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

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FINRA enforcements decreased 41% over the past 30 days

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SEC issued enforcements: $20,672,263.00 over the past 30 days

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104 Final Rules go into effect in the next 30 days

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72 Mortgage Lending docs published in the last 7 days

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4948 docs with 12942 extracted obligations from the last 7 days

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

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12133 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 May 11 -18

 
 
CA-BOC
 
 
 
 

Agency Update: Release of the Financial System Review… | 05/14/2020

 
 
 
CA-OSFI
 
 
 
 

Agency Update: Mise =C3=A0 jour des foires aux questions du BSIF sur les mesures r=C3=A9glement… | 05/14/2020

Agency Update: OSFI updates its Frequently Asked Questions on COVID-19 related regula… | 05/14/2020

 
 
 
CFPB
 
 
 
 
 
 

Speech: Director Kraninger Remarks During Financial Stability Oversight Counci… | 05/15/2020

Press release: CFPB, CSBS Issue Consumer Guide on Mortgage Relief Options… | 05/15/2020

Press release: Consumer Financial Protection Bureau Settles with Monster Loans, Thoma… | 05/14/2020

Blog: What you need to know if you are thinking about using home equity to c… | 05/14/2020

Enforcement Document: Monster Loans, Lend Tech Loans, and Student Loan Debt Relief Companies… | 05/14/2020

Enforcement Action: Monster Loans, Lend Tech Loans, and Student Loan Debt Relief Companies… | 05/14/2020

Press release: Consumer Financial Protection Bureau Outlines Responsibilities of Fina… | 05/13/2020

Blog: Going virtual with your financial consultations during the Coronavirus… | 05/12/2020

Speech: Director Kraninger Remarks During National Association of Realtors 202… | 05/12/2020

Speech: Director Kraninger Remarks During Financial Literacy and Education Com… | 05/12/2020

 
 
 
CFTC
 
 
 
 

Proposed Rule: Swap Clearing Requirement Exemptions… | 05/12/2020

Final Rule: Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swa… | 05/11/2020

 
 
 
DOJ
 
 
 
 

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 05/14/2020

Notice: Notice of Lodging of Proposed Modification of Consent Decree Under the… | 05/14/2020

Notice: Agency Information Collection Activities; Proposed eCollection; eComme… | 05/14/2020

Agency Update: OVW Honors Law Enforcement During Police Week… | 05/14/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 05/11/2020

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 05/12/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Continuation of the National Emergency With Respect to Securing the In… | 05/14/2020

Presidential Document: Peace Officers Memorial Day and Police Week, 2020… | 05/13/2020

Presidential Document: National Defense Transportation Day and National Transportation Week, … | 05/13/2020

Presidential Document: Mother’s Day, 2020… | 05/13/2020

Presidential Document: Providing Continued Federal Support for Governors’ Use of the National… | 05/13/2020

Presidential Document: National Charter Schools Week, 2020… | 05/13/2020

Presidential Document: Military Spouse Day, 2020… | 05/12/2020

Presidential Document: Promoting American Seafood Competitiveness and Economic Growth… | 05/12/2020

Presidential Document: National Nurses Day, 2020… | 05/11/2020

Presidential Document: National Day of Prayer, 2020… | 05/11/2020

 
 
 
FDIC
 
 
 
 

News: Temporary Exclusion of U.S. Treasury Securities and Deposits at Federa… | 05/15/2020

News: Statement by Martin J. Gruenberg, Member, FDIC Board of Directors; on … | 05/15/2020

News: Statement by FDIC Chairman Jelena McWilliams on the Interim Final Rule… | 05/15/2020

News: Statement of Jelena McWilliams, Chairman, Federal Deposit Insurance Co… | 05/12/2020

News: Proposed Rulemaking to Mitigate the Deposit Insurance Assessment Effec… | 05/12/2020

 
 
 
FINCEN
 
 
 
 

Notice: Agency Information Collection Activities; Proposed Renewal; Comment Re… | 05/14/2020

News: Prepared Remarks of FinCEN Director Kenneth A. Blanco, delivered at th… | 05/13/2020

News: Director Blanco Addresses Consensus Blockchain Conference… | 05/13/2020

 
 
 
FINRA
 
 
 
 
 
 

Notices: Regulatory Notice 20-14 Sales Practice Obligations With Respect to Oil… | 05/15/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Brandon Rolle AWCs (Letters of Acceptance, Waiver, and Consent)… | 05/15/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Jason N. Dukas AWCs (Letters of Acceptance, Waiver, and Consent)… | 05/15/2020

AWCs (Letters of Acceptance, Waiver, and Consent): VectorGlobal WMG AWCs (Letters of Acceptance, Waiver, and Consent)… | 05/15/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Lime Brokerage LLC AWCs (Letters of Acceptance, Waiver, and Consent)… | 05/15/2020

Complaints: Joseph John Weinrich Complaints… | 05/14/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Irene P. Engard AWCs (Letters of Acceptance, Waiver, and Consent)… | 05/14/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 05/14/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Arthur Hoffman AWCs (Letters of Acceptance, Waiver, and Consent)… | 05/13/2020

Complaints: Steven Robert Luftschein Complaints… | 05/13/2020

 
 
 
FRS
 
 
 
 

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 05/13/2020

News: Current Economic Issues – Chair Jerome H. Powell… | 05/13/2020

News: Term Sheet: Term Asset-Backed Securities Loan Facility (PDF) – Federal… | 05/12/2020

News: Supervision and Regulation Report – Vice Chair for Supervision Randal … | 05/12/2020

News: Federal Reserve publishes updates to the term sheet for the Term Asset… | 05/12/2020

Notice: Proposed Agency Information Collection Activities; Comment Request… | 05/11/2020

News: Federal Reserve publishes updates to the term sheet for the Municipal … | 05/11/2020

Notice: Agency Information Collection Activities: Announcement of Board Approv… | 05/11/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 05/11/2020

News: Term Sheet: Municipal Liquidity Facility (PDF) – Federal Reserve publi… | 05/11/2020

 
 
 
FTC
 
 
 
 
 
 

Agency Update: International Monthly: May 2020… | 05/16/2020

News: FTC Alerts Consumers About Nursing Homes and Assisted Living Facilitie… | 05/15/2020

Notice: Agency Information Collection Activities: Proposed Collection; Comment… | 05/14/2020

News: FTC Approves Final Consent Order against Federal-Mogul Motorparts LLC … | 05/14/2020

News: FTC Files Complaint Alleging Telemarketers and Debt Collectors Worked … | 05/13/2020

Enforcement: Franchises, Business Opportunities, and Investments
Complaint for Perm… | 05/13/2020

Enforcement: deceptive/misleading conduct
Complaint for Permanent Injunction and Ot… | 05/13/2020

News: Operators of Business Coaching Scheme Will Pay At Least $1.2 Million t… | 05/13/2020

News: FTC Approves Final Orders Settling Charges that Rent-to-Own Operators … | 05/12/2020

Notice: AbbVie Inc. and Allergan plc; Analysis of Consent Order To Aid Public … | 05/12/2020

 
 
 
Freddie
 
 
 
 

Bulletin: Bulletin 2020-16 Temporary Servicing Guidance Related to COVID-19… | 05/14/2020

Bulletin: Bulletin 2020-15 Freddie Mac COVID-19 Payment Deferral… | 05/13/2020

 
 
 
INT-BIS
 
 
 
 

Agency Update: Global and domestic financial cycles: variations on a theme… | 05/11/2020

 
 
 
INT-EC
 
 
 
 

News: Commission publishes guidance on coronavirus-related humanitarian aid … | 05/12/2020

 
 
 
NCUA
 
 
 
 

Notice: Agency Information Collection Activities: Proposed Collection; Comment… | 05/13/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Natio… | 05/13/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 05/12/2020

 
 
 
OCC
 
 
 
 

News Release: News Release 2020-62… | 05/15/2020

Notice: Agency Information Collection Activities: Information Collection Renew… | 05/14/2020

Notice: Agency Information Collection Activities; Information Collection Renew… | 05/14/2020

News Release: News Release 2020-61… | 05/12/2020

 
 
 
OFAC
 
 
 
 

Financial Sanction: Guidance to Address Illicit Shipping and Sanctions Evasion Practices… | 05/14/2020

Financial Sanction: North Korea Administrative Designations Updates… | 05/13/2020

Financial Sanction: Removal of Venezuela-related General License 13E, Issuance of Venezuel… | 05/12/2020

Notice: Notice of OFAC Sanctions Actions… | 05/11/2020

 
 
 
SEC
 
 
 
 
 
 
 
 
 
 

No-Action Letter: QIAGEN N.V…. | 05/15/2020

News: Statement of Hester M. Peirce in Response to Release No. 34-88890; Fil… | 05/15/2020

Incoming Letter: QIAGEN N.V…. | 05/15/2020

News: SEC Orders Credit Rating Agency to Pay $3.5 Million for Conflicts of I… | 05/15/2020

News: SEC Announces New Investor Advisory Committee Members… | 05/15/2020

News: SEC Adopts Amendments to the CAT NMS Plan to Improve Transparency and … | 05/15/2020

Exemptive Order: QIAGEN N.V…. | 05/15/2020

Enforcement: SEC Complaint – Applied BioSciences Corp…. | 05/14/2020

News: Remarks to the Financial Stability Oversight Council… | 05/14/2020

Notice: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and… | 05/14/2020

 
 
 
TREAS
 
 
 
 

News: U.S. Department of the Treasury… | 05/15/2020

News: U.S. Department of the Treasury… | 05/15/2020

News: U.S. Department of the Treasury… | 05/12/2020

News: U.S. Department of the Treasury… | 05/12/2020

Notice: Open Meeting of the Federal Advisory Committee on Insurance… | 05/11/2020

 
 
 
UK-BOE
 
 
 
 
 
 

News: Treasury Committee =E2=80=93 Oral evidence: The economic impact of coronavirus… | 05/15/2020

News: Consolidated Market Notice: Asset Purchase Facility: Gilt Purchases… | 05/15/2020

Agency Update: Quality is our asset: the international transmission of liquidity regu… | 05/15/2020

Agency Update: The interbank market puzzle… | 05/15/2020

Agency Update: Foundations of system-wide financial stress testing with heterogeneous… | 05/15/2020

News: Agency Network briefing event – May 2020… | 05/15/2020

Working Paper: The interbank market puzzle — The interbank market puzzle… | 05/15/2020

Working Paper: Quality is our asset: the international transmission of liquidity regu… | 05/15/2020

Working Paper: Quality is our asset: the international transmission of liquidity regu… | 05/15/2020

Working Paper: Foundations of system-wide financial stress testing with heterogeneous… | 05/15/2020

 
 
 
UK-FCA
 
 
 
 
 
 

News: Step Debt Support / National Direct Service… | 05/15/2020

Final notices: Final Notice 2020: Dale Woodward… | 05/15/2020

Final notices: Final Notice 2020: Carl Anthony Monks… | 05/15/2020

Final notices: Final Notice 2020: Cesco Investments Ltd… | 05/15/2020

News: Business interruption insurance during the coronavirus pandemic – High… | 05/15/2020

News: ShareFounders… | 05/15/2020

News: www.stepoutofdebt.org.uk… | 05/15/2020

News: Step Debt Line (clone of authorised firm)… | 05/15/2020

News: Step Clear to Change… | 05/15/2020

News: 1stClassFx & @investwithjulia… | 05/14/2020

 
 
 
UK-HMT
 
 
 
 

News Story: Statement on infraction proceedings on VAT treatment of certain commod… | 05/15/2020

News Story: Government to support businesses through Trade Credit Insurance guaran… | 05/13/2020

News Story: Applications for Self-Employment Income Support Scheme open early… | 05/13/2020

Guidance: Cross-border information-sharing within corporate groups… | 05/12/2020

News Story: Chancellor extends furlough scheme until October… | 05/12/2020

 
 
 
VA
 
 
 
 

Notice: Agency Information Collection Activity: Application for Authority to C… | 05/14/2020

Notice: Agency Information Collection Activity: Freedom of Information Act (FO… | 05/14/2020

Notice: Agency Information Collection Activity: VA Loan Electronic Reporting I… | 05/14/2020

Notice: Research Advisory Committee on Gulf War Veterans’ Illnesses, Notice of… | 05/13/2020

Notice: Agency Information Collection Activity: Compliance Inspection Report… | 05/13/2020

Notice: Agency Information Collection Activity: Verification of Eligibility fo… | 05/12/2020

Notice: Advisory Committee on Former Prisoners of War, Notice of Meeting… | 05/11/2020

Notice: Department of Veterans Affairs Guidance Document Database and Portal (… | 05/11/2020

 

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