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

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FINRA enforcements decreased 70% over the past 30 days

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CME issued enforcements: $1,241,754.92 over the past 30 days

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161 Final Rules go into effect in the next 30 days

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38 Mortgage Lending docs published in the last 7 days

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1460 docs with 2637 extracted obligations from the last 7 days

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

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3919 new docs in pro.compliance.ai within the last 7 days

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Considering RCM Solutions?  Here’s an RFP to get started.

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Agency Report May 31 - June 07

CAN-BOC
Agency Update: Can regulating bank capital help prevent and mitigate financial downtu… | 06/01/2021
CAN-CANLII
Agency Update: Fees for the Addition of an Observation to or for the Replacement of T… | 06/03/2021
Agency Update: Critical Habitat of the Copper Redhorse (Moxostoma hubbsi) Order, SOR/… | 06/03/2021
Agency Update: Certain Fees in Respect of the Replacement of Identity and Travel Docu… | 06/03/2021
Agency Update: Certain Fees in Respect of the Issuance of Passports (2017 British Col… | 06/03/2021
Agency Update: Certain Fees in Respect of the Issuance and Replacement of Identity an… | 06/03/2021
Agency Update: Certain Fees in Respect of Travel Document Services and Consular Servi… | 06/03/2021
CAN-OPC
News: Announcement: OPC shares views on bill to restrict young persons=E2=80=99 acce… | 06/02/2021
Agency Update: Appearance before the Senate Standing Committee on Legal and Constitut… | 06/02/2021
Announcement: OPC shares views on bill to restrict young persons’ access to sexually… | 06/02/2021
News release: Federal, Provincial and Territorial Information and Privacy Commission… | 06/02/2021
CFPB
Blog: Practitioner tools for navigating financial exchanges with family and … | 06/03/2021
Final Rule: Higher-Priced Mortgage Loan Escrow Exemption (Regulation Z); Correctin… | 06/03/2021
Comment: Comment from Consumer Reports; Public Submission; Consumer Reports… | 06/02/2021
Comment: Comment from Scale AI, Inc.; Public Submission; Scale AI, Inc…. | 06/02/2021
Comment: Comment submitted by Lauren Willis; Public Submission; LMU Loyola Law … | 06/02/2021
Blog: Addressing racial inequities in consumer finance markets… | 06/02/2021
Comment: Comment submitted by Danny Sutton; Public Submission; UiPath… | 06/01/2021
Comment: Comment submitted by Katlin M. Davis; Public Submission; Infotrend… | 06/01/2021
Comment: Comment from Childress, Allen; Public Submission; NA… | 06/01/2021
CFTC
Enforcement: Complaint: James Frederick Walsh… | 06/03/2021
Enforcement: Order: James Frederick Walsh… | 06/03/2021
Enforcement: Default Judgement: James Frederick Walsh… | 06/03/2021
News: Federal Court Orders Florida Man to Pay More than $500,000 for Attempt… | 06/03/2021
DOJ
Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Air Act… | 06/02/2021
Agency Update: Department of Justice Civil Rights Division Observes Memorial Day… | 05/31/2021
DOL
Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/07/2021
Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/07/2021
Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/07/2021
Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/07/2021
Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/01/2021
EBSA
Notice: State All Payer Claims Databases Advisory Committee-Notice of Virtual … | 06/01/2021
EOP
Presidential Document: [No title available]… | 06/07/2021
Presidential Document: National Ocean Month, 2021… | 06/07/2021
Presidential Document: National Immigrant Heritage Month, 2021… | 06/07/2021
Presidential Document: National Homeownership Month, 2021… | 06/07/2021
Presidential Document: National Caribbean-American Heritage Month, 2021… | 06/07/2021
Presidential Document: Lesbian, Gay, Bisexual, Transgender, and Queer Pride Month, 2021… | 06/07/2021
Presidential Document: Great Outdoors Month, 2021… | 06/07/2021
Presidential Document: Black Music Appreciation Month, 2021… | 06/07/2021
Presidential Document: [No title available]… | 06/07/2021
Presidential Document: Addressing the Threat From Securities Investments That Finance Certain… | 06/07/2021
FDIC
Press Release: FDIC Issues List of Banks Examined for CRA Compliance — June 2021 Lis… | 06/03/2021
Press Release: FDIC Issues List of Banks Examined for CRA Compliance… | 06/03/2021
Financial Institution Letter: FIL-38-2021 – Regulatory Relief: Guidance to Help Financial Institutio… | 06/01/2021
Financial Institution Letter: FIL-39-2021 – Summary of Deposits Survey and Filing for June 30, 2021… | 06/01/2021
FINRA
Notices: Regulatory Notice 21-19 FINRA Requests Comment on Short Interest Posit… | 06/04/2021
Notices: Election Notice – 6/4/21 Nominees for Upcoming FINRA Board of Governor… | 06/04/2021
OHO Decisions: Adam James Makkai OHO Decisions… | 06/03/2021
AWCs (Letters of Acceptance, Waiver, and Consent): Louis P. Kreisberg AWCs (Letters of Acceptance, Waiver, and Consent)… | 06/03/2021
AWCs (Letters of Acceptance, Waiver, and Consent): Ricardo Turlan AWCs (Letters of Acceptance, Waiver, and Consent)… | 06/03/2021
AWCs (Letters of Acceptance, Waiver, and Consent): Woong Song Hwang AWCs (Letters of Acceptance, Waiver, and Consent)… | 06/03/2021
Notices: Information Notice 6/3/21 Redesigned eFOCUS System and SEC Security-Ba… | 06/03/2021
Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 06/03/2021
AWCs (Letters of Acceptance, Waiver, and Consent): Nicholas R. Palumbo AWCs (Letters of Acceptance, Waiver, and Consent)… | 06/02/2021
NAC Decisions: Titan Securities Brad C. Brooks, Richard Wayne Demetriou NAC Decisions… | 06/02/2021
FRS
Press Release: Federal Open Market Committee announces its tentative meeting schedule… | 06/04/2021
Final Rule: Regulation D: Reserve Requirements of Depository Institutions… | 06/04/2021
Speech: Jet Flight, Mail Bags, and Banking Regulation – Vice Chair for Supervi… | 06/03/2021
Press Release: Federal Reserve Board issues enforcement action with former employee o… | 06/03/2021
Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 06/03/2021
Notice: Potential Modifications to the Federal Reserve Policy on Payment Syste… | 06/03/2021
Notice: Notice of Proposals To Engage in or To Acquire Companies Engaged in Pe… | 06/03/2021
Press Release: Federal Reserve Board announces plans to begin winding down the portfo… | 06/02/2021
Press Release: Federal Register notice: Regulation D: Reserve Requirements of Deposit… | 06/02/2021
Press Release: Federal Reserve Board issues final rule amending Regulation D with reg… | 06/02/2021
FTC
News: Statement of Acting Bureau of Competition Director Maribeth Petrizzi R… | 06/04/2021
Notice: Agency Information Collection Activities; Proposed Collection; Comment… | 06/02/2021
Proposed Rule: Energy Labeling Rule… | 06/02/2021
Event: Acting Chair Slaughter panelist at The Competition and Growth Summit, … | 06/01/2021
Motion: Respondent Altria Group Inc.’s Third Motion for In Camera Treatment of… | 06/01/2021
Motion: Non-Party Sheetz’s Renewed Motion for In Camera Treatment (Redacted Pu… | 06/01/2021
Enforcement Order: Notice of Appearance by Counsel for Non-Party Phillip Morris Internati… | 06/01/2021
Enforcement Order: Respondents’ Pretrial Brief (Redacted Public Version) (49.29 MB) Altri… | 06/01/2021
News: FTC Approves Final Administrative Consent Orders against Companies tha… | 06/01/2021
News: FTC Staff Provides 2020 Annual Financial Acts Enforcement Report to th… | 06/01/2021
Fannie
News: Announcement SEL-2021-05 – Selling Guide Updates… | 06/02/2021
Freddie
Bulletin: Bulletin 2021-20 Selling… | 06/02/2021
INT-BIS
Working Paper: Money, technology and banking: what lessons can China teach the rest o… | 06/07/2021
Working Paper: The pricing of carbon risk in syndicated loans: which risks are priced… | 06/01/2021
INT-EBA
News: EBA updates list of risk indicators and analysis tools… | 06/07/2021
Press Release: EBA makes recommendations for reducing supervisory reporting costs… | 06/07/2021
News: EBA consults on technical standards on crowdfunding service providers… | 06/04/2021
Press Release: EBA updates technical standards in view of its 2022 benchmarking of in… | 06/03/2021
News: EBA issues Opinion on measures to address macroprudential risk followi… | 06/03/2021
News: EBA releases a new erratum (erratum 3) of the taxonomy package on repo… | 06/03/2021
Press Release: EBA published its 2020 Annual Report… | 06/03/2021
Press Release: EBA announces changes to its internal organisation and appoints two ne… | 06/01/2021
Press Release: EBA and ESMA publish provisional list of instruments and funds for the… | 05/31/2021
INT-EC
Press Release: Ayudas estatales: La Comisi=C3=B3n invita a las partes interesadas a presen… | 06/07/2021
Press Release: Aiuti di Stato: la Commissione invita i portatori di interessi a prese… | 06/07/2021
Press Release: Aides d’=C3=89tat: la Commission invite les parties int=C3=A9ress=C3=A9es =C3=A0 pr=C3=A9senter… | 06/07/2021
Press Release: Staatliche Beihilfen: Kommission fordert Interessentr=C3=A4ger zur Stellung… | 06/07/2021
Press Release: State aid: Commission invites interested parties to provide comments o… | 06/07/2021
Statement: World Food Safety Day: Statement by Commissioner Stella Kyriakides… | 06/06/2021
Press Release: La Commission europ=C3=A9enne adopte de nouveaux outils pour des =C3=A9changes s… | 06/04/2021
FAQ: Preguntas y respuestas: Directiva sobre programas de radio y televisi=C3=B3… | 06/04/2021
FAQ: Domande e risposte: nuove norme UE sul diritto d’autore… | 06/04/2021
Press Release: Empiezan a aplicarse nuevas normas de la UE sobre derechos de autor qu… | 06/04/2021
INT-FATF
Publication: Follow-up report to Bhutan’s assessment of anti-money laundering and c… | 06/04/2021
Publication: Follow-up report to Pakistan’s assessment of anti-money laundering and… | 06/04/2021
Publication: Environmental Crime… | 06/02/2021
Publication: Digital Transformation of AML/CFT… | 06/02/2021
INT-FSB
News: FSB issues statements to support a smooth transition away from LIBOR b… | 06/02/2021
News: FSB seeks feedback on its proposals for quantitative targets for enhan… | 05/31/2021
INT-IOSCO
Media Release: Monitoring Group Reports on Progress to Implement Recommendations to S… | 06/03/2021
Agency Update: Statement on Benchmarks Transition… | 06/02/2021
Media Release: IOSCO to launch 2021 World Investor Week to promote investor education… | 05/31/2021
NCUA
Letters to Credit Unions: Renewal of Prompt Corrective Action Relief… | 06/01/2021
Regulatory Alerts: Equal Credit Opportunity Act (Regulation B)… | 06/01/2021
NYSE
Agency Update: Proposal to modify the NYSE Arca Options Fee Schedule regarding the Cu… | 06/04/2021
Agency Update: Notice of Filing and Immediate Effectiveness of Proposed Rule Change t… | 06/03/2021
Agency Update: Proposal to modify the NYSE American Options Fee Schedule regarding th… | 06/02/2021
Agency Update: Proposal to modify the NYSE Arca Options Fee Schedule regarding the ch… | 06/02/2021
Notice: Self-Regulatory Organizations; New York Stock Exchange LLC, NYSE Ameri… | 06/02/2021
Agency Update: TrueShares Structured Outcome (June) ETF… | 06/01/2021
Agency Update: Proposal to amend the NYSE Arca Equities Fees and Charges… | 06/01/2021
Agency Update: Proposal to amend the NYSE American Equities Price List and Fee Schedu… | 06/01/2021
Agency Update: Proposal to modify the NYSE Arca Options Fee Schedule… | 06/01/2021
OCC
News Release: NR 2021-63 OCC Releases CRA Evaluations for 18 National Banks and Fede… | 06/04/2021
Comment: Janine Hiller; Public Submission; NA… | 06/02/2021
Comment: Allen Childress; Public Submission; NA… | 06/02/2021
Comment: UiPath; Public Submission; UiPath… | 06/01/2021
OFAC
Financial Sanction: Issuance of Executive Order Addressing the Threat from Securities Inve… | 06/03/2021
Financial Sanction: Global Magnitsky Designations… | 06/02/2021
Financial Sanction: Issuance of Venezuela-related General License 8H… | 06/01/2021
Final Rule: Burma Sanctions Regulations… | 06/01/2021
RHS
Notice: Notice of Solicitation of Applications for the Section 533 Housing Pre… | 06/07/2021
Notice: Notice of Solicitation of Applications for the Section 533 Housing Pre… | 06/02/2021
SEC
Notice: Self-Regulatory Organizations; Miami International Securities Exchange… | 06/07/2021
Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing a… | 06/07/2021
Notice: Sunshine Act Meetings… | 06/07/2021
Notice: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and I… | 06/07/2021
Enforcement: Michelle E. MacDonald… | 06/04/2021
Enforcement: Gurprit Chandhoke and VII Peaks Capital, LLC… | 06/04/2021
Enforcement: Robinhood Financial, LLC – Distribution Plan… | 06/04/2021
Enforcement: Robinhood Financial, LLC… | 06/04/2021
News: Statement on The Commission=E2=80=99s Actions Regarding the PCAOB… | 06/04/2021
Press Release: SEC Announces Removal of William D. Duhnke III from the Public Company… | 06/04/2021
TREAS
Statements: Transcript of Press Conference by Secretary of the Treasury Janet L. Y… | 06/05/2021
Press Release: G7 FINANCE MINISTERS & CENTRAL BANK GOVERNORS COMMUNIQU=C3=89… | 06/05/2021
Statements: Remarks by Secretary of the Treasury Janet L. Yellen following the Clo… | 06/05/2021
Statements: Statement from Secretary of the Treasury Janet L. Yellen On G7 Finance… | 06/05/2021
Readout: READOUT: Deputy Secretary of the Treasury Wally Adeyemo’s Call with Eu… | 06/04/2021
Press Release: Media Advisory: U.S. Secretary of the Treasury Janet L. Yellen to Host… | 06/04/2021
Press Release: Publication of the Final Environmental Impact Statement for the Propos… | 06/04/2021
Statement: Remarks by Secretary of the Treasury Janet L. Yellen at the G20 Infras… | 06/03/2021
Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/03/2021
Readout: READOUT: Deputy Secretary of the Treasury Wally Adeyemo’s Roundtable D… | 06/02/2021
UK-BOE
News Release: Bank of England publishes Discussion Paper on New Forms of Digital Mon… | 06/07/2021
News Release: Bank of England publishes Discussion Paper on New Forms of Digital Mon… | 06/07/2021
News Release: Bank of England publishes Discussion Paper on New Forms of Digital Mon… | 06/07/2021
News Release: Bank of England publishes Discussion Paper on New Forms of Digital Mon… | 06/07/2021
News Release: Bank of England publishes Discussion Paper on New Forms of Digital Mon… | 06/07/2021
News Release: Bank of England publishes Discussion Paper on New Forms of Digital Mon… | 06/07/2021
News Release: Bank of England publishes Discussion Paper on New Forms of Digital Mon… | 06/07/2021
Agency Update: Financial Policy Committee and Prudential Regulation Committee pre-app… | 06/04/2021
Agency Update: Climate Biennial Exploratory Scenario (CBES): Key elements of the 2021… | 06/04/2021
Agency Update: New forms of Digital Money Discussion Paper and summary of responses t… | 06/04/2021
UK-CMA
Consultation Outcome: Algorithms, competition and consumer harm: call for information… | 06/07/2021
CMA Case: Investigation into Facebook’s use of data… | 06/04/2021
Press Release: CMA investigates Facebook’s use of ad data… | 06/04/2021
CMA Case: IHS Markit Ltd / CME Global Inc. JV Merger Inquiry… | 06/04/2021
Press Release: Reassessment of FNZ/GBST deal confirms competition concerns… | 06/04/2021
CMA Case: Lanxess AG / Emerald Kalama Chemical LLC merger inquiry… | 06/04/2021
CMA Case: Penguin Random House / Simon & Schuster merger inquiry… | 06/04/2021
CMA Case: FNZ / GBST merger inquiry… | 06/04/2021
CMA Case: Turnitin / Ouriginal merger inquiry… | 06/03/2021
CMA Case: Roofing materials: director disqualification… | 06/03/2021
UK-FCA
News: Archax-EU (clone of FCA authorised firm)… | 06/07/2021
News: Propifi Capital Limited… | 06/04/2021
News: Compare Fixed Investment… | 06/04/2021
News: Clearvest.Net… | 06/04/2021
Publication: CP21/16: Quarterly Consultation Paper No. 32… | 06/04/2021
News: investment compare… | 06/03/2021
News: Institute of International Market Regulators / IIMR… | 06/03/2021
News: Bamboo Loans (Clone of FCA Authorised firm)… | 06/03/2021
News: Investment Compare ISA / bestisa2021.com… | 06/03/2021
News: Best UK Investments… | 06/03/2021
UK-HMT
Open Consultation: Consultation on a Power to Block Listings on National Security Grounds… | 06/06/2021
News Story: G7 Finance Ministers Agree Historic Global Tax Agreement… | 06/05/2021
Html Publication: G7 Factsheet – beneficial ownership… | 06/05/2021
Html Publication: G7 Finance Ministers and Central Bank Governors Communiqu=C3=A9… | 06/05/2021
Policy Paper: G7 Finance Ministers’ meeting, June 2021: communiqu=C3=A9… | 06/05/2021
Guidance: Contingent liability approval framework… | 06/04/2021
Research: UK official holdings of international reserves: May 2021… | 06/03/2021
News Story: Plan for Jobs is working with 1.3 million employees moving off furloug… | 06/03/2021
News Story: Announcement: HM Treasury to extend PRIIPs exemption for UCITS funds f… | 06/01/2021
UK-ICO
News: Conservative Party fined =C2=A310,000 for sending unlawful emails… | 06/03/2021
Monetary penalties: The Conservative Party MPN — The Conservative Party monetary penalty … | 06/03/2021
Agency Update: The Conservative Party MPN… | 06/03/2021
UK-PRA
Policy statement: PS13/21 | CP16/20 – Credit risk: The approach to overseas Internal Rat… | 06/07/2021
Policy statement: PS13/21 | CP16/20 – Credit risk: The approach to overseas Internal Rat… | 06/07/2021
Consultation paper: CP10/21 – Implementation of Basel standards: Non-performing loan secur… | 06/03/2021
Consultation paper: CP10/21 – Implementation of Basel standards: Non-performing loan secur… | 06/03/2021
Report: Deep, liquid, and transparent (DLT) assessment of the Sterling Overnig… | 06/03/2021
Policy statement: PS12/21 | CP1/21 – Solvency II: Deep, liquid and transparent assessmen… | 06/03/2021
Policy statement: PS12/21 | CP1/21 – Solvency II: Deep, liquid and transparent assessmen… | 06/03/2021
Handbook: 6 Change in Details or Responsibilities Relating to PRA Approved Perso… | 06/02/2021
Handbook: 5 Change in Details Relating to PRA Senior Management Function Holders… | 06/02/2021
Handbook: 5 Change in Details Relating to PRA Senior Management Function Holders… | 06/02/2021
VA
Final Rule: Changes to Administrative Procedures Governing Guidance Documents… | 06/07/2021
Circular: Circular 26-21-7 Change 1 – Loan Repayment Relief for Borrowers Affect… | 06/03/2021
Notice: Solicitation of Nominations for Appointment to the Advisory Committee … | 06/03/2021
Notice: Agency Information Collection Activity: CHAMPVA Benefits-Application, … | 06/03/2021
Notice: VA’s Indian Health Service/Tribal Health Program Reimbursement Agreeme… | 06/03/2021
Notice: Veterans and Community Oversight and Engagement Board, Notice of Meeti… | 06/02/2021
Notice: Solicitation of Nomination for Appointment to the Advisory Committee o… | 06/01/2021
Notice: Agency Information Collection Activity: Trainee Request for Leave (Cha… | 06/01/2021

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