 02/19/2021

Agency Update: Partial Amendment No. 1… | 02/19/2021

Agency Update: Partial Amendment No. 1… | 02/19/2021

Agency Update: Partial Amendment No. 1… | 02/19/2021

Agency Update: Partial Amendment No. 1… | 02/19/2021

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Order Inst… | 02/19/2021

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Order Inst… | 02/19/2021

Agency Update: WILSHIRE WSHARES ENHANCED GOLD TRUST… | 02/18/2021

Agency Update: AMERICAN CENTURY ETF TRUST (QCON, QPEF)… | 02/18/2021

 
 
 
OCC
 
 
 
 
 
 

Comment: Dow Chemical Employees’ Credit Union; Public Submission; Dow Chemical … | 02/19/2021

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 02/18/2021

News Release: NR 2021-23 OCC Enforcement Actions and Terminations… | 02/18/2021

Alert: ALERT 2021-2 Fictitious Notification Regarding the Release of Funds Su… | 02/17/2021

Alert: ALERT 2021-1 Unauthorized Banking: National Bank and Trust… | 02/17/2021

News Release: NR 2021-22 OCC Promotes Two to Deputy Comptroller for Large Bank Super… | 02/17/2021

Notice: Agency Information Collection Requirements: Information Collection Ren… | 02/17/2021

Bulletin: OCC 2021-8 Role of Supervisory Guidance : Final Rule… | 02/16/2021

News Release: NR 2021-21 OCC Allows National Banks and Federal Savings Associations … | 02/16/2021

Notice: Agency Information Collection Activities: Information Collection Renew… | 02/16/2021

 
 
 
OFAC
 
 
 
 

Financial Sanction: Settlement Agreement between the U.S. Department of the Treasury=C3=A2=E2=82=AC=E2=84=A2s O… | 02/18/2021

Financial Sanction: Revocation of Counter Terrorism General Licenses; Counter Terrorism De… | 02/16/2021

 
 
 
SEC
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approvi… | 02/22/2021

Notice: Strategas Trust and Strategas Securities, LLC… | 02/22/2021

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Withdraw… | 02/22/2021

Notice: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of … | 02/22/2021

Notice: Sunshine Act Meetings… | 02/22/2021

Notice: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and I… | 02/22/2021

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 02/19/2021

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 02/19/2021

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing o… | 02/19/2021

Notice: Self-Regulatory Organizations; Nasdaq BX, Inc.; Order Granting Approva… | 02/19/2021

 
 
 
TREAS
 
 
 
 
 
 

Notice: Agency Information Collection Activities; Proposed Collection; Comment… | 02/22/2021

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 02/19/2021

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 02/19/2021

Notice: Periodic Meetings of the U.S. Department of the Treasury Tribal Adviso… | 02/18/2021

Civil Money Penalty: BitPay, Inc…. | 02/18/2021

Readout: READOUT: Secretary of the Treasury Janet L. Yellen’s Call with Ministe… | 02/17/2021

Readout: READOUT: Secretary of the Treasury Janet L. Yellen’s Call with Europea… | 02/16/2021

Press Release: United States Announces Leading Pledge to the International Fund for A… | 02/16/2021

Readout: Secretary of the Treasury Janet L. Yellen’s Call with European Central… | 02/16/2021

 
 
 
UK-BOE
 
 
 
 
 
 

News: Anna Sweeney: Milliman Climate Resilience Forum =E2=80=9CClimate resilience st… | 02/19/2021

News: Treasury Select Committee on the February Monetary Policy Report (14:3… | 02/19/2021

News: Jon Hall: Speaker at the South West Business Council Quarterly Virtual… | 02/19/2021

News: Tangy Morgan – Women in Banking & Finance (WIBF) =E2=80=9CPurpose-led culture … | 02/19/2021

Agency Update: Revisiting the New Keynesian policy paradoxes under QE… | 02/19/2021

News: An update on the economic outlook – speech by Gertjan Vlieghe… | 02/19/2021

News: Minutes of the Securities Lending Committee meeting =E2=80=93 February 2021… | 02/19/2021

Minutes: Minutes of the Securities Lending Committee meeting =C3=A2=E2=82=AC” February 2021 … | 02/19/2021

Museum: Why was the Bank of England founded?… | 02/19/2021

Working Paper: Revisiting the New Keynesian policy paradoxes under QE — Revisiting t… | 02/19/2021

 
 
 
UK-CMA
 
 
 
 
 
 

CMA Case: Investigation of the Atlantic Joint Business Agreement… | 02/22/2021

CMA Case: SSE code modifications appeal… | 02/19/2021

Corporate Report: Competition law warning and advisory letters register… | 02/18/2021

CMA Case: Graco BV / Hi-Tech Spray Equipment merger inquiry… | 02/18/2021

CMA Case: Price comparison website: use of most favoured nation clauses… | 02/18/2021

Html Publication: Advisory letters issued by the CMA… | 02/17/2021

Html Publication: The CMA’s Digital Markets Strategy: June 2019… | 02/17/2021

Html Publication: Warning letters issued by the CMA… | 02/17/2021

Html Publication: The CMA’s Digital Markets Strategy: February 2021 refresh… | 02/17/2021

CMA Case: Bellis Acquisition Company 3 Limited / Asda Group Limited merger inqui… | 02/17/2021

 
 
 
UK-FCA
 
 
 
 

News: MC Invest SA / MC Invest Financial (MCIF)… | 02/22/2021

News: MC Invest SA / MC Invest Financial (MCIF)… | 02/22/2021

News: comparebonds.org… | 02/19/2021

News: UK BETTER BONDS… | 02/19/2021

News: Bond Select UK… | 02/19/2021

News: UK BETTER BONDS… | 02/19/2021

News: Investment Finder-UK… | 02/19/2021

News: FCA news and publications now available in a daily email alert… | 02/19/2021

News: incomebonds.co.uk… | 02/19/2021

News: Online Trading/Online Trading Market… | 02/19/2021

 
 
 
UK-HMT
 
 
 
 
 
 
 
 

Corporate Report: Vote on Account 2021-22… | 02/22/2021

Corporate Report: Statement of Excesses 2019-20 and Late Statement of Excesses 2018-19… | 02/22/2021

Corporate Report: Supplementary Estimates 2020-21… | 02/22/2021

Closed Consultation: HM Treasury fundamental review of business rates: call for evidence… | 02/19/2021

News Story: Business Rates Review Update… | 02/19/2021

Official Statistics: Help to Buy: ISA Scheme Quarterly Statistics: December 2015 to 30 Sept… | 02/18/2021

News Story: Government to publish range of tax consultations and calls for evidenc… | 02/18/2021

News Story: Independent report: John Penrose MP publishes proposals to strengthen … | 02/16/2021

Press Release: Further =C2=A3650 million funding boost for Covid-19 response in Wales… | 02/16/2021

Independent Report: Power to the people: independent report on competition policy… | 02/16/2021

 
 
 
UK-ICO
 
 
 
 
 
 

Statement: ICO statement in response to the publication of a draft adequacy decis… | 02/19/2021

Monetary penalties: Just Hype Ltd — Just Hype Ltd monetary penalty notice… | 02/18/2021

Agency Update: Just Hype Ltd… | 02/18/2021

News: ICO launches data analytics toolkit… | 02/17/2021

Decision Notice: Cabinet Office… | 02/15/2021

Decision Notice: University of Winchester… | 02/15/2021

Decision Notice: Ministry of Justice… | 02/15/2021

Decision Notice: West Yorkshire Police… | 02/15/2021

 
 
 
UK-PRA
 
 
 
 

Letter: Virtual Meetings with the PRA’s Senior Advisors – Letter… | 02/16/2021

Letter: Letter from Victoria Saporta ‘Disclosures about IFRS 9 expected credit… | 02/16/2021

Letter: Virtual Meetings with the PRA’s Senior Advisors… | 02/16/2021

Letter: Letter from Victoria Saporta ‘Disclosures about IFRS 9 expected credit… | 02/16/2021

 
 
 
VA
 
 
 
 

Notice: Agency Information Collection Activity Under OMB Review: Decision Revi… | 02/18/2021

Notice: Agency Information Collection Activity Under OMB Review: Decision Revi… | 02/18/2021

Notice: Agency Information Collection Activity: REPS Annual Eligibility Report… | 02/17/2021

Notice: Agency Information Collection Activity: Report of Income From Property… | 02/17/2021

Notice: Agency Information Collection Activity: Certification of School Attend… | 02/17/2021

Notice: Agency Information Collection Activity: Lender’s Staff Appraisal Revie… | 02/17/2021

Notice: Agency Information Collection Activity: Application in Acquiring Speci… | 02/17/2021

Circular: Circular 26-21-5 – Extended Foreclosure and Eviction Relief for Borrow… | 02/16/2021

Notice: Agency Information Collection Activity: Personalized Career Planning a… | 02/16/2021

Notice: Agency Information Collection Activity: Application of Surviving Spous… | 02/16/2021

 

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