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

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FINRA enforcements decreased 15% over the past 30 days

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SEC issued enforcements: $69,991,450.57 over the past 30 days

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78 Final Rules go into effect in the next 30 days

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36 Mortgage Lending docs published in the last 7 days

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173 docs with 2254 extracted obligations from the last 7 days

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

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2302 new docs in pro.compliance.ai within the last 7 days

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Introducing new content from WesPay

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CFPB
 
 
 
 
 
 

Notice: Agency Information Collection Activities: Submission for OMB Review; C… | 07/29/2019

News: Consumer Financial Protection Bureau Releases Qualified Mortgage ANPR… | 07/25/2019

News: La cantidad de estafas con el n=C3=BAmero o beneficios del Seguro Social es… | 07/25/2019

News: CFPB and the New York Attorney General Settle with Debt Collection Gro… | 07/25/2019

News: Scams involving your Social Security number and benefits are on the ri… | 07/24/2019

Enforcement Document: Equifax, Inc. Complaint… | 07/22/2019

Notice: Agency Information Collection Activities: Submission for OMB Review; C… | 07/22/2019

News: Statement by Kathy Kraninger at CFPB/FTC Equifax Settlement Press Conf… | 07/22/2019

Enforcement Action: Equifax, Inc…. | 07/22/2019

Enforcement Document: Equifax, Inc. Stipulated order… | 07/22/2019

 
 
 
CFTC
 
 
 
 
 
 

Proposed Rule: Customer Margin Rules Relating to Security Futures… | 07/26/2019

Notice: Agency Information Collection Activities: Notice of Intent To Renew Co… | 07/26/2019

News: Ninth Circuit Rules in Favor of CFTC in Fraud Case Against Monex Depos… | 07/26/2019

News: In CFTC Actions, Two Former Precious Metals Traders Admit To Engaging … | 07/25/2019

Proposed Rule: Certain Swap Data Repository and Data Reporting Requirements; Extensio… | 07/25/2019

Notice: Agency Information Collection Activities: Notice of Intent To Renew Co… | 07/24/2019

Proposed Rule: Exemption From Derivatives Clearing Organization Registration… | 07/23/2019

Notice: Agency Information Collection Activities: Notice of Intent To Renew Co… | 07/23/2019

Final Rule: Revisions to Prohibitions and Restrictions on Proprietary Trading and … | 07/22/2019

Notice: Agency Information Collection Activities: Notice of Intent To Renew Co… | 07/22/2019

 
 
 
DOJ
 
 
 
 

Notice: Notice of Lodging of Proposed Consent Decree and Release of Draft Rest… | 07/26/2019

Notice: Notice of Lodging of Proposed Amended Consent Decree Under The Compreh… | 07/26/2019

Notice: Agency Information Collection Activities: New Information Collection I… | 07/25/2019

Notice: Drug Enforcement Administration Bulk Manufacturer of Controlled Substa… | 07/24/2019

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 07/23/2019

Notice: Agency Information Collection Activities; Proposed Collection; Comment… | 07/23/2019

Notice: Notice of Filing of Proposed Settlement Agreement Regarding Environmen… | 07/23/2019

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 07/29/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 07/29/2019

 
 
 
EOP
 
 
 
 

Presidential Document: Presidential Determination Pursuant to Section 303 of the Defense Prod… | 07/25/2019

Presidential Document: Presidential Determination Pursuant to Section 303 of the Defense Prod… | 07/25/2019

Presidential Document: Presidential Determination Pursuant to Section 303 of the Defense Prod… | 07/25/2019

Presidential Document: Presidential Determination Pursuant to Section 303 of the Defense Prod… | 07/25/2019

Presidential Document: Captive Nations Week, 2019… | 07/25/2019

Presidential Document: 50th Anniversary Observance of the Apollo 11 Lunar Landing… | 07/25/2019

Presidential Document: Presidential Determination Pursuant to Section 303 of the Defense Prod… | 07/25/2019

Presidential Document: Presidential Determination Pursuant to Section 303 of the Defense Prod… | 07/25/2019

Presidential Document: Continuation of the National Emergency With Respect to Transnational C… | 07/23/2019

Presidential Document: Death of John Paul Stevens… | 07/22/2019

 
 
 
FDIC
 
 
 
 
 
 

News: Regulatory Relief
Supervisory Practices Regarding Depository Instituti… | 07/26/2019

News: Regulatory Relief
Supervisory Practices Regarding Depository Instituti… | 07/26/2019

Proposed Rule: Regulatory Capital Rules: Treatment of Land Development Loans for the … | 07/23/2019

Notice: Privacy Act of 1974; System of Records… | 07/22/2019

Final Rule: Revisions to Prohibitions and Restrictions on Proprietary Trading and … | 07/22/2019

Final Rule: Regulatory Capital Rule: Simplifications to the Capital Rule Pursuant … | 07/22/2019

News: Bank Secrecy Act… | 07/22/2019

News: Interagency Webinar… | 07/22/2019

Final Rule: Joint Ownership Deposit Accounts… | 07/22/2019

 
 
 
FINCEN
 
 
 
 

News: Federal Bank Regulatory Agencies and FinCEN Improve Transparency of Ri… | 07/22/2019

 
 
 
FINRA
 
 
 
 

Enforcement: Michael Thomas Lee… | 07/26/2019

Enforcement: Richard O. White… | 07/26/2019

Enforcement: Louis Mark Miller… | 07/26/2019

Enforcement: Michael P. Spolar… | 07/26/2019

Enforcement: Alpine Securities Corporation… | 07/25/2019

Enforcement: Emie Garcia… | 07/25/2019

Enforcement: Aaron Williams… | 07/25/2019

Enforcement: Stephen Michael Whiting… | 07/25/2019

Enforcement: Robert F. Montes… | 07/24/2019

Enforcement: Brian Gregory DiJulio… | 07/23/2019

 
 
 
FRS
 
 
 
 
 
 

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 07/29/2019

News: Royal Bank of Canada (PDF) – Agencies complete resolution plan evaluat… | 07/26/2019

News: List of 82 foreign banks (PDF) – Agencies complete resolution plan eva… | 07/26/2019

News: Lloyds Banking Group plc (PDF) – Agencies complete resolution plan eva… | 07/26/2019

News: Template Letter to Foreign Banks that Filed Resolution Plans in Decemb… | 07/26/2019

News: Banco Santander, S.A. (PDF) – Agencies complete resolution plan evalua… | 07/26/2019

News: BNP Paribas (PDF) – Agencies complete resolution plan evaluations and … | 07/26/2019

News: List of 15 domestic banks (PDF) – Agencies complete resolution plan ev… | 07/26/2019

News: Template Letter to Barclays, Credit Suisse, Deutsche Bank, and UBS (PD… | 07/26/2019

News: Banco Bilbao Vizcaya Argentaria, S.A. (PDF) – Agencies complete resolu… | 07/26/2019

 
 
 
FTC
 
 
 
 

Enforcement: Cases and Proceedings… | 07/25/2019

Proposed Rule: Request for Public Comment on the Federal Trade Commission’s Implement… | 07/25/2019

Enforcement: Cambridge Analytica, LLC, In the Matter of… | 07/24/2019

Enforcement: Facebook, Inc., In the Matter of… | 07/24/2019

Enforcement: Facebook, Inc., In the Matter of… | 07/24/2019

News: Persuading on Paper: Written Advocacy to the FTC=E2=80=99s Bureau of Competiti… | 07/23/2019

Enforcement: Equifax, Inc…. | 07/23/2019

Enforcement: Quaker Chemical Corporation and Global Houghton Ltd., In the Matter of… | 07/23/2019

Enforcement: Equifax Data Breach Settlement… | 07/23/2019

Enforcement: Acuerdo resolutorio del incidente de seguridad de datos de Equifax… | 07/23/2019

 
 
 
INT-BIS
 
 
 
 

Agency Update: Monetary policy spillovers, capital controls and exchange rate flexibi… | 07/25/2019

News: Basel Committee and IOSCO agree to one-year extension of the final imp… | 07/23/2019

 
 
 
INT-EBA
 
 
 
 

News: EBA publishes clarifications to the fourth set of issues raised by its… | 07/26/2019

News: The EBA calls for communication to credit institutions about the relev… | 07/24/2019

News: EBA publishes its roadmap on IFRS 9 deliverables and launches IFRS 9 b… | 07/23/2019

News: EBA updates on monitoring of CET1 capital instruments… | 07/22/2019

 
 
 
INT-IOSCO
 
 
 
 

Final Rule: FR11/2019 Margin requirements for non-centrally cleared derivatives… | 07/23/2019

 
 
 
NCUA
 
 
 
 

Notice: Agency Information Collection Activities: Proposed Collection; Comment… | 07/29/2019

Notice: Agency Information Collection Activities: Proposed Collection; Comment… | 07/29/2019

Proposed Rule: Exceptions to Employment Restrictions Under Section 205(d) of the Fede… | 07/29/2019

Final Rule: Fidelity Bonds… | 07/24/2019

Final Rule: Real Estate Appraisals… | 07/24/2019

 
 
 
OCC
 
 
 
 
 
 

Notice: Agency Information Collection Activities: Information Collection Revis… | 07/29/2019

Notice: Agency Information Collection Activities: Information Collection Renew… | 07/29/2019

Notice: Agency Information Collection Activities: Information Collection Renew… | 07/29/2019

Notice: Agency Information Collection Activities: Information Collection Renew… | 07/26/2019

Notice: Agency Information Collection Activities: Information Collection Renew… | 07/26/2019

Bulletin: Description: Revised and Updated Booklets and Rescissions… | 07/25/2019

News: OCC Announces Executive Assignments… | 07/24/2019

Bulletin: Description: Fraud Risk Management Principles… | 07/24/2019

Proposed Rule: Regulatory Capital Rules: Treatment of Land Development Loans for the … | 07/23/2019

Bulletin: Description: Lending Standards for Asset Dissipation Underwriting… | 07/23/2019

 
 
 
OFAC
 
 
 
 
 
 

Financial Sanction: Issuance of Amended Venezuela-related General License… | 07/26/2019

Financial Sanction: Issuance of Executive Order Blocking Property and Suspending Entry of … | 07/26/2019

Financial Sanction: Venezuela-related Designations… | 07/25/2019

Notice: Notice of OFAC Sanctions Actions… | 07/23/2019

Final Rule: Global Terrorism Sanctions Regulations; Transnational Criminal Organiz… | 07/23/2019

Press Release: Publication of Iran-related Civil Aviation Industry Advisory — Treasu… | 07/23/2019

Financial Sanction: Publication of Iran-related Civil Aviation Industry Advisory… | 07/23/2019

Financial Sanction: Amendments to the Global Terrorism Sanctions Regulations (GTSR); Trans… | 07/22/2019

Notice: Notice of OFAC Sanctions Action… | 07/22/2019

Financial Sanction: Iran-related Designations… | 07/22/2019

 
 
 
RHS
 
 
 
 

Notice: Notice of Request for Extension of a Currently Approved Information Co… | 07/26/2019

Final Rule: Single Family Housing Guaranteed Loan Program… | 07/22/2019

 
 
 
SEC
 
 
 
 
 
 

Notice: Zacks Investment Management, Inc. and Zacks Trust… | 07/29/2019

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Granting Acc… | 07/29/2019

Notice: The Guardian Insurance & Annuity Company, Inc., et al…. | 07/29/2019

Notice: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and I… | 07/29/2019

Notice: Zacks Investment Management, Inc. and Zacks Trust… | 07/29/2019

Notice: Self-Regulatory Organizations; The Options Clearing Corporation; Notic… | 07/29/2019

Notice: PFS Funds and Castle Investment Management, LLC.; Notice of Applicatio… | 07/29/2019

Notice: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of … | 07/29/2019

Enforcement: House of BODS Fitness, Inc., Reef Oil & Gas Income & Development Fund … | 07/26/2019

Enforcement: William Harper Minor, Jr…. | 07/26/2019

 
 
 
TREAS
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 07/29/2019

Notice: Multiemployer Pension Plan Application To Reduce Benefits… | 07/26/2019

Notice: Multiemployer Pension Plan Application To Reduce Benefits… | 07/26/2019

Notice: Open Meeting of the Advisory Committee on Risk-Sharing Mechanisms… | 07/25/2019

Notice: Renewal of the Charter of the Federal Advisory Committee on Insurance… | 07/25/2019

Agency Update: U.S. Department of the Treasury… | 07/25/2019

Agency Update: U.S. Department of the Treasury… | 07/23/2019

 
 
 
UK-BOE
 
 
 
 
 
 

News: Annual analysis of revisions to money, credit and effective interest r… | 07/29/2019

Agency Update: Annual analysis of revisions to money, credit and effective interest r… | 07/29/2019

Agency Update: Annual analysis of revisions to money, credit and effective interest r… | 07/29/2019

Agency Update: Bank of England Weekly Report 24 July 2019… | 07/25/2019

News: Minutes of the Wholesale Distribution Steering Group – June 2019… | 07/25/2019

News: Out and proud – a note-worthy cause – speech by Sarah Breeden… | 07/25/2019

Weekly report: Bank of England Weekly Report 24 July 2019 — Weekly Report… | 07/25/2019

Weekly report: Bank of England Weekly Report 24 July 2019 — View and download histor… | 07/25/2019

Weekly report: Bank of England Weekly Report 24 July 2019 — Further details about th… | 07/25/2019

Weekly report: Bank of England Weekly Report 24 July 2019 — Sign up to receive email… | 07/25/2019

 
 
 
UK-CMA
 
 
 
 

Press Release: Drug firms accused of illegal market sharing in supply of antibiotic… | 07/25/2019

News Story: Bauer’s takeover of radio businesses raises competition concerns… | 07/24/2019

 
 
 
UK-FCA
 
 
 
 
 
 
 
 

Consultations Consultation papers: CP19/24: Recovering the costs of OPBAS: feedback on CP19/13 and consul… | 07/29/2019

Consultations Consultation papers: CP19/24: Recovering the costs of OPBAS: feedback on CP19/13 and consul… | 07/29/2019

News: Dunn & Miller Corporate Partners… | 07/29/2019

News: FCA calls for consumers to think back, then act as PPI deadline closes… | 07/29/2019

News: Optimising the Senior Managers and Certification Regime: Policy Statem… | 07/26/2019

Policy statements: PS19/20: Optimising the Senior Managers & Certification Regime and fee… | 07/26/2019

Handbook: Handbook Notice 68… | 07/26/2019

Policy statements: PS19/20: Optimising the Senior Managers & Certification Regime and fee… | 07/26/2019

Corporate documents: Independent investigation protocol: London Capital & Finance Plc… | 07/25/2019

News: Marc Finance (clone of firm)… | 07/25/2019

 
 
 
UK-HMT
 
 
 
 
 
 

Transparency: HMT exceptions to cross-government moratoria on spending: Q4 January -… | 07/29/2019

Transparency: HMT spend greater than =C2=A325,000: February 2019… | 07/26/2019

Policy Paper: National Insurance Fund Investment Account 2018 to 2019… | 07/26/2019

Policy Paper: Public Works Loan Board Report and Accounts 2018 to 2019… | 07/26/2019

Transparency: HMT spend greater than =C2=A325,000: March 2019… | 07/26/2019

Transparency: HMT spend greater than =C2=A325,000: January 2019… | 07/26/2019

Transparency: Government Major Projects Portfolio – Accounting Officer Assessments M… | 07/25/2019

Official Statistics: Help to Buy ISA scheme Quarterly Statistics: December 2015 to March 20… | 07/25/2019

News Story: Stronger protections for the environment move closer as landmark Bill … | 07/23/2019

Consultation Outcome: Plastic packaging tax… | 07/23/2019

 
 
 
UK-ICO
 
 
 
 

News: ICO selects first participants for data protection Sandbox… | 07/29/2019

News: AI Auditing Framework blog: Trade-offs… | 07/25/2019

 
 
 
UK-PRA
 
 
 
 

Consultation paper: UK withdrawal from the EU: Changes following extension of Article 50 -… | 07/25/2019

Consultation paper: UK withdrawal from the EU: Changes following extension of Article 50 -… | 07/25/2019

Consultation paper: UK withdrawal from the EU: Changes following extension of Article 50 -… | 07/25/2019

Consultation paper: UK withdrawal from the EU: Changes following extension of Article 50 -… | 07/25/2019

Consultation paper: UK withdrawal from the EU: Changes following extension of Article 50 -… | 07/25/2019

Consultation paper: UK withdrawal from the EU: Changes following extension of Article 50… | 07/25/2019

Consultation paper: UK withdrawal from the EU: Changes following extension of Article 50 -… | 07/25/2019

Consultation paper: UK withdrawal from the EU: Changes following extension of Article 50 -… | 07/25/2019

Consultation paper: UK withdrawal from the EU: Changes following extension of Article 50 -… | 07/25/2019

Consultation paper: UK withdrawal from the EU: Changes following extension of Article 50 -… | 07/25/2019

 
 
 
VA
 
 
 
 

Proposed Rule: Center for Innovation for Care and Payment… | 07/29/2019

Notice: Agency Information Collection Activity Under OMB Review: Authorization… | 07/29/2019

Notice: Agency Information Collection Activity Under OMB Review: Disability Be… | 07/29/2019

Notice: Advisory Committee on Disability Compensation, Notice of Meeting… | 07/29/2019

Notice: Agency Information Collection Activity: Application for Accreditation … | 07/25/2019

Notice: Rehabilitation Research and Development Service Scientific Merit Revie… | 07/25/2019

Notice: Agency Information Collection Activity under OMB Review: Airborne Haza… | 07/25/2019

Notice: Agency Information Collection Activity: Application for Accreditation … | 07/25/2019

Notice: Advisory Committee on Homeless Veterans; Notice of Meeting… | 07/25/2019

Notice: Advisory Committee on Women Veterans, Notice of Meeting… | 07/23/2019

 

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