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

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OFAC enforcements increased 50% over the past 30 days

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

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123 Final Rules go into effect in the next 30 days

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40 Mortgage Lending docs published in the last 7 days

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149 docs with 7429 extracted obligations from the last 7 days

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

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6800 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 June 01 - 08

 
 
CFPB
 
 
 
 
 
 

Final Rule: Remittance Transfers Under the Electronic Fund Transfer Act (Regulatio… | 06/05/2020

Press release: CFPB Takes Steps to Facilitate LIBOR Transition… | 06/04/2020

Notice: Agency Information Collection Activities: Comment Request… | 06/03/2020

Press release: Consumer Financial Protection Bureau Takes Action to Help Consumers Re… | 06/03/2020

Press release: Consumer Financial Protection Bureau Settles with Short-term Lenders f… | 06/02/2020

Enforcement Action: Main Street Personal Finance, Inc., ACAC, Inc. d/b/a Approved Cash Adv… | 06/02/2020

Enforcement Document: Main Street Personal Finance, Inc., ACAC, Inc. d/b/a Approved Cash Adv… | 06/02/2020

Enforcement Document: Main Street Personal Finance, Inc., ACAC, Inc. d/b/a Approved Cash Adv… | 06/02/2020

Blog: How to avoid COVID-19 government imposter scams… | 06/01/2020

 
 
 
CFTC
 
 
 
 

Notice: Sunshine Act Meetings… | 06/02/2020

Enforcement: Complaint: William S. Evans III, et al…. | 06/02/2020

News: CFTC Charges Kentucky Man in Multi-Million Dollar Fraud Scheme… | 06/02/2020

Enforcement: Consent Order: Eyal Alper… | 06/02/2020

News: CFTC Obtains $700,000 Judgment Against New York Man in Fraud and Misap… | 06/02/2020

 
 
 
DOJ
 
 
 
 

Notice: Antitrust Division… | 06/08/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Air Act… | 06/04/2020

Notice: Agency Information Collection Activities; Proposed eCollection, eComme… | 06/03/2020

Notice: Agency Information Collection Activities; Proposed eCollection, eComme… | 06/03/2020

Notice: Agency Information Collection Activities; Proposed eCollection, eComme… | 06/03/2020

Notice: Agency Information Collection Activities; Proposed eCollection, eComme… | 06/03/2020

Notice: Agency Information Collection Activities; Proposed eCollection, eComme… | 06/03/2020

Agency Update: Summary of Fiscal Year 2019 Annual FOIA Reports Published… | 06/01/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 06/01/2020

 
 
 
EBSA
 
 
 
 

News: U.S. Department of Labor Issues Information Letter On Private Equity I… | 06/03/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Great Outdoors Month, 2020… | 06/05/2020

Presidential Document: Advancing International Religious Freedom… | 06/05/2020

Presidential Document: Providing Continued Federal Support for Governors’ Use of the National… | 06/05/2020

Presidential Document: National Homeownership Month, 2020… | 06/05/2020

Presidential Document: African-American Music Appreciation Month, 2020… | 06/05/2020

Presidential Document: National Caribbean-American Heritage Month, 2020… | 06/05/2020

Presidential Document: National Ocean Month, 2020… | 06/05/2020

Notice: Designation of Twelve Areas as High Intensity Drug Trafficking Areas… | 06/04/2020

Presidential Document: Suspension of Entry as Nonimmigrants of Certain Students and Researche… | 06/04/2020

Presidential Document: Preventing Online Censorship… | 06/02/2020

 
 
 
FDIC
 
 
 
 

Notice: Notice to All Interested Parties of Intent To Terminate Receivership… | 06/08/2020

Notice: Notice to All Interested Parties of Intent To Terminate Receiverships… | 06/08/2020

Notice: Notice of Termination of Receivership… | 06/05/2020

Notice: Notice of the FDIC’s Response to Exception Requests Pursuant to Record… | 06/03/2020

News: Summary of Deposits Survey and Filing for June 30, 2020
Summary of Dep… | 06/03/2020

News: Remarks by FDIC Chairman Jelena McWilliams at the Olympia Snowe Women’… | 06/02/2020

Notice: Agency Information Collection Activities: Proposed Collection Renewal;… | 06/02/2020

News: Statement by FDIC Chairman Jelena McWilliams on Acting Comptroller of … | 06/01/2020

Final Rule: Interagency Policy Statement on Allowances for Credit Losses… | 06/01/2020

Final Rule: Regulatory Capital Rule: Temporary Exclusion of U.S. Treasury Securiti… | 06/01/2020

 
 
 
FFIEC
 
 
 
 

Notice: Agency Information Collection Activities; Renewal of an Approved Infor… | 06/05/2020

News: Financial Regulators Statement on Financial Inclusion… | 06/05/2020

 
 
 
FINRA
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): Electronic Transaction Clearing, Inc. AWCs (Letters of Acceptance, Wai… | 06/05/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Merrill Lynch, Pierce, Fenner & Smith Incorporated AWCs (Letters of Ac… | 06/04/2020

AWCs (Letters of Acceptance, Waiver, and Consent): TPEG Securities, LLC AWCs (Letters of Acceptance, Waiver, and Consent)… | 06/04/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Robert Silverman AWCs (Letters of Acceptance, Waiver, and Consent)… | 06/03/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Donald G. Padilla AWCs (Letters of Acceptance, Waiver, and Consent)… | 06/02/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Cantor Fitzgerald & Co. AWCs (Letters of Acceptance, Waiver, and Conse… | 06/02/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Hector Ramos AWCs (Letters of Acceptance, Waiver, and Consent)… | 06/02/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Quinn Daniel Campbell AWCs (Letters of Acceptance, Waiver, and Consent… | 06/02/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Mizuho Securities USA LLC AWCs (Letters of Acceptance, Waiver, and Con… | 06/01/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Marie Bernadette Kincheloe AWCs (Letters of Acceptance, Waiver, and Co… | 06/01/2020

 
 
 
FRS
 
 
 
 

Notice: Formations of, Acquisitions by, and Mergers of Savings and Loan Holdin… | 06/04/2020

News: Federal Reserve Board announces termination of enforcement action with… | 06/04/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 06/04/2020

Notice: Agency Information Collection Activities: Announcement of Temporary Ap… | 06/04/2020

Notice: Notice of Proposals To Engage in or To Acquire Companies Engaged in Pe… | 06/03/2020

News: Term Sheet: Municipal Liquidity Facility (PDF) – Federal Reserve Board… | 06/03/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 06/03/2020

News: Federal Reserve Board announces an expansion in the number and type of… | 06/03/2020

Notice: Announcement of Financial Sector Liabilities… | 06/02/2020

News: Agencies issue host state loan-to-deposit ratios… | 06/02/2020

 
 
 
FTC
 
 
 
 
 
 

Proposed Rule: Prohibition of Energy Market Manipulation Rule… | 06/05/2020

Consumer Alert: Coaching Department Refunds… | 06/05/2020

News: FTC Sends Second Round of Warning Letters to Multi-Level Marketers Reg… | 06/05/2020

Consumer Alert: Quantum Wellness Refunds Products: ReJuvenation… | 06/05/2020

News: Developer of Apps Popular with Children Agrees to Settle FTC Allegatio… | 06/04/2020

Enforcement: Technology
Complaint for Civil Penalties, Permanent Injunction and Oth… | 06/04/2020

News: FTC Staff Provides 2019 Annual Financial Acts Enforcement Report to th… | 06/04/2020

News: FTC Sends Letters Warning 35 More Marketers to Stop Making Unsupported… | 06/04/2020

News: FTC Adjusts Monetary Thresholds for Three Exemptions in Franchise Rule… | 06/03/2020

News: FTC Provides Consumer Emergency Preparedness Resources… | 06/02/2020

 
 
 
Freddie
 
 
 
 

Bulletin: Bulletin 2020-20 Selling… | 06/03/2020

 
 
 
INT-FSB
 
 
 
 

News: FSB Americas group discusses financial vulnerabilities and the impact … | 06/05/2020

 
 
 
NCUA
 
 
 
 

Proposed Rule: Joint Ownership Share Accounts… | 06/05/2020

Final Rule: Interagency Policy Statement on Allowances for Credit Losses… | 06/01/2020

Notice: Interagency Guidance on Credit Risk Review Systems… | 06/01/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing a… | 06/05/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 06/05/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 06/02/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 06/01/2020

 
 
 
OCC
 
 
 
 

Notice: Mutual Savings Association Advisory Committee… | 06/08/2020

Final Rule: Community Reinvestment Act Regulations… | 06/05/2020

News Release: News Release 2020-76… | 06/04/2020

Final Rule: Permissible Interest on Loans That Are Sold, Assigned, or Otherwise Tr… | 06/02/2020

News Release: News Release 2020-75… | 06/02/2020

News Release: News Release 2020-74… | 06/02/2020

News Release: News Release 2020-73… | 06/01/2020

Final Rule: Regulatory Capital Rule: Temporary Exclusion of U.S. Treasury Securiti… | 06/01/2020

Notice: Interagency Guidance on Credit Risk Review Systems… | 06/01/2020

Final Rule: Interagency Policy Statement on Allowances for Credit Losses… | 06/01/2020

 
 
 
OFAC
 
 
 
 

Final Rule: Syria-Related Sanctions Regulations… | 06/05/2020

Financial Sanction: Issuance of Iran-related Frequently Asked Questions… | 06/05/2020

Financial Sanction: Publication of Syria-related Sanctions Regulations… | 06/04/2020

Financial Sanction: Venezuela-related Designations… | 06/02/2020

Press Release: Venezuela-related Designations — Treasury Targets Maritime Entities f… | 06/02/2020

 
 
 
SEC
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing an… | 06/08/2020

Notice: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and… | 06/08/2020

Notice: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of … | 06/08/2020

Notice: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and I… | 06/08/2020

Notice: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and I… | 06/08/2020

Notice: Self-Regulatory Organizations; The Options Clearing Corporation; Order… | 06/08/2020

Notice: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and I… | 06/08/2020

Notice: Self-Regulatory Organizations; Miami International Securities Exchange… | 06/08/2020

Notice: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and I… | 06/05/2020

Enforcement: Jana Faith Kiena, CPA… | 06/05/2020

 
 
 
TREAS
 
 
 
 

Notice: Survey of Foreign Ownership of U.S. Securities as of June 30, 2020… | 06/08/2020

Notice: Community Development Financial Institutions Fund; Request for Informa… | 06/08/2020

News: U.S. Department of the Treasury… | 06/08/2020

News: U.S. Department of the Treasury… | 06/03/2020

News: U.S. Department of the Treasury… | 06/03/2020

News: U.S. Department of the Treasury… | 06/03/2020

News: U.S. Department of the Treasury… | 06/02/2020

Final Rule: Business Loan Program Temporary Changes; Paycheck Protection Program-R… | 06/01/2020

 
 
 
UK-CMA
 
 
 
 

Press Release: Pharma company director disqualified for competition law breaches… | 06/04/2020

 
 
 
UK-FCA
 
 
 
 
 
 
 
 
 
 

News: Bond Checker… | 06/05/2020

Meeting minutes: FCA Board Minutes: 23 April 2020… | 06/05/2020

Policy and guidance Guidance consultations: GC20/1: Advising on pension transfers… | 06/05/2020

News: Fixedrates4U… | 06/05/2020

Policy and guidance Policy statements: PS20/6 Pension transfer advice: feedback on CP19/25 and our final rule… | 06/05/2020

Guidance consultations: GC20/01: Advising on pension transfers… | 06/05/2020

News: London Bond Company… | 06/05/2020

Consultation papers: CP20/7: Quarterly Consultation No 28… | 06/05/2020

Meeting minutes: FCA Board Minutes: 4 May 2020… | 06/05/2020

Policy and guidance Policy statements: PS20/6 Pension transfer advice: feedback on CP19/25 and our final rule… | 06/05/2020

 
 
 
UK-HMT
 
 
 
 
 
 

News Story: Chancellor announces Richard Hughes as preferred Chair of the Office f… | 06/05/2020

Transparency: UKGI Company director hospitality and expenses report: October to Dece… | 06/04/2020

Press Release: Trade Credit Insurance backed by =C2=A310 billion guarantee… | 06/04/2020

Transparency: UKGI Company director hospitality and expenses report: January to Marc… | 06/04/2020

Transparency: UKGI Company director hospitality and expenses report: January to Marc… | 06/04/2020

Guidance: Financial sanctions, Democratic People’s Republic of Korea… | 06/04/2020

Transparency: UKGI Company director hospitality and expenses report: January to Marc… | 06/04/2020

Transparency: UKGI Company director hospitality and expenses report: July to Septemb… | 06/04/2020

Transparency: UKGI Company director hospitality and expenses report: October to Dece… | 06/04/2020

Transparency: UKGI Company director hospitality and expenses report: October to Dece… | 06/04/2020

 
 
 
UK-PRA
 
 
 
 

Letter: Letter from Sam Woods ‘Covid-19: IFRS 9 and capital requirements – Fur… | 06/04/2020

Letter: Letter from Sam Woods ‘Covid-19: IFRS 9 and capital requirements – Fur… | 06/04/2020

Statement: PRA Statement on the use of electronic signatures to evidence forms an… | 06/02/2020

PRA Regulatory Digest: PRA Regulatory Digest – May 2020… | 06/01/2020

 
 
 
VA
 
 
 
 

Final Rule: Home Visits in Program of Comprehensive Assistance for Family Caregive… | 06/05/2020

Notice: Cooperative Studies Scientific Evaluation Committee, Amended Notice of… | 06/05/2020

Notice: Agency Information Collection Activity Under OMB Review: Casket and Ur… | 06/03/2020

Notice: Agency Information Collection Activity Under OMB Review: Availability … | 06/02/2020

Notice: Advisory Committee: VA National Academic Affiliations Council, Notice … | 06/01/2020

 

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