177 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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46 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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10814 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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Agency Report Jan 4-11

 
 
CFPB
 
 
 
 
 
 

Notice: Advisory Committees Solicitation of Applications for Membership… | 01/11/2021

Blog: New relief for renters… | 01/08/2021

Comment: Comment Submitted by Denise Marti, ; Public Submission; NA… | 01/07/2021

Comment: Comment Submitted by Denise Marti, ; Public Submission; NA… | 01/07/2021

Comment: Comment Submitted by Anonymous Anonymous, Veterans Education Success; … | 01/05/2021

Comment: AFR Education Fund comment on role of supervisory guidance; Public Sub… | 01/05/2021

Comment: Comment from Mortgage Bankers Association; Public Submission; Mortgage… | 01/05/2021

Comment: 1.4.20 – CFPB Use of Supervisory Guidance; Public Submission; Credit U… | 01/05/2021

Comment: Better Markets Comment Letter on Notice of Proposed Rulemaking – Role … | 01/05/2021

Press release: Consumer Financial Protection Bureau=C3=A2=E2=82=AC=E2=84=A2s Taskforce on Federal Consumer… | 01/05/2021

 
 
 
CFTC
 
 
 
 

Final Rule: Electronic Trading Risk Principles… | 01/11/2021

Final Rule: Exemption From Derivatives Clearing Organization Registration… | 01/07/2021

Final Rule: Portfolio Reconciliation Requirements for Swap Dealers and Major Swap … | 01/05/2021

Final Rule: Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swa… | 01/05/2021

Agency Update: 21-02… | 01/04/2021

 
 
 
DOJ
 
 
 
 

Agency Update: ICITAP Hits 35-Year Milestone and Continues Growing its Law Enforcemen… | 01/06/2021

Notice: Notice of Lodging Proposed Consent Decree… | 01/04/2021

Agency Update: Washington Examiner Op-Ed: Trump’s DOJ has been an effective enforcer … | 01/04/2021

 
 
 
DOL
 
 
 
 

Proposed Rule: Rules of Practice and Procedure for Administrative Hearings Before the… | 01/11/2021

Final Rule: Rules of Practice and Procedure… | 01/11/2021

Final Rule: Rules of Practice and Procedure for Administrative Hearings Before the… | 01/11/2021

Proposed Rule: Rules of Practice and Procedure… | 01/11/2021

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 01/08/2021

 
 
 
EBSA
 
 
 
 

News: Court Sentences Former United Industrial and Service Workers Union Pre… | 01/05/2021

Notice: Proposed Exemption for Certain Prohibited Transaction Restrictions Inv… | 01/04/2021

 
 
 
EOP
 
 
 
 

Presidential Document: Addressing the Threat Posed by Applications and Other Software Develop… | 01/08/2021

Presidential Document: Suspension of Entry of Immigrants and Nonimmigrants Who Continue To Pr… | 01/06/2021

Presidential Document: Authorizing the City of Pharr, Texas, To Construct, Connect, Operate, … | 01/06/2021

Presidential Document: National Slavery and Human Trafficking Prevention Month, 2021… | 01/06/2021

Presidential Document: Adjustments of Certain Rates of Pay… | 01/06/2021

Presidential Document: 850th Anniversary of the Martyrdom of Saint Thomas Becket… | 01/04/2021

Presidential Document: Expanding Educational Opportunity Through School Choice… | 01/04/2021

 
 
 
FDIC
 
 
 
 

Final Rule: Collection of Civil Money Penalty Debt… | 01/11/2021

Final Rule: Regulatory Capital Treatment for Investments in Certain Unsecured Debt… | 01/06/2021

Notice: Notice of Inflation Adjustments for Civil Money Penalties… | 01/05/2021

 
 
 
FHA
 
 
 
 

News: FHA Quarterly Loan Review Summary Report January 2021… | 01/04/2021

 
 
 
FINCEN
 
 
 
 

Comment: Comment on FR Doc # 2020-28437; Public Submission; NA… | 01/08/2021

Comment: Comment on FR Doc # 2020-28437; Public Submission; OKCoin… | 01/08/2021

Comment: Comment on FR Doc # 2020-28437; Public Submission; NA… | 01/08/2021

Comment: Comment on FR Doc # 2020-28437; Public Submission; NA… | 01/08/2021

Comment: Comment on FR Doc # 2020-28437; Public Submission; NA… | 01/08/2021

Comment: Comment on FR Doc # 2020-28437; Public Submission; NA… | 01/08/2021

Comment: Comment on FR Doc # 2020-28437; Public Submission; NA… | 01/08/2021

Comment: Comment on FR Doc # 2020-28437; Public Submission; NA… | 01/08/2021

Comment: Comment on FR Doc # 2020-28437; Public Submission; NA… | 01/08/2021

Comment: Comment on FR Doc # 2020-28437; Public Submission; NA… | 01/08/2021

 
 
 
FINRA
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 01/11/2021

AWCs (Letters of Acceptance, Waiver, and Consent): Donald Robert Pollard AWCs (Letters of Acceptance, Waiver, and Consent… | 01/08/2021

AWCs (Letters of Acceptance, Waiver, and Consent): Linn Christopher Shoesmith AWCs (Letters of Acceptance, Waiver, and Co… | 01/07/2021

AWCs (Letters of Acceptance, Waiver, and Consent): John Frederick Griner AWCs (Letters of Acceptance, Waiver, and Consent… | 01/07/2021

AWCs (Letters of Acceptance, Waiver, and Consent): Dustin Paul Shafer AWCs (Letters of Acceptance, Waiver, and Consent)… | 01/07/2021

AWCs (Letters of Acceptance, Waiver, and Consent): Sharon Kay Snow AWCs (Letters of Acceptance, Waiver, and Consent)… | 01/07/2021

AWCs (Letters of Acceptance, Waiver, and Consent): Timothy Ryan Deegan AWCs (Letters of Acceptance, Waiver, and Consent)… | 01/06/2021

AWCs (Letters of Acceptance, Waiver, and Consent): Timothy Ryan Deegan AWCs (Letters of Acceptance, Waiver, and Consent)… | 01/06/2021

AWCs (Letters of Acceptance, Waiver, and Consent): Antonio Almeida AWCs (Letters of Acceptance, Waiver, and Consent)… | 01/06/2021

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 01/06/2021

 
 
 
FRS
 
 
 
 
 
 

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 01/11/2021

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 01/08/2021

FAQs: Main Street Lending Program Post-Termination Frequently Asked Question… | 01/08/2021

Speech: U.S. Economic Outlook and Monetary Policy – Vice Chair Richard H. Clar… | 01/08/2021

Notice: Notice of Proposals To Engage in or To Acquire Companies Engaged in Pe… | 01/08/2021

Proposed Rule: Regulation D: Reserve Requirements of Depository Institutions… | 01/08/2021

Press Release: Federal Reserve Board issues enforcement action with former employee o… | 01/07/2021

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 01/07/2021

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 01/06/2021

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 01/06/2021

 
 
 
FTC
 
 
 
 
 
 
 
 

Notice: Agency Information Collection Activities; Proposed Collection; Comment… | 01/11/2021

Complaint: Commission Order Dismissing Complaint (97.7 KB) Procter & Gamble Co. a… | 01/08/2021

Consumer Alert: Student Debt Doctor Refunds… | 01/08/2021

Notice: Chemence, Inc.; Analysis To Aid Public Comment… | 01/08/2021

Enforcement: Entertainment
Complaint (359.03 KB)
Agreement Containing Consent Order… | 01/07/2021

Consumer Alert: Telestar Refunds… | 01/07/2021

Consumer Alert: Vemma Refunds… | 01/07/2021

News: FTC Requires Mobile Advertising Company to Stop Misleading Users About… | 01/07/2021

Complaint: Joint Motion to Dismiss the Complaint (719.44 KB) Procter & Gamble Co…. | 01/06/2021

Motion: Commission Order Granting Respondents’ Motion to Withdraw Matter from … | 01/06/2021

 
 
 
INT-EBA
 
 
 
 

News: Call for candidates for the ESA=E2=80=99s Board of Appeal… | 01/08/2021

 
 
 
NCUA
 
 
 
 

Proposed Rule: Chartering and Field of Membership-Shared Facility Requirements… | 01/11/2021

Notice: Sunshine Act Meeting… | 01/11/2021

Notice: Request for Information on NCUA Communications and Transparency… | 01/08/2021

Final Rule: Civil Monetary Penalty Inflation Adjustment… | 01/07/2021

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 01/06/2021

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 01/05/2021

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 01/04/2021

 
 
 
OCC
 
 
 
 
 
 

Notice: Agency Information Collection Activities: Information Collection Renew… | 01/11/2021

Notice: Agency Information Collection Activities: Information Collection Renew… | 01/11/2021

Notice: Agency Information Collection Activities: Information Collection Renew… | 01/11/2021

Comment: Raymond Wixom; Public Submission; NA… | 01/08/2021

Comment: John Perry; Public Submission; NA… | 01/08/2021

Comment: Jonathan Neubauer; Public Submission; NA… | 01/08/2021

Comment: Vikram Navale; Public Submission; NA… | 01/08/2021

Comment: Michael Fischer; Public Submission; NA… | 01/08/2021

Comment: Anonymous 511; Public Submission; NA… | 01/08/2021

Comment: U.S. House of Representatives Committee on Financial Services; Public … | 01/08/2021

 
 
 
OFAC
 
 
 
 

Financial Sanction: Issuance of Communist Chinese Military Companies General License 1… | 01/08/2021

Notice: Notice of OFAC Sanctions Actions… | 01/08/2021

Financial Sanction: Global Magnitsky Designation; Non-SDN Communist Chinese Military Compa… | 01/08/2021

Financial Sanction: Publication of Communist Chinese Military Companies Frequently Asked Q… | 01/06/2021

Financial Sanction: Publication of Communist Chinese Military Companies Frequently Asked Q… | 01/06/2021

Press Release: Iran-related Designations and Designation Update — Treasury Sanctions… | 01/05/2021

Financial Sanction: Publication of CAATSA Frequently Asked Questions… | 01/05/2021

Financial Sanction: Iran-related Designations and Designation Update… | 01/05/2021

Financial Sanction: Publication of Communist Chinese Military Companies Frequently Asked Q… | 01/04/2021

Financial Sanction: Issuance of Venezuela-related General License 31A and Amended Frequent… | 01/04/2021

 
 
 
RHS
 
 
 
 

Notice: Community Facilities Technical Assistance and Training Grant for Fisca… | 01/11/2021

Notice: Rural Community Development Initiative (RCDI) for Fiscal Year 2021… | 01/11/2021

Notice: Notice of Solicitation of Applications (NOSA) for the Strategic Econom… | 01/11/2021

Notice: OneRD Annual Notice of Guarantee Fee Rates, Periodic Retention Fee Rat… | 01/07/2021

 
 
 
SEC
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 01/11/2021

Final Rule: Management’s Discussion and Analysis, Selected Financial Data, and Sup… | 01/11/2021

Notice: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediat… | 01/11/2021

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing o… | 01/11/2021

Notice: Sunshine Act Meeting; Cancellation… | 01/08/2021

Notice: Proposed Collection; Comment Request… | 01/08/2021

Notice: Proposed Collection; Comment Request, Upon Written Request Copies Avai… | 01/08/2021

Notice: Sunshine Act Meetings… | 01/08/2021

Notice: Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing … | 01/08/2021

Notice: Esoterica Thematic Trust and Esoterica Capital LLC; Notice of Applicat… | 01/08/2021

 
 
 
TREAS
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 01/11/2021

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 01/11/2021

Notice: Emergency Rental Assistance… | 01/08/2021

Press Release: Treasury Sanctions Iraqi Militia Leader Connected to Serious Human Rig… | 01/08/2021

Press Release: SBA and Treasury Announce PPP Re-Opening; Issue New Guidance… | 01/08/2021

Notice: Interest Rate Paid on Cash Deposited To Secure U.S. Immigration and Cu… | 01/07/2021

Press Release: Treasury Launches $25 Billion Emergency Rental Assistance Program; Ope… | 01/07/2021

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 01/06/2021

Press Release: Treasury Department and Internal Revenue Service Release Final Rule on… | 01/06/2021

Press Release: Treasury Sanctions Key Actors in Iran=C3=A2=E2=82=AC=E2=84=A2s Steel Sector… | 01/05/2021

 
 
 
UK-BOE
 
 
 
 
 
 

News: Prudential Regulation Committee pre-appointment hearing (14:30)… | 01/08/2021

News: Sarah Breeden: Presenter at Bank of England Agency briefing =E2=80=98How the B… | 01/08/2021

News: Andrew Bailey and Alex Brazier: Citizens=E2=80=99 Panel Open Forum (17:00)… | 01/08/2021

News: Sonya Branch: Bryan Cave Leighton Paisner LLP’s Emerging Themes in Fin… | 01/08/2021

News: Andy Haldane: In conversation with Alan Rusbridger, Principal of Lady … | 01/08/2021

News: Spillovers in a =E2=80=9Cpost-pandemic low-for-long=E2=80=9D world… | 01/08/2021

Agency Update: Terms-of-trade shocks are not all alike… | 01/08/2021

Working Paper: Terms-of-trade shocks are not all alike — Appendix to Terms-of-trade … | 01/08/2021

Working Paper: Terms-of-trade shocks are not all alike — Terms-of-trade shocks are n… | 01/08/2021

News: Bank of England Flagship Seminar with Professor Lord Nicholas Stern… | 01/07/2021

 
 
 
UK-CMA
 
 
 
 
 
 

CMA Case: Investigation into Google’s ‘Privacy Sandbox’ browser changes… | 01/08/2021

CMA Case: Diageo / Chase Distillery merger inquiry… | 01/08/2021

CMA Case: Ardonagh Group / Bennetts Motorcycling Services merger inquiry… | 01/08/2021

CMA Case: Funerals… | 01/08/2021

Press Release: CMA to investigate Google’s ‘Privacy Sandbox’ browser changes… | 01/08/2021

CMA Case: Ofwat Price Determinations… | 01/08/2021

Press Release: CMA to investigate NVIDIA’s takeover of Arm… | 01/06/2021

CMA Case: NVIDIA / Arm merger inquiry… | 01/06/2021

Corporate Report: Business impact target: CMA… | 01/06/2021

Open Consultation: Draft guidance for fertility clinics on consumer law… | 01/05/2021

 
 
 
UK-FCA
 
 
 
 
 
 

Final notices: Final Notice 2021: Garrick Financial Services Ltd… | 01/11/2021

News: FCA warns consumers of the risks of investments advertising high retur… | 01/11/2021

News: FCA warns consumers of the risks of investments advertising high retur… | 01/11/2021

News: The final countdown: Completing sterling LIBOR transition by end-2021… | 01/11/2021

News: Dolce 500… | 01/08/2021

News: Rosewoods Wealth Management (clone of FCA authorised firm)… | 01/08/2021

Final notices: Final Notice 2020: All Accident Claims Limited… | 01/08/2021

News: Advance Wageday Loans / Wageday Loans Ltd (Clone of FCA authorised fir… | 01/08/2021

News: Unite Savers… | 01/08/2021

News: Rosewoods Wealth Management (clone of FCA authorised firm)… | 01/08/2021

 
 
 
UK-HMT
 
 
 
 
 
 
 
 

Policy Paper: Government response to the consultation on expanding the Dormant Asset… | 01/09/2021

Press Release: UK Government announces major boost to coronavirus recovery through ex… | 01/09/2021

Html Publication: Summary of existing economic support… | 01/08/2021

Guidance: Summary of existing economic support… | 01/08/2021

Guidance: Barnett consequentials and the Barnett guarantee… | 01/08/2021

Open Consultation: Small Brewers Relief (SBR): technical consultation… | 01/07/2021

Open Consultation: UK regulatory approach to cryptoassets and stablecoins: consultation a… | 01/07/2021

Policy Paper: Infrastructure and Projects Authority Mandate… | 01/07/2021

Html Publication: Disguised remuneration: guidance following the outcome of the independ… | 01/07/2021

Policy Paper: Removing the impact of changes in inflation from the welfare cap… | 01/06/2021

 
 
 
UK-ICO
 
 
 
 

News: Motor industry employee sentenced in ICO Computer Misuse Act prosecuti… | 01/08/2021

 
 
 
UK-LSB
 
 
 
 

News: The customer journey in a digital world: innovation and good outcomes … | 01/06/2021

 
 
 
UK-PRA
 
 
 
 

Consultation paper: CP2/21 – International banks: The PRA’s approach to branch and subsidi… | 01/11/2021

Consultation paper: CP2/21 – International banks: The PRA’s approach to branch and subsidi… | 01/11/2021

Consultation paper: CP2/21 – International banks: The PRA’s approach to branch and subsidi… | 01/11/2021

Consultation paper: CP1/21 – Solvency II: Deep, liquid and transparent assessments, and GB… | 01/07/2021

Consultation paper: CP1/21 – Solvency II: Deep, liquid and transparent assessments, and GB… | 01/07/2021

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

 
 
 
VA
 
 
 
 

Notice: Rehabilitation Research and Development Service Scientific Merit Revie… | 01/11/2021

Notice: Reimbursement for Caskets and Urns for Burial of Unclaimed Remains in … | 01/07/2021

Notice: Joint Biomedical Laboratory Research and Development and Clinical Scie… | 01/06/2021

Notice: Allowance for Private Purchase of an Outer Burial Receptacle in Lieu o… | 01/06/2021

Notice: Veterans and Community Oversight and Engagement Board, Notice of Meeti… | 01/04/2021

 

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