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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54 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
 
 
 
 
 
 

Final Rule: Advisory Opinions Pilot… | 06/22/2020

Proposed Rule: Advisory Opinions Proposal… | 06/22/2020

Speech: Remarks by Director Kraninger During Consumer Data Industry Associatio… | 06/19/2020

Proposed Rule: Facilitating the LIBOR Transition (Regulation Z)… | 06/18/2020

Press release: Consumer Financial Protection Bureau Launches Pilot Advisory Opinion P… | 06/18/2020

Blog: Consumer reporting and the CARES Act… | 06/16/2020

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

 
 
 
CFTC
 
 
 
 

News: Deutsche Bank to Pay Over $10 Million to Settle Two CFTC Cases… | 06/18/2020

Enforcement: Order: Deutsche Bank Securities Inc…. | 06/18/2020

Enforcement: Consent Order: Deutsche Bank AG… | 06/18/2020

News: Federal Court Orders Alabama Man to Pay $755,000 for Binary Options Fr… | 06/17/2020

Enforcement: Consent Order: Aaron B. Butler, et al… | 06/17/2020

 
 
 
DOJ
 
 
 
 

Final Rule: Civil Monetary Penalties Inflation Adjustment… | 06/19/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Air Act… | 06/18/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 06/17/2020

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

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/18/2020

Notice: Agency Information Collection Activities; Comment Request; Application… | 06/17/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/16/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/16/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/16/2020

 
 
 
EBSA
 
 
 
 

News: U.S. Department of Labor Issues Proposed 2020 Self-Compliance Tool To … | 06/19/2020

Notice: Prohibited Transactions Involving Pooled Employer Plans Under the SECU… | 06/18/2020

News: U.S. Department of Labor Publishes Request for Information On Pooled E… | 06/17/2020

News: Federal Court Orders Defunct Online Casino and Sweepstakes Company To … | 06/16/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Presidential Determination Pursuant to Section 1245(d)(4)(B) and (C) o… | 06/19/2020

Presidential Document: Safe Policing for Safe Communities… | 06/19/2020

Presidential Document: Continuation of the National Emergency With Respect to North Korea… | 06/19/2020

Presidential Document: Flag Day and National Flag Week, 2020… | 06/17/2020

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

 
 
 
FDIC
 
 
 
 

News: The FDIC Updates its Enforcement Actions Manual for Flood Insurance Ci… | 06/18/2020

News: Remarks by FDIC Chairman Jelena McWilliams and Director of the Divisio… | 06/16/2020

Press Release: FDIC-Insured Institutions Reported Reduced Profitability but Strong Lo… | 06/16/2020

 
 
 
FFIEC
 
 
 
 

News: Hall Selected to FFIEC State Liaison Committee… | 06/16/2020

 
 
 
FINRA
 
 
 
 
 
 

Notices: Regulatory Notice 20-18 FINRA Amends Its Suitability, Non-Cash Compens… | 06/19/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Frank Venturelli AWCs (Letters of Acceptance, Waiver, and Consent)… | 06/19/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Barry John Hartwyk AWCs (Letters of Acceptance, Waiver, and Consent)… | 06/18/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Christopher R. Wurtzinger AWCs (Letters of Acceptance, Waiver, and Con… | 06/18/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 06/18/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Albert Dishner AWCs (Letters of Acceptance, Waiver, and Consent)… | 06/17/2020

Orders Accepting Offers of Settlement: Fusion Analytics Securities, LLC Orders Accepting Offers of Settlement… | 06/16/2020

AWCs (Letters of Acceptance, Waiver, and Consent): James Van Ham AWCs (Letters of Acceptance, Waiver, and Consent)… | 06/16/2020

Complaints: Julian Jay Piekarczyk Complaints… | 06/16/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 06/16/2020

 
 
 
FRS
 
 
 
 
 
 

Speech: The Adaptability of Stress Testing – Vice Chair for Supervision Randal… | 06/19/2020

Speech: Introductory Comments – Chair Jerome H. Powell… | 06/19/2020

Press Release: Federal Reserve announces FraudClassifier Model to help organizations … | 06/18/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 06/17/2020

News: Semiannual Monetary Policy Report to the Congress – Chair Jerome H. Po… | 06/16/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 06/16/2020

Speech: U.S. Economic Outlook and Monetary Policy (via prerecorded video) – Vi… | 06/16/2020

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

Press Release: Term Sheet: Secondary Market Corporate Credit Facility (PDF) – Federal… | 06/15/2020

Press Release: Attachment (PDF) – Federal Reserve Board announces approval of applica… | 06/15/2020

 
 
 
FTC
 
 
 
 
 
 

News: FTC Issues Two Reports Requested in Fiscal Year 2020 Spending Bill… | 06/19/2020

Notice: Granting of Requests for Early Termination of the Waiting Period Under… | 06/18/2020

News: FTC Sends Letters Warning 30 More Marketers to Stop Making Unsupported… | 06/18/2020

Enforcement: Automobiles
Complaint for Permanent Injunction and Other Equitable Rel… | 06/17/2020

News: Marketer Used Deceptive COVID-19 Stimulus Mailers To Lure Consumers to… | 06/17/2020

Agency Update: International Monthly: June 2020… | 06/16/2020

News: FTC Announces that PrivacyCon 2020 Will be Held Virtually… | 06/16/2020

News: FTC Approves Final Order Settling Charges that VieVu’s Former Parent C… | 06/16/2020

 
 
 
NCUA
 
 
 
 

Notice: Sunshine Act: Notice of Agency Meeting… | 06/22/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 06/18/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 06/17/2020

 
 
 
OCC
 
 
 
 

News Release: News Release 2020-78… | 06/16/2020

 
 
 
OFAC
 
 
 
 

Notice: Notice of OFAC Sanctions Actions… | 06/19/2020

Financial Sanction: Venezuela-related Designations and Designations Removals; Issuance of … | 06/18/2020

Notice: Notice of OFAC Sanctions Actions… | 06/18/2020

Notice: Notice of OFAC Sanctions Actions Imposed on Persons Identified by the … | 06/18/2020

Financial Sanction: Syria-related Designations; Syria Designations and Designations Update… | 06/17/2020

Financial Sanction: Cyber-related Designations… | 06/16/2020

 
 
 
RHS
 
 
 
 

Notice: Information Collection Activity; Comment Request… | 06/18/2020

Final Rule: Debt Management… | 06/17/2020

 
 
 
SEC
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing a… | 06/22/2020

Notice: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Desi… | 06/22/2020

Notice: Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing … | 06/22/2020

Notice: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of … | 06/22/2020

Notice: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Pr… | 06/22/2020

Notice: Sunshine Act Meetings… | 06/19/2020

Notice: Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and … | 06/19/2020

News: SEC Emergency Action Halts Brothers=E2=80=99 Cryptocurrency Offering Fraud… | 06/19/2020

Notice: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Fili… | 06/19/2020

Notice: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and I… | 06/19/2020

 
 
 
TREAS
 
 
 
 

News: U.S. Department of the Treasury… | 06/19/2020

News: U.S. Department of the Treasury… | 06/19/2020

News: U.S. Department of the Treasury… | 06/18/2020

News: U.S. Department of the Treasury… | 06/18/2020

Notice: Open Meeting of the Financial Research Advisory Committee… | 06/18/2020

News: U.S. Department of the Treasury… | 06/17/2020

News: U.S. Department of the Treasury… | 06/17/2020

News: U.S. Department of the Treasury… | 06/16/2020

Notice: Privacy Act of 1974; System of Records… | 06/16/2020

News: U.S. Department of the Treasury… | 06/16/2020

 
 
 
UK-BOE
 
 
 
 
 
 

Event: Andrew Bailey: HM Treasury Women in Finance Charter – Annual Review La… | 06/19/2020

News Release: US dollar liquidity-providing operations from 1 July 2020… | 06/19/2020

Agency Update: Changes to the provision of US dollar repo operations from July 2020… | 06/19/2020

Agency Update: Update on the Contingent Term Repo Facility (CTRF) – Market Notice 19 … | 06/19/2020

Agency Update: Statement in relation to the Bank’s historical links to the slave trad… | 06/19/2020

News Release: US dollar liquidity-providing operations from 1 July 2020 — Press rel… | 06/19/2020

Event: Robert Elsey: Bloomberg event: The Future of Finance (15:00)… | 06/19/2020

Agency Update: Changes to the provision of US dollar repo operations from July 2020 -… | 06/19/2020

Agency Update: Exchange of letters between the Governor and the Chancellor regarding … | 06/18/2020

Agency Update: Exchange of letters between the Governor and the Chancellor regarding … | 06/18/2020

 
 
 
UK-CMA
 
 
 
 

Press Release: CMA Chairman Andrew Tyrie to step down… | 06/18/2020

Press Release: Estate agent directors disqualified for roles in illegal cartel… | 06/15/2020

 
 
 
UK-FCA
 
 
 
 
 
 
 
 
 
 

News Story: Chief Executive of the Financial Conduct Authority… | 06/22/2020

News: Nikhil Rathi appointed as new Chief Executive of the FCA… | 06/22/2020

Policy and guidance Guidance consultations: Overdrafts and coronavirus: proposed update to temporary guidance for … | 06/19/2020

Policy and guidance Guidance consultations: Personal loans and coronavirus: proposed update to temporary guidance … | 06/19/2020

Policy and guidance Guidance consultations: Overdrafts and coronavirus: proposed update to temporary guidance for … | 06/19/2020

News: FCA announces proposals to further support consumer credit customers… | 06/19/2020

News: Cash2All (Clone of FCA authorised firms)… | 06/19/2020

Policy and guidance Guidance consultations: Credit cards (including retail revolving credit) and coronavirus: prop… | 06/19/2020

Guidance consultations: Credit cards (including retail revolving credit) and coronavirus: prop… | 06/19/2020

Policy and guidance Guidance consultations: Personal loans and coronavirus: proposed update to temporary guidance … | 06/19/2020

 
 
 
UK-HMT
 
 
 
 
 
 

News Story: Chief Executive of the Financial Conduct Authority… | 06/22/2020

News Story: Chancellor urges nation to support their high streets… | 06/20/2020

News Story: Joint Call of Finance Ministers of the Five Eyes Nations… | 06/19/2020

Transparency: OSCAR – publishing data from the database: June 2020… | 06/19/2020

Correspondence: Asset purchase facility (APF) ceiling, June 2020… | 06/18/2020

Correspondence: Open letters between HM Treasury and Bank of England, June 2020… | 06/18/2020

Official Statistics: Forecasts for the UK economy: June 2020… | 06/17/2020

News Story: Self-employed new parents can claim support grant… | 06/17/2020

Correspondence: DAO 03/20 Accounts Directions 2019-20… | 06/17/2020

Policy Paper: National Infrastructure and Construction Procurement Pipeline 2020/21… | 06/16/2020

 
 
 
UK-PRA
 
 
 
 

Annual Report: The Bank of England’s climate-related financial disclosure 2020… | 06/18/2020

Annual Report: The Prescribed Persons (Reports on Disclosures of Information) Regulat… | 06/18/2020

PRA Annual Report: Prudential Regulation Authority Annual Report 2019/20 – Senior leaders… | 06/18/2020

PRA Annual Report: Prudential Regulation Authority Annual Report 2019/20 – Report by the … | 06/18/2020

PRA Annual Report: Prudential Regulation Authority Annual Report 2019/20 – Prudential Reg… | 06/18/2020

PRA Annual Report: Prudential Regulation Authority Annual Report 2019/20 – Annual report … | 06/18/2020

PRA Annual Report: Prudential Regulation Authority Annual Report 2019/20 – Complying with… | 06/18/2020

PRA Annual Report: Prudential Regulation Authority Annual Report 2019/20… | 06/18/2020

PRA Annual Report: Prudential Regulation Authority Annual Report 2019/20 – Foreword by th… | 06/18/2020

PRA Annual Report: Prudential Regulation Authority Annual Report 2019/20 – Financial Revi… | 06/18/2020

 
 
 
VA
 
 
 
 
 
 

Notice: Agency Information Collection Activity: Conflicting Interests Certific… | 06/22/2020

Notice: Agency Information Collection Activity: Residency Verification Report-… | 06/19/2020

Notice: Agency Information Collection Activity: Application and Training Agree… | 06/19/2020

News: This announcement provides information on the system deployment occurr… | 06/19/2020

Notice: Agency Information Collection Activity: Application for Reinstatement-… | 06/18/2020

News: This announcement provides information on the upcoming system maintena… | 06/18/2020

News: This newsflash provides information on Circular 26-18-21, Circular 26-… | 06/18/2020

Circular: Circular 26-20-23- Extended Foreclosure Moratorium for Borrowers Affec… | 06/17/2020

Circular: Circular 26-20-22 – Extended Foreclosure Moratorium for Borrowers Affe… | 06/17/2020

Notice: Privacy Act of 1974; System of Records… | 06/17/2020

 

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