148 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


45 Mortgage Lending docs published in the last 7 days


149 docs with 7429 extracted obligations from the last 7 days


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


6736 new docs in pro.compliance.ai within the last 7 days


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News | Published 06/21/2018
WASHINGTON — The Office of the Comptroller of the Currency (OCC) reported trading revenue of U.S. commercial banks and federal savings associations of $8.2 billion in the first quarter 2018, which was $3.2 billion, or 62.8 percent, higher than the pr… Read More
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Notice | Published 06/25/2018
In accordance with the provisions of the Federal Advisory Committee Act, Title 5, United States Code, Appendix, and Title 41 of the U.S. Code of Federal Regulations, section 101-6.1015, notice is hereby given that the Charter of the National Domestic… Read More
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Final Rule | Published 06/19/2018 | Effective 07/19/2018
In a final rule published on January 19, 2017, a number of federal departments and agencies revised to the Federal Policy for the Protection of Human Subjects (often referred to as the “Common Rule”), which each department and agency adopted into… Read More
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Final Rule | Published 06/25/2018 | Effective 07/25/2018
The Department of Veterans Affairs (VA) adopts as final, with no changes, a proposed rule amending its medical regulations related to hospital care and medical services in foreign countries. We simplified and clarified the scope of these regulations… Read More
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Final Rule | Published 06/22/2018 | Effective 01/01/2019
The Securities and Exchange Commission is adopting new rule 30e-3 under the Investment Company Act of 1940. Subject to conditions, new rule 30e-3 will provide certain registered investment companies with an optional method to satisfy their obligation… Read More
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Proposed Rule | Published 06/20/2018 | Comments Close 07/20/2018
The Department of the Treasury (Treasury) proposes to amend its rules to revise the method by which the statutory three percent limitation on administrative costs (referred to throughout this notice of proposed rulemaking (NPRM) as the ‘‘three percent administrative cost cap’’) is applied under the Direct Component, Comprehensive Plan Component, and Spill Impact Component under the Resources and Ecosystem Sustainability, Tourist Opportunities, and Revived Economies of the Gulf Coast States Act of 2012 (RESTORE Act or Act)… Read More
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Final Rule | Published 06/21/2018 | Effective 08/20/2018
This document contains a final regulation under Title I of the Employee Retirement Income Security Act (ERISA) that establishes additional criteria under ERISA section 3(5) for determining when employers may join together in a group or association of… Read More
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News | Published 06/21/2018 
The nation’s largest bank holding companies are strongly capitalized and would be able to lend to households and businesses during a severe global recession, according to the results of supervisory stress tests released Thursday by the Federal Reserve Board… Read More
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Notice | Published 06/22/2018
Notice is hereby given that the Federal Deposit Insurance Corporation (FDIC or Receiver) as Receiver for the institution listed below intends to terminate its receivership for said institution… Read More
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Agency Update | Published 06/22/2018
FHA INFO #18-25 June 22, 2018… Read More
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Enforcement | Published 06/18/2018
Federal Trade Commission, Plaintiff, v. 9140-9201 Québec Inc., a Quebec corporation, also doing business as Ameteck Group, Marketing Midwest, Midwest Marketing, and Midwest Marketing Inc.; Midwest Advertising & Publishing Inc., a Quebec corporation… Read More
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Presidential Document | Published 06/25/2018
By the authority vested in me as President by the Constitution and the laws of the United States of America, including the Immigration and Nationality Act (INA), 8 U.S.C. 1101 et seq., it is hereby ordered as follows:… Read More
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Enforcement | Published 06/22/2018
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048239701 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Central States Capital Markets, LLC, Respondent Member Firm CRD No… Read More
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Enforcement | Published 06/19/2018
NYSE ARCA, INC. NYSE Regulation, Complainant, Proceeding No. 2017-02-00059 v. OTA LLC, June 19, 2018 Respondent. OTA LLC violated (i) NYSE Arca Rule 7.23-E, by failing to maintain continuous, two-sided… Read More
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Notice | Published 06/25/2018
The Commodity Futures Trading Commission (“CFTC” or “Commission”) charges fees to designated contract markets and registered futures associations to recover the costs incurred by the Commission in the operation of its program of oversight of self… Read More
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Proposed Rule | Published 06/20/2018 | Comments Close 08/20/2018
The Rural Housing Service (RHS or Agency) proposes to amend the current regulation for the Single Family Housing Guaranteed Loan Program (SFHGLP) on the subject of Single Close Combination Construction to Permanent Loans. The Agency proposes to amend… Read More
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News | Published 06/19/2018
WASHINGTON, D.C. – Today, Bureau of Consumer Financial Protection (Bureau) Acting Director Mick Mulvaney issued the following statement in support of the nomination of Kathy Kraninger to be Director of the Bureau… Read More
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Final Rule | Published 06/19/2018 | Effective 06/19/2018
The Department of the Treasury’s Office of Foreign Assets Control (OFAC) is amending the Rough Diamonds Control Regulations to clarify several reporting requirements and remove another, clarify which entity may issue Kimberley Process Certificates… Read More
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