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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Enforcement | Published 03/01/2019
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No. 85232 / March 1, 2019 ADMINISTRATIVE PROCEEDING File No. 3-18909 In the Matter of Fifth Street Management, LLC… Read More
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Final Rule | Published 02/25/2019 | Effective 02/25/2019
The Department of Veterans Affairs (VA) amends its national cemetery regulations prohibiting the interment or memorialization of certain persons who have been convicted of Federal or State capital crimes. This final rule incorporates the statutory… Read More
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Agency Update Report

News | Published 03/04/2019
The above-named bank has reported that counterfeit official bank checks using the bank’s routing number of 092005411 are being presented for payment nationwide in connection with a variety of online auction and job opportunity scams… Read More
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Final Rule | Published 02/28/2019 | Effective 04/01/2019
The Board is adopting a final policy statement on the approach to supervisory stress testing conducted under the Board’s stress testing rules and the Board’s capital plan rule… Read More
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Final Rule | Published 02/27/2019 | Effective 03/29/2019
This rule adopts revisions to the Department’s regulations under the Freedom of Information Act (FOIA). The regulations are being revised to update and streamline procedures and incorporate certain changes brought about by the amendments to the FOIA… Read More
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Notice | Published 02/26/2019
The U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC) is publishing the names of persons that have been placed on OFAC’s Specially Designated Nationals and Blocked Persons List based on OFAC’s determination that one or more ap… Read More
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Notice | Published 03/01/2019 | Comments Close 04/01/2019
The Department of Labor (DOL) is submitting the Bureau of Labor Statistics (BLS) sponsored information collection request (ICR) titled, “International Price Program U.S. Import and Export Price Indexes,” to the Office of Management and Budget (OMB)… Read More
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Notice | Published 03/01/2019 | Comments Close 04/30/2019
Department of Justice (DOJ), Federal Bureau of Investigation, Criminal Justice Information Services Division will be submitting the following information collection request to the Office of Management and Budget (OMB) for review and approval in… Read More
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Proposed Rule | Published 02/25/2019
This document is a request for information regarding grandfathered group health plans and grandfathered group health insurance coverage. Given the limited information available regarding such coverage, the Department of the Treasury, the Department… Read More
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Proposed Rule | Published 02/26/2019 | Comments Close 03/18/2019
On December 17, 2018, the Board of Governors of the Federal Reserve System (Board), the Federal Deposit Insurance Corporation (FDIC), and the Office of the Comptroller of the Currency (OCC) (collectively, the agencies) published in the Federal Regist… Read More
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Enforcement | Published 02/26/2019
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054932701 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Emanuel Omar Avina (“Avina”), Former Registered Representative CRD… Read More
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Enforcement | Published 02/28/2019
Federal Trade Commission, Plaintiff, v. F9 Advertising LLC, a Puerto Rican limited liability Company; Ace Initiative Group LLC, a Wyoming limited liability company; Connected Ad Station LLC, a Wyoming limited liability company; Fastlane Sales LLC… Read More
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News | Published 03/01/2019
Effective March 1, servicers are encouraged to implement the new borrower- initiated MI termination based on Current Value using SMDU™. All servicers must process borrower-initiated MI termination via SMDU for both Original Value and Current Value by… Read More
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Space Force

Presidential Document | Published 02/25/2019
Memorandum for the Vice President[,] the Secretary of State[,] the Secretary of Defense[,] the Secretary of Commerce[,] the Secretary of Labor[,] the Secretary of Transportation[,] the Secretary of Homeland Security[,] the Director of the Office of… Read More
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Notice | Published 02/27/2019
Under the Federal Advisory Committee Act (FACA), this notice sets forth the announcement of a public meeting of the Community Bank Advisory Council (CBAC or Council) of the Bureau of Consumer Financial Protection (Bureau). The notice also describes… Read More
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Notice | Published 03/01/2019
MATTERS TO BE CONSIDERED: The Commodity Futures Trading Commission (“Commission” or “CFTC”) will hold this meeting to consider the following matters: Amendment to the Comparability Determination for Japan: Margin Requirements for Uncleared Swaps… Read More
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