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


OFAC enforcements increased 50% over the past 30 days


SEC issued enforcements: $88,633,075.00 over the past 30 days


123 Final Rules go into effect in the next 30 days


42 Mortgage Lending docs published in the last 7 days


149 docs with 7429 extracted obligations from the last 7 days


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


6910 new docs in pro.compliance.ai within the last 7 days


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News | Published 08/01/2018
WASHINGTON, DC – The U.S. Department of Labor’s Employee Benefits Security Administration (EBSA) today announced that it is accepting nominations to serve on the Advisory Council on Employee Welfare and Pension Benefit Plans, known as the ERISA Advis… Read More
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Presidential Document | Published 08/02/2018
1. In Proclamation 7350 of October 2, 2000, the President designated the Republic of Rwanda (“Rwanda”) as a beneficiary sub-Saharan African country for purposes of section 506A(a)(1) of the Trade Act of 1974 (the “1974 Act”) (19 U.S.C. 2466a(a)(1… Read More
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News | Published 08/03/2018
8/5/2018 UCDP System Outages: August 6 and August 12 UCDP System Outages: August 6 and August 12 August 3, 2018 Back to News Center The Uniform Collateral Data Portal® (UCDP®) will be unavailable due to scheduled maintenance from: 9 p.m..Read More
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News | Published 08/03/2018
FDIC: Monthly List of Banks Examined for CRA Compliance Skip Header Federal Deposit Insurance Corporation Each depositor insured to at least $250,000 per insured bank… Read More
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Notice | Published 07/31/2018
This initial determination proposes to revise the list required by Executive Order No. 13126 (“Prohibition of Acquisition of Products Produced by Forced or Indentured Child Labor”) (E.O. List) in accordance with the Department of Labor’s (DOL) “Pr… Read More
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Notice | Published 08/06/2018 | Comments Close 09/05/2018
The Department of Justice (DOJ), Drug Enforcement Administration (DEA), will be submitting the following information collection request to the Office of Management and Budget (OMB) for review and approval in accordance with the Paperwork Reduction Ac… Read More
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News | Published 08/02/2018
Read more about our first quarter financial results in our news release, Form 10-K, and credit supplement… Read More
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Enforcement | Published 08/03/2018
8/5/2018 Palm House Hotel LLLP, et al. (Release No. LR-24224; Aug. 3, 2018) Search SEC Documents Go Company Filings | More Search Options ABOUT DIVISIONS & OFFICES ENFORCEMENT REGULATION EDUCATION FILINGS NEWS ENFORCEMENT Accounting and… Read More
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News | Published 07/31/2018
WASHINGTON, D.C. – Today, Bureau of Consumer Financial Protection (Bureau) Acting Director Mick Mulvaney issued the following statement regarding actions by the Department of the Treasury and the Office of the Comptroller of the Currency to promote innovation in the financial services marketplace… Read More
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Enforcement | Published 08/01/2018
Federal Trade Commission, Plaintiff, v. Tate’s Auto Center of Winslow, Inc., an Arizona Corporation; Tates Automotive, Inc., an Arizona Corporation; Tate Ford-Lincoln-Mercury, Inc., doing business as Tate’s Auto Center, a Delaware corporation; Tate’s… Read More
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Enforcement | Published 08/03/2018
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039400901 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Seven Points Capital, LLC, Respondent BD No. 144211 Pursuant to FIN… Read More
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Proposed Rule | Published 08/02/2018 | Comments Close 09/17/2018
This document proposes to amend U.S. Customs and Border Protection (CBP) regulations to implement changes to the drawback regulations as directed by the Trade Facilitation and Trade Enforcement Act of 2015 (TFTEA). These proposed regulations… Read More
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Final Rule | Published 08/06/2018 | Effective 10/05/2018
The Board is adopting a final rule (final rule) to establish single-counterparty credit limits for bank holding companies and foreign banking organizations with $250 billion or more in total consolidated assets, including any U.S. intermediate… Read More
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Notice | Published 08/06/2018
Section 203 of the Department of Veterans Affairs Health Care Personnel Act of 1991 (Pub. L. 102-40), dated May 7, 1991, revised the disciplinary grievance and appeal procedures for employees. It also required the periodic designation of employees of… Read More
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News | Published 07/31/2018
WASHINGTON — The Office of the Comptroller of the Currency (OCC) today announced it will begin accepting applications for national bank charters from nondepository financial technology (fintech) companies engaged in the business of banking… Read More
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Enforcement | Published 07/30/2018
NEW YORK STOCK EXCHANGE LLC OFFICE OF HEARING OFFICERS NYSE Regulation, on behalf of New York Stock Exchange LLC, Complainant, v. Quattro M Securities Inc. (CRD No. 39289), Respondent. Disciplinary Proceeding No. 2016-07-01288 STATEMENT OF CH… Read More
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Proposed Rule | Published 07/31/2018 | Comments Close 10/01/2018
The Commodity Futures Trading Commission (“CFTC” or “Commission”) is proposing to amend its position limits rules for security futures products (“SFPs”) by: Increasing the default level of equity SFP position limits and modifying the criteria … Read More
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