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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11692 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_summary_graph
 
 
CFPB
 
 
 
 
 
 
 
 

Enforcement Document: Prime Choice Funding, Inc. Stipulation… | 07/24/2020

Enforcement Document: Sovereign Lending Group, Inc. Consent order… | 07/24/2020

Press release: CFPB Announces Plan to Issue ANPR on Consumer-Authorized Access to Fin… | 07/24/2020

Enforcement Action: Prime Choice Funding, Inc…. | 07/24/2020

Press release: Consumer Financial Protection Bureau Settles with Mortgage Companies t… | 07/24/2020

Enforcement Document: Sovereign Lending Group, Inc. Stipulation… | 07/24/2020

Report: Bureau Symposium: Consumer Access to Financial Records, a summary of t… | 07/24/2020

Blog: What to consider when sharing your financial data… | 07/24/2020

Enforcement Document: Prime Choice Funding, Inc. Consent order… | 07/24/2020

Enforcement Action: Sovereign Lending Group, Inc…. | 07/24/2020

 
 
 
CFTC
 
 
 
 
 
 

Final Rule: Post-Trade Name Give-Up on Swap Execution Facilities… | 07/24/2020

Final Rule: Exemption From the Swap Clearing Requirement for Certain Affiliated En… | 07/22/2020

News: CFTC Announces Whistleblower Awards Totaling More Than $1 Million… | 07/21/2020

Enforcement: No. 20-WB-07… | 07/21/2020

Notice: Agency Information Collection Activities: Notice of Intent To Extend C… | 07/20/2020

News: CFTC Orders Florida Company to Pay $75,000 for Registration Violations… | 07/20/2020

Enforcement: Order: Southwest Group, LLC… | 07/20/2020

 
 
 
DOJ
 
 
 
 

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 07/27/2020

Notice: Agency Information Collection Activities; Proposed eCollection, eComme… | 07/24/2020

Notice: Agency Information Collection Activities; Proposed eCollection, eComme… | 07/24/2020

Notice: Agency Information Collection Activities; Proposed eCollection, eComme… | 07/24/2020

Notice: Agency Information Collection Activities; Proposed eCollection, eComme… | 07/24/2020

Notice: Agency Information Collection Activities; Proposed eCollection; eComme… | 07/24/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 07/24/2020

Notice: Agency Information Collection Activities; Proposed eCollection, eComme… | 07/24/2020

Agency Update: Furthering the Promise of Equal Access to Health Care… | 07/23/2020

Notice: Charter Renewal for the Task Force on Research on Violence Against Ame… | 07/21/2020

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 07/22/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 07/21/2020

 
 
 
EBSA
 
 
 
 

News: U.S. Department of Labor Obtains Injunction Enjoining Fleet Owners Ins… | 07/22/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Continuation of the National Emergency With Respect to Mali… | 07/24/2020

Presidential Document: Continuation of the National Emergency With Respect to Transnational C… | 07/23/2020

Presidential Document: Death of John Lewis… | 07/23/2020

Presidential Document: Excluding Illegal Aliens From the Apportionment Base Following the 202… | 07/23/2020

Presidential Document: Captive Nations Week, 2020… | 07/22/2020

 
 
 
FDIC
 
 
 
 

Notice: Request for Information on Standard Setting and Voluntary Certificatio… | 07/24/2020

Final Rule: Notice of Rescission of the Guidance on Supervisory Concerns and Expec… | 07/24/2020

Notice: Proposed Agency Information Collection Activities; Comment Request… | 07/22/2020

Final Rule: Federal Interest Rate Authority… | 07/22/2020

 
 
 
FINRA
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): Gelber Securities, LLC AWCs (Letters of Acceptance, Waiver, and Consen… | 07/24/2020

AWCs (Letters of Acceptance, Waiver, and Consent): The Enterprise Securities Company AWCs (Letters of Acceptance, Waiver,… | 07/24/2020

Complaints: TRAVIS SCOTT HUGHES Complaints… | 07/23/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Canaccord Genuity LLC AWCs (Letters of Acceptance, Waiver, and Consent… | 07/23/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Bryant Edwin Caveness AWCs (Letters of Acceptance, Waiver, and Consent… | 07/22/2020

AWCs (Letters of Acceptance, Waiver, and Consent): BMO Capital Markets Corp. AWCs (Letters of Acceptance, Waiver, and Con… | 07/22/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Merrill Lynch, Pierce, Fenner & Smith Inc. AWCs (Letters of Acceptance… | 07/22/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Virtu Americas LLC (f/k/a KCG Americas LLC) AWCs (Letters of Acceptanc… | 07/21/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Two Sigma Securities, LLC (“Two Sigma” or the “Firm”) AWCs (Letters of… | 07/21/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Concorde Investment Services, LLC Kimberlee Elizabeth Levy AWCs (Lette… | 07/21/2020

 
 
 
FRS
 
 
 
 

Press Release: Federal Register notice (PDF) – Federal Reserve Board finalizes rule t… | 07/24/2020

Consumer Affairs Letters: SR 20-17 / CA 20-12 Federal Financial Institutions Examination Council… | 07/24/2020

Press Release: Federal Reserve Board finalizes rule that implements technical, clarif… | 07/24/2020

Press Release: Commercial Paper Funding Facility Term Sheet (PDF) – Federal Reserve B… | 07/23/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 07/23/2020

Press Release: Federal Reserve Board announces expansion of counterparties in the Ter… | 07/23/2020

Press Release: Term Asset-Backed Securities Loan Facility (PDF) – Federal Reserve Boa… | 07/23/2020

Notice: Proposed Agency Information Collection Activities; Comment Request… | 07/22/2020

Notice: Agency Information Collection Activities: Announcement of Board Approv… | 07/21/2020

Notice: Proposed Agency Information Collection Activities; Comment Request… | 07/21/2020

 
 
 
FTC
 
 
 
 
 
 
 
 

Event: Working Together to Serve Diverse Communities: A Virtual Resource Fair… | 07/25/2020

Event: Working Together to Serve Diverse Communities: A Virtual Resource Fair… | 07/25/2020

Consumer Alert: Suboxone Settlement Products: Suboxone film… | 07/25/2020

News: Indivior, Inc. to Pay $10 Million to Consumers, Settling FTC Charges t… | 07/24/2020

News: Scammers Who Used Robocalls to Target Cash-Strapped Consumers Banned f… | 07/24/2020

Enforcement: Competition
Complaint (60.24 KB)
Joint Motion for Entry of Stipulated … | 07/24/2020

Proposed Rule: Trade Regulation Rule on Care Labeling of Textile Wearing Apparel and … | 07/23/2020

Notice: Elanco Animal Health and Bayer Animal Health; Analysis of Agreement Co… | 07/21/2020

News: FTC Testifies Before Congress on Efforts to Combat COVID-19-related Sc… | 07/21/2020

Agency Update: Consumer Protection
FTC Testifies Before Congress on Efforts to Combat… | 07/21/2020

 
 
 
INT-FATF
 
 
 
 

Publication: FATF Webinar on Money Laundering and the Illegal Wildlife Trade… | 07/24/2020

Publication: Career Opportunities: Training Specialists… | 07/22/2020

 
 
 
INT-FSB
 
 
 
 

Agency Update: Public responses to consultation on Addressing the regulatory, supervi… | 07/24/2020

Agency Update: Public responses to consultation on Addressing the regulatory, supervi… | 07/24/2020

Agency Update: Public responses to consultation on Addressing the regulatory, supervi… | 07/24/2020

Agency Update: Public responses to consultation on Addressing the regulatory, supervi… | 07/24/2020

Agency Update: Public responses to consultation on Addressing the regulatory, supervi… | 07/24/2020

Agency Update: Public responses to consultation on Addressing the regulatory, supervi… | 07/24/2020

Agency Update: Public responses to consultation on Addressing the regulatory, supervi… | 07/24/2020

Agency Update: Public responses to consultation on Addressing the regulatory, supervi… | 07/24/2020

Agency Update: Public responses to consultation on Addressing the regulatory, supervi… | 07/24/2020

Agency Update: Public responses to consultation on Addressing the regulatory, supervi… | 07/24/2020

 
 
 
NCUA
 
 
 
 

Notice: Agency Information Collection Activities: Proposed Collection; Comment… | 07/24/2020

Notice: Submission for OMB Review; Comment Request… | 07/21/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 07/27/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 07/27/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 07/27/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 07/21/2020

 
 
 
OCC
 
 
 
 

Proposed Rule: National Banks and Federal Savings Associations as Lenders… | 07/22/2020

Notice: Proposed Agency Information Collection Activities; Comment Request… | 07/22/2020

News Release: News Release 2020-98… | 07/22/2020

News Release: News Release 2020-97… | 07/20/2020

 
 
 
OFAC
 
 
 
 

Financial Sanction: Venezuela-related Designations… | 07/23/2020

Notice: Notice of OFAC Sanctions Action… | 07/22/2020

Notice: Notice of OFAC Sanctions Actions… | 07/22/2020

Notice: Notice of OFAC Sanctions Actions… | 07/22/2020

Financial Sanction: Issuance of Amended Ukraine-/Russia-related Frequently Asked Questions… | 07/22/2020

Financial Sanction: Issuance of Executive Order 13936 “The President’s Executive Order on … | 07/20/2020

 
 
 
SEC
 
 
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and I… | 07/27/2020

Notice: Proposed Collection; Comment Request… | 07/27/2020

Notice: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and… | 07/27/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 07/27/2020

Notice: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of … | 07/27/2020

Notice: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Noti… | 07/27/2020

Notice: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and I… | 07/27/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 07/27/2020

Final Rule: Securities Offering Reform for Closed-End Investment Companies; Correc… | 07/27/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 07/27/2020

 
 
 
TREAS
 
 
 
 

News: U.S. Department of the Treasury… | 07/23/2020

Notice: Debt Management Advisory Committee Meeting… | 07/20/2020

Notice: List of Countries Requiring Cooperation With an International Boycott… | 07/20/2020

News: U.S. Department of the Treasury… | 07/20/2020

 
 
 
UK-BOE
 
 
 
 

Minutes: Minutes of the RTGS renewal programme external advisory body – June 20… | 07/24/2020

Minutes: Minutes of the RTGS renewal programme external advisory body – June 20… | 07/24/2020

Minutes: Minutes of the Wholesale Distribution Steering Group – June 2020… | 07/23/2020

Minutes: Minutes of the Wholesale Distribution Steering Group – June 2020 — Mi… | 07/23/2020

Minutes: Minutes of the Meeting of the Court of Directors held on 19 May 2020… | 07/22/2020

Minutes: Minutes of the Meeting of the Court of Directors held on 19 May 2020 -… | 07/22/2020

Minutes: Minutes of the Working Group on Sterling Risk-Free Reference Rates – M… | 07/21/2020

Minutes: Minutes of the Working Group on Sterling Risk-Free Reference Rates – M… | 07/21/2020

Treasury Select Committee: Jonathan Hall Treasury Select Committee appointment hearing (15:30) an… | 07/20/2020

Agency Update: Jonathan Hall’s CV and questionnaire for the Treasury Select Committee… | 07/20/2020

 
 
 
UK-CMA
 
 
 
 

Press Release: CMA final decision on air traffic control charges… | 07/23/2020

News Story: How should competition policy react to coronavirus?… | 07/21/2020

 
 
 
UK-FCA
 
 
 
 
 
 

News: FCA launches enhanced Financial Services Register to protect consumers… | 07/27/2020

News: UK Bond Centre… | 07/24/2020

Publication: Coronavirus (Covid-19) premium finance (no 2) instrument 2020… | 07/24/2020

Publication: Coronavirus and customers in temporary financial difficulty: updated g… | 07/24/2020

Publication: Coronavirus and customers in temporary financial difficulty: draft upd… | 07/24/2020

News: Blackbird Financial Services / Blackbird FS (clone of EEA authorised f… | 07/24/2020

Policy and guidance Guidance consultations: Coronavirus and customers in temporary financial difficulty: draft upd… | 07/24/2020

News: Statement on updated guidance for insurance and premium finance firms… | 07/24/2020

News: Money Sense Market… | 07/24/2020

News: TD Global Finance / TDG Finance (Clone of an EEA authorised firm)… | 07/24/2020

 
 
 
UK-HMT
 
 
 
 
 
 
 
 
 
 

Guidance: Preston guidance: July 2020… | 07/24/2020

News Story: Scotland, Wales and Northern Ireland receive additional coronavirus fu… | 07/24/2020

Official Statistics: Help to Buy: ISA Scheme Quarterly Statistics: December 2015 to 31 Marc… | 07/23/2020

Open Consultation: 2025 UK Border Strategy Public Consultation… | 07/22/2020

Html Publication: 2025 UK Border Strategy Public Consultation… | 07/22/2020

Press Release: UK Government launches consultation on 2025 Border Strategy… | 07/22/2020

Policy Paper: Amending the transitional period for third country benchmarks in the U… | 07/22/2020

News Story: Government sets out draft agenda for a 21st century tax system… | 07/21/2020

Open Consultation: Carbon Emissions Tax… | 07/21/2020

News Story: Chancellor launches Comprehensive Spending Review… | 07/21/2020

 
 
 
UK-LSB
 
 
 
 

News: Coronavirus Insights Series 2: Life After Lockdown…. | 07/22/2020

 
 
 
UK-PRA
 
 
 
 

Policy statement: Asset encumbrance… | 07/27/2020

Policy statement: Asset encumbrance – Policy Statement 18/20… | 07/27/2020

Consultation paper: Simplified Obligations for recovery planning… | 07/23/2020

Report: Enforcement Decision Making Committee: 2019/20 Report… | 07/23/2020

Consultation paper: Simplified Obligations for recovery planning – Consultation Paper 10/2… | 07/23/2020

Policy statement: Responses to Occasional Consultation Paper 3/20 – Chapter 8: Securitis… | 07/22/2020

Consultation paper: Non-systemic UK banks: The Prudential Regulation Authority’s approach … | 07/22/2020

Consultation paper: Non-systemic UK banks: The Prudential Regulation Authority’s approach … | 07/22/2020

Consultation paper: Responses to Occasional Consultation Paper 3/20 – Chapter 8: Securitis… | 07/22/2020

Consultation paper: Complaints against the regulators (the Bank of England, the FCA and th… | 07/21/2020

 
 
 
VA
 
 
 
 

Notice: Veterans and Community Oversight and Engagement Board, Notice of Meeti… | 07/27/2020

Proposed Rule: Educational Assistance for Certain Former Members of the Armed Forces… | 07/27/2020

Notice: Veterans’ Advisory Committee on Rehabilitation, Notice of Meeting… | 07/24/2020

Notice: Privacy Act of 1974; System of Records… | 07/24/2020

Notice: Advisory Committee: VA National Academic Affiliations Council, Notice … | 07/24/2020

Notice: Agency Information Collection Activity: VR&E Longitudinal Study Survey… | 07/24/2020

Notice: Privacy Act of 1974; System of Records… | 07/24/2020

Notice: Agency Information Collection Activity: Generic Clearance for the Coll… | 07/23/2020

 
 
 
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