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


FINRA enforcements increased 21% over the past 30 days


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


165 Final Rules go into effect in the next 30 days


55 Mortgage Lending docs published in the last 7 days


5330 docs with 12540 extracted obligations from the last 7 days


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


11225 new docs in pro.compliance.ai within the last 7 days


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Agency Update | Published 01/31/2019
Required fields are shown with yellow backgrounds and asterisks. Page 1 of * 17 SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL OMB Number: Estimated average burden hours per response…………38 3235-0045 File No.* SR – 2019 – * 01 WASHI… Read More
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Presidential Document | Published 01/30/2019
By the authority vested in me as President by the Constitution and the laws of the United States of America, including the International Emergency Economic Powers Act (50 U.S.C. 1701 et seq.), the National Emergencies Act (50 U.S.C. 1601 et seq.), an… Read More
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Enforcement | Published 01/31/2019
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Bruce Meyers CRD No. 1045447, Respondent. Disciplinary Proceeding No. 2016048912703 Hearing Officer DW ORDER ACCEPTING OFFER OF SETTLEMENT D… Read More
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Enforcement | Published 02/02/2019
The FTC is mailing 227,995 checks totaling more than $6 million to people who purchased health products from a group of companies collectively known as Tarr, Inc. According to the FTC’s complaint, Tarr, Inc. used unsupported claims, fake magazine and… Read More
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Final Rule | Published 01/31/2019 | Effective 01/31/2019
The Department of Veterans Affairs (VA) is providing public notice of inflationary adjustments to the maximum civil monetary penalties assessed or enforced by VA, as implemented by the Federal Civil Penalties Inflation Adjustment Act Improvements Act… Read More
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Notice | Published 02/04/2019 | Comments Close 03/06/2019
The Department of Justice (DOJ), Office of Justice Programs, Bureau of Justice Statistics, will be submitting the following information collection request to the Office of Management and Budget (OMB) for review and approval in accordance with the Pap… Read More
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Notice | Published 02/01/2019
Description: In accordance with Section 1104(b) of Title XI of the Financial Institutions Reform, Recovery, and Enforcement Act of 1989, as amended, notice is hereby given that the Appraisal Subcommittee (ASC) will meet in open session for its regula… Read More
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Notice | Published 02/01/2019 | Effective 01/27/2019
The U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC) is publishing the names of persons who are no longer subject to the prohibitions imposed pursuant to Executive Order 13661 of March 14, 2014, “Blocking Property of Additio… Read More
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Final Rule | Published 02/04/2019 | Effective 03/06/2019
The FDIC is amending its regulations that implement brokered deposits and interest rate restrictions to conform with recent changes to section 29 of the Federal Deposit Insurance Act made by section 202 of the Economic Growth, Regulatory Relief, and… Read More
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Notice | Published 01/31/2019 | Comments Close 03/04/2019
The Department of Labor (DOL) is submitting the information collection request (ICR) revision titled, “Performance Partnership Pilots for Disconnected Youth Program National Evaluation,” to the Office of Management and Budget (OMB) for review and a… Read More
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Final Rule | Published 01/31/2019 | Effective 01/31/2019
The Board of Governors of the Federal Reserve System (“Board”) has adopted final amendments to its Regulation A to reflect the Board’s approval of an increase in the rate for primary credit at each Federal Reserve Bank. The secondary credit rate at… Read More
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Agency Update | Published 01/30/2019
The Treasury Borrowing Advisory Committee (TBAC) convened in a closed session at the Hay-Adams Hotel at 9:30 a.m. All members, with the exception of Michelle Neal, were present. Deputy Secretary Justin Muzinich, Counselor to the Secretary Craig Phill… Read More
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Proposed Rule | Published 01/31/2019 | Comments Close 04/01/2019
The OCC, the Board, and the FDIC (collectively, the agencies) are inviting comment on a proposed rule that would increase the major assets prohibition thresholds for management interlocks in the agencies’ rules implementing the Depository Institution… Read More
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Agency Update | Published 01/31/2019 
What does it mean to be an accredited investor? Under the federal securities laws, only persons who are accredited investors may participate in certain securities offerings. One reason these offerings are limited to accredited investors is to ensure that all participating investors are financially sophisticated and able to fend for themselves or sustain the risk of loss, thus rendering unnecessary the protections that come from a registered offering… Read More
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Final Rule | Published 02/04/2019 | Effective 02/04/2019
The Bureau of Consumer Financial Protection (Bureau) is amending the official commentary that interprets the requirements of the Bureau’s Regulation Z (Truth in Lending) to reflect a change in the asset-size threshold for certain creditors to qualify… Read More
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