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

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FTC enforcements increased 4% over the past 30 days

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SEC issued enforcements: $45,971,340.93 over the past 30 days

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62 Final Rules go into effect in the next 30 days

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23 Mortgage Lending docs published in the last 7 days

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427 docs with 4647 extracted obligations from the last 7 days

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

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1706 new docs in pro.compliance.ai within the last 7 days

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Introducing new content from WesPay

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Enforcement Report June 08-15

 
 
CA-OSFI
 
 
 
 

Letter: Le point sur le calendrier de mise en oeuvre des relev=C3=A9s r=C3=A9glementaire… | 06/08/2020

Letter: Updates to the 2020 regulatory return implementation deadlines… | 06/08/2020

 
 
 
CFPB
 
 
 
 

Notice: Agency Information Collection Activities: Comment Request… | 06/15/2020

Blog: It’s not too late to fill out the FAFSA: Here’s what you need to know… | 06/10/2020

Blog: New resource in the fight against elder financial fraud… | 06/10/2020

Press release: CFPB Releases Tool to Help Communities Prevent and Respond to Elder Fr… | 06/10/2020

Notice: Agency Information Collection Activities: Comment Request… | 06/10/2020

Notice: Notice of Availability of Revised Consumer Information Publication… | 06/09/2020

Blog: Taskforce on Federal Consumer Financial Law charting a path ahead… | 06/08/2020

 
 
 
CFTC
 
 
 
 
 
 

Final Rule: Derivatives Clearing Organization General Provisions and Core Principl… | 06/12/2020

Proposed Rule: Bankruptcy Regulations… | 06/12/2020

Proposed Rule: Exemption From Registration for Certain Foreign Persons Acting as Comm… | 06/12/2020

Enforcement: Consent Order: Brett G. Hartshorn… | 06/11/2020

News: CFTC Charges Unregistered Commodity Pool Operator and Its Chief Execut… | 06/11/2020

Enforcement: Complaint: Lighthouse Futures, et al… | 06/11/2020

News: CFTC Charges Companies and Individual with Forex Fraud and Registratio… | 06/11/2020

News: CFTC Charges Forex Trading Firm and Its Principal with Fraud and Misap… | 06/11/2020

News: Federal Court Orders Trading Advisor to Pay $890,000 for Defrauding Ch… | 06/11/2020

Enforcement: Complaint: Simply Gains… | 06/11/2020

 
 
 
DOJ
 
 
 
 

Notice: Notice of Lodging of Proposed Consent Decree Under The Comprehensive E… | 06/15/2020

Notice: Agency Information Collection Activities: Request Reinstatement of a P… | 06/12/2020

Notice: Agency Information Collection Activities; Proposed eCollection; eComme… | 06/11/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Air Act… | 06/09/2020

Notice: Antitrust Division… | 06/08/2020

Agency Update: Virtual FOIA Training for Agency FOIA Professionals =E2=80=93 June Courses Now… | 06/08/2020

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/09/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Blocking Property of Certain Persons Associated With the International… | 06/15/2020

Presidential Document: Continuation of the National Emergency With Respect to the Actions and… | 06/12/2020

Presidential Document: Delegation of Authorities Under the National Defense Authorization Act… | 06/12/2020

Notice: Designation of Three Areas as High Intensity Drug Trafficking Areas… | 06/11/2020

Presidential Document: Modifying the Northeast Canyons and Seamounts Marine National Monument… | 06/11/2020

Presidential Document: Protecting United States Investors From Significant Risks From Chinese… | 06/09/2020

 
 
 
FDIC
 
 
 
 

Press Release: FDIC Issues Annual Report on Efforts to Preserve and Promote Minority … | 06/10/2020

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

 
 
 
FINCEN
 
 
 
 

Notice: Agency Information Collection Activities: Proposed Renewal; Comment Re… | 06/10/2020

 
 
 
FINRA
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): Two Sigma Securities, LLC AWCs (Letters of Acceptance, Waiver, and Con… | 06/12/2020

Complaints: Adam James Makkai Complaints… | 06/12/2020

AWCs (Letters of Acceptance, Waiver, and Consent): David Austin AWCs (Letters of Acceptance, Waiver, and Consent)… | 06/11/2020

AWCs (Letters of Acceptance, Waiver, and Consent): John W. Loofbourrow AWCs (Letters of Acceptance, Waiver, and Consent)… | 06/11/2020

Notices: Regulatory Notice 20-17 FINRA Revises Rule 4530 Problem Codes for Repo… | 06/10/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Bradley Scott Kyburz AWCs (Letters of Acceptance, Waiver, and Consent)… | 06/10/2020

AWCs (Letters of Acceptance, Waiver, and Consent): SagePoint Financial, Inc. AWCs (Letters of Acceptance, Waiver, and Con… | 06/10/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Dee Dee Brooks AWCs (Letters of Acceptance, Waiver, and Consent)… | 06/08/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Matthew Vincent Muratori AWCs (Letters of Acceptance, Waiver, and Cons… | 06/08/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Joe M. Allbright AWCs (Letters of Acceptance, Waiver, and Consent)… | 06/08/2020

 
 
 
FRS
 
 
 
 

Notice: Notice of Proposals To Engage in or To Acquire Companies Engaged in Pe… | 06/15/2020

News: Federal Reserve Board releases a report, Fed Listens: Perspectives fro… | 06/12/2020

News: Federal Reserve issues FOMC statement… | 06/10/2020

News: Implementation Note issued June 10, 2020 – Federal Reserve issues FOMC… | 06/10/2020

News: Federal Reserve Board and Federal Open Market Committee release econom… | 06/10/2020

News: Federal Reserve Board issues enforcement action with East West Bank… | 06/09/2020

News: Federal Reserve Board announces that results from both its Dodd-Frank … | 06/09/2020

News: Term Sheet: Main Street Expanded Loan Facility (PDF) – Federal Reserve… | 06/08/2020

News: Term Sheet: Main Street Priority Loan Facility (PDF) – Federal Reserve… | 06/08/2020

News: Term Sheet: Main Street New Loan Facility (PDF) – Federal Reserve Boar… | 06/08/2020

 
 
 
FTC
 
 
 
 

News: FTC Makes More State-Level Data Available About COVID-19 Related Compl… | 06/11/2020

Enforcement: Fair Credit Reporting Act (FCRA)
Complaint for Permanent Injunction, O… | 06/10/2020

Enforcement: Finance
Complaint for Permanent Injunction and Other Equitable Relief … | 06/10/2020

News: New York-Based Finance Companies Deceived Small Businesses, Non-Profit… | 06/10/2020

News: FTC Reaches Settlement with Kohl’s over Allegations it Failed to Provi… | 06/10/2020

News: Rogue Payment Processor that Helped Perpetuate Multiple Scams Is Banne… | 06/09/2020

News: FTC Releases Funeral Home Compliance Results, Offers New Business Guid… | 06/08/2020

 
 
 
Freddie
 
 
 
 

Bulletin: Bulletin 2020-23 Updates Regarding Temporary COVID-19-Related Requirem… | 06/11/2020

Bulletin: Bulletin 2020-22 Servicing… | 06/10/2020

Bulletin: Bulletin 2020-21 Temporary Servicing Guidance Related to COVID-19… | 06/10/2020

 
 
 
INT-EC
 
 
 
 

Public Consultations: Establishment of an EU Green Bond Standard… | 06/12/2020

Public Consultations: Establishment of an EU Green Bond Standard — Consultation document: E… | 06/12/2020

Public Consultations: Establishment of an EU Green Bond Standard — Specific privacy stateme… | 06/12/2020

News: Singapore and New Zealand are joining the International Platform on Su… | 06/11/2020

News: Capital markets union: Final report by High-Level Forum pushes for the… | 06/10/2020

 
 
 
NCUA
 
 
 
 

Notice: Agency Information Collection Activities: Proposed Collection; Comment… | 06/10/2020

Notice: Agency Information Collection Activities: Proposed Collection; Comment… | 06/10/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 06/09/2020

 
 
 
OCC
 
 
 
 

Final Rule: Director, Shareholder, and Member Meetings: Technical Correction… | 06/10/2020

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

News Release: News Release 2020-77… | 06/08/2020

 
 
 
OFAC
 
 
 
 

Notice: Notice of OFAC Sanctions Actions… | 06/11/2020

Financial Sanction: Issuance of Executive Order “Blocking Property of Certain Persons Asso… | 06/11/2020

Notice: Notice of OFAC Sanctions Action… | 06/11/2020

Notice: Notice of OFAC Sanctions Actions… | 06/11/2020

Financial Sanction: Non-Proliferation Designations; Iran-related Designations Updates… | 06/08/2020

 
 
 
SEC
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Fili… | 06/15/2020

Notice: Self-Regulatory Organizations; Miami International Securities Exchange… | 06/15/2020

Notice: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Fili… | 06/15/2020

Notice: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of … | 06/12/2020

Enforcement: Louis Navellier and Navellier & Associates, Inc…. | 06/12/2020

News: SEC Charges Broker Who Defrauded Seniors Out of Almost $1 Million… | 06/12/2020

Notice: Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and … | 06/12/2020

Notice: Securities Investor Protection Corporation; Order Approving Proposed B… | 06/12/2020

Notice: Securities Investor Protection Corporation; Order Approving Proposed B… | 06/12/2020

Agency Update: Education… | 06/12/2020

 
 
 
TREAS
 
 
 
 

Notice: Agency Information Collection Activities; Proposed Collection; Comment… | 06/15/2020

News: U.S. Department of the Treasury… | 06/12/2020

News: U.S. Department of the Treasury… | 06/12/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/11/2020

News: U.S. Department of the Treasury… | 06/09/2020

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

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

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

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

 
 
 
UK-BOE
 
 
 
 
 
 

Working Paper: Exchange rate risk and business cycles… | 06/12/2020

News Release: Bank of England, Beano and Tes to launch new primary school teaching r… | 06/12/2020

News Release: Bank of England, Beano and Tes to launch new primary school teaching r… | 06/12/2020

Working Paper: On-the-job training and intra-family dynamics — On-the-job training a… | 06/12/2020

Inflation: Bank of England/TNS Inflation Attitudes Survey – May 2020 — Methodolo… | 06/12/2020

Working Paper: Exchange rate risk and business cycles — Exchange rate risk and busin… | 06/12/2020

Inflation: Bank of England/TNS Inflation Attitudes Survey – May 2020 — Methodolo… | 06/12/2020

Working Paper: Jumpstarting an international currency… | 06/12/2020

Working Paper: On-the-job training and intra-family dynamics… | 06/12/2020

Working Paper: Jumpstarting an international currency — Jumpstarting an internationa… | 06/12/2020

 
 
 
UK-CMA
 
 
 
 

News Story: 2 UK roofing lead firms admit to illegal cartel… | 06/12/2020

Press Release: COVID-19: Major holiday lets firm offers refunds after CMA action… | 06/09/2020

 
 
 
UK-FCA
 
 
 
 
 
 

News: National Debtlines… | 06/12/2020

News: Quick L0ans (clone of FCA authorised firm)… | 06/12/2020

News: Lak Sira Ltd… | 06/12/2020

News: Kieren Hamilton / Whosthatguru / Keztheguru… | 06/12/2020

News: Aldgate-Advisors (clone of FCA authorised firm)… | 06/12/2020

News: fixed-rate.co.uk… | 06/12/2020

News: National-Debt-Helpline… | 06/12/2020

News: Best Rate Savers… | 06/11/2020

News: Investing in Bonds… | 06/11/2020

Final notices: Final Notice 2020: Lloyds Bank plc, Bank of Scotland plc, and The Mort… | 06/11/2020

 
 
 
UK-HMT
 
 
 
 
 
 

News Story: Chancellor visits one of thousands of shops set to open on Monday… | 06/15/2020

News Story: Reservists returning to civilian work eligible for government support … | 06/15/2020

Correspondence: DAO 02/20 Revision of target dates for implementing PAC recommendation… | 06/12/2020

News Story: Figures show UK Government supporting incomes across all nations durin… | 06/11/2020

Policy Paper: Withdrawal of the guarantee arrangements for NRAM and Bradford & Bingl… | 06/11/2020

Html Publication: Withdrawal of guarantee arrangements… | 06/10/2020

News Story: Parents returning to work after extended leave eligible for furlough… | 06/09/2020

News Story: Almost =C2=A338 million support package for debt advice providers helping p… | 06/08/2020

 
 
 
UK-PRA
 
 
 
 

Statement: Joint statement by the Bank and PRA on the ESRB recommendations for th… | 06/08/2020

 
 
 
VA
 
 
 
 

Notice: Agency Information Collection Activity: Income, Net Worth and Employme… | 06/12/2020

Notice: Agency Information Collection Activity: Application for Dependency and… | 06/12/2020

Final Rule: Extension of Veterans’ Group Life Insurance (VGLI) Application Period … | 06/11/2020

Proposed Rule: VA Acquisition Regulation: Foreign Acquisition… | 06/09/2020

Notice: Veterans’ Advisory Committee on Education, Notice of Meeting… | 06/09/2020

Notice: Rehabilitation Research and Development Service Scientific Merit Revie… | 06/09/2020

 

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