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

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SEC enforcements decreased 119% over the past 30 days

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SEC issued enforcements: $59,971,440.07 over the past 30 days

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59 Final Rules go into effect in the next 30 days

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28 Mortgage Lending docs published in the last 7 days

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210 docs with 2467 extracted obligations from the last 7 days

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

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1926 new docs in pro.compliance.ai within the last 7 days

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Introducing new content from WesPay

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Agency Report Nov 09 - 16

 
 
CA-BOC
 
 
 
 

Agency Update: Helping the economy after the COVID=E2=80=9119 pandemic… | 11/12/2020

Agency Update: Exploring life after COVID-19: the far side of the moon… | 11/12/2020

 
 
 
CA-OPC
 
 
 
 

News: News release: Commissioner issues proposals on regulating artificial i… | 11/12/2020

 
 
 
CFPB
 
 
 
 
 
 

Notice: Agency Information Collection Activities: Comment Request… | 11/12/2020

Injunction Order: Afni, Inc. Stipulation… | 11/12/2020

Consent Order: Afni, Inc. Consent order… | 11/12/2020

Report: Quarterly Consumer Credit Trends: Payment Amount Furnishing & Consumer… | 11/12/2020

Blog: New report explores the prevalence of actual payment information in co… | 11/12/2020

Press release: Consumer Financial Protection Bureau Announces Settlement with Debt Co… | 11/12/2020

Blog: How to help homeowners protect their homes… | 11/10/2020

Report: Debt and delinquency after military service: A study of the credit rec… | 11/09/2020

Blog: Honoring and empowering those who served our nation… | 11/09/2020

 
 
 
CFTC
 
 
 
 

Agency Update: 20-35… | 11/13/2020

Agency Update: 20-36… | 11/13/2020

Final Rule: Compliance Requirements for Commodity Pool Operators on Form CPO-PQR… | 11/10/2020

Final Rule: Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swa… | 11/09/2020

 
 
 
DOJ
 
 
 
 

Agency Update: Justice Department=E2=80=99s Procurement Collusion Strike Force Caps Off Succe… | 11/12/2020

Agency Update: OIP Hosts Artificial Intelligence Event Featuring CFO Council Technolo… | 11/10/2020

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 11/13/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 11/13/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 11/12/2020

Notice: Vacancy Posting; Member of the Administrative Review Board; Correction… | 11/12/2020

Notice: Agency Information Collection Activities; Comment Request; Nondiscrimi… | 11/12/2020

 
 
 
EBSA
 
 
 
 

Final Rule: Registration Requirements for Pooled Plan Providers… | 11/16/2020

Final Rule: Financial Factors in Selecting Plan Investments… | 11/13/2020

News: a final rule establishing registration requirements for pooled plan pr… | 11/12/2020

Final Rule: Transparency in Coverage… | 11/12/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Veterans Day, 2020… | 11/16/2020

Presidential Document: Continuation of the National Emergency With Respect to Iran… | 11/13/2020

Presidential Document: Continuation of the National Emergency With Respect to Burundi… | 11/13/2020

Presidential Document: Continuation of the National Emergency With Respect to the Proliferati… | 11/13/2020

Presidential Document: Delegation of Authority for Fiscal Year 2021 Cost Estimates and Annual… | 11/13/2020

Presidential Document: National Apprenticeship Week, 2020… | 11/12/2020

Presidential Document: World Freedom Day, 2020… | 11/12/2020

 
 
 
FDIC
 
 
 
 

Final Rule: Branch Application Procedures… | 11/13/2020

Speech: Statement of Jelena McWilliams Chairman Federal Deposit Insurance Corp… | 11/12/2020

Speech: Statement of FDIC Chairman Jelena McWilliams on the Oversight of Finan… | 11/10/2020

Final Rule: Assessments; Corrections… | 11/09/2020

 
 
 
FINCEN
 
 
 
 

Notice: Agency Information Collection Activities; Proposed Renewal; Comment Re… | 11/16/2020

News: FinCEN Holds Virtual FinCEN Exchange on Ransomware… | 11/12/2020

 
 
 
FINRA
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): Philip Anthony Simone AWCs (Letters of Acceptance, Waiver, and Consent… | 11/13/2020

AWCs (Letters of Acceptance, Waiver, and Consent): David Patrick Beston AWCs (Letters of Acceptance, Waiver, and Consent)… | 11/12/2020

AWCs (Letters of Acceptance, Waiver, and Consent): John A. Westbrook AWCs (Letters of Acceptance, Waiver, and Consent)… | 11/10/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Michael Alan Biedny AWCs (Letters of Acceptance, Waiver, and Consent)… | 11/10/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Citigroup Global Markets Inc. AWCs (Letters of Acceptance, Waiver, and… | 11/10/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Lawrence Goldstein AWCs (Letters of Acceptance, Waiver, and Consent)… | 11/10/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 11/10/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 11/10/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Coastal Equities, Inc. AWCs (Letters of Acceptance, Waiver, and Consen… | 11/09/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 11/09/2020

 
 
 
FRS
 
 
 
 
 
 

Notice: Federal Reserve Bank Services: Notification of the 2021 Private Sector… | 11/16/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 11/12/2020

Proposed Rule: Amendments to Capital Planning and Stress Testing Requirements for Lar… | 11/10/2020

Press Release: Federal Reserve Board issues enforcement action with Farmers Bank & Tr… | 11/10/2020

Speech: Modernizing and Strengthening CRA Regulations: A Conversation with the… | 11/10/2020

News: Supervision and Regulation Report – Vice Chair for Supervision Randal … | 11/10/2020

Press Release: Federal Reserve Board approves fee schedule for Federal Reserve Bank p… | 11/10/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 11/10/2020

Press Release: Federal Register notice: Federal Reserve Bank Services: Notification o… | 11/10/2020

 
 
 
FTC
 
 
 
 
 
 
 
 

Event: Cmr. Christine Wilson will give a lecture on competition at King’s Col… | 11/13/2020

News: Cmr. Christine Wilson will give a lecture on competition at King=E2=80=99s Col… | 11/13/2020

Notice: Zoom Video Communications, Inc.; Analysis To Aid Public Comment… | 11/13/2020

Complaint: Administrative Part 3 Complaint [Provisionally Redacted Public Version… | 11/13/2020

News: FTC Sues to Block Proposed Acquisition of Two Memphis-area Hospitals… | 11/13/2020

News: FTC Sues to Block Proposed Acquisition of Two Memphis-Area Hospitals… | 11/13/2020

News: FTC Sends Letters Warning 20 More Marketers to Stop Making Unsupported… | 11/12/2020

Notice: Agency Information Collection Activities; Proposed Collection; Comment… | 11/12/2020

Speech: Prepared Remarks of Chairman Simons at the ABA Section of Antitrust La… | 11/12/2020

Notice: Pfizer Inc. and Mylan N.V.; Analysis of Agreement Containing Consent O… | 11/12/2020

 
 
 
INT-EBA
 
 
 
 

News: EBA publishes the methodology for the 2021 EU-wide stress test… | 11/13/2020

News: Jos=C3=A9 Manuel Campa opens the 2020 EBA Policy Research Workshop… | 11/12/2020

News: EBA announces timing for publication of 2020 EU-wide transparency exer… | 11/11/2020

News: Jose Manuel Campa delivers keynote speech at the XVII international pr… | 11/10/2020

 
 
 
INT-FATF
 
 
 
 

Publication: Opening Remarks by FATF Executive Secretary at V20 Summit… | 11/16/2020

 
 
 
INT-FSB
 
 
 
 

Agency Update: Guidance on financial resources to support CCP resolution and on the t… | 11/16/2020

Agency Update: Guidance on Financial Resources to Support CCP Resolution and on the T… | 11/16/2020

Agency Update: Guidance on Financial Resources to Support CCP Resolution and on the T… | 11/16/2020

Agency Update: Guidance on financial resources to support CCP resolution and on the t… | 11/16/2020

Agency Update: Implementation and Effects of the G20 Financial Regulatory Reforms: 20… | 11/13/2020

News: FSB publishes annual report on implementation and effects of financial… | 11/13/2020

Agency Update: Implementation and Effects of the G20 Financial Regulatory Reforms: 20… | 11/13/2020

News: FSB virtual workshop on BigTech firms in Emerging Market and Developin… | 11/12/2020

News: FSB virtual workshop on the use of supervisory and regulatory technolo… | 11/12/2020

News: FSB publishes 2020 G-SIB list… | 11/11/2020

 
 
 
INT-IOSCO
 
 
 
 

Media Release: Statement of the IFRS Foundation Monitoring Board on the appointment o… | 11/12/2020

 
 
 
NCUA
 
 
 
 

Final Rule: Corporate Credit Unions… | 11/12/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 11/16/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 11/13/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 11/12/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 11/09/2020

 
 
 
OCC
 
 
 
 

Congressional Testimony: Acting Comptroller of the Currency Testifies on Condition of the Feder… | 11/12/2020

News Release: NR 2020-149 Acting Comptroller of the Currency Testifies on Condition … | 11/12/2020

Congressional Testimony: Acting Comptroller of the Currency Discusses Condition of the Federal … | 11/10/2020

News Release: NR 2020-148 Acting Comptroller of the Currency Discusses Condition of … | 11/10/2020

Bulletin: OCC 2020-99 Community Reinvestment Act : Key Provisions of the June 20… | 11/09/2020

News Release: NR 2020-147 OCC Reports Key Risks, Effects of COVID-19 in Federal Bank… | 11/09/2020

 
 
 
OFAC
 
 
 
 

Notice: Notice of OFAC Sanctions Actions… | 11/16/2020

Notice: Notice of OFAC Sanctions Actions… | 11/13/2020

Financial Sanction: Issuance of Executive Order on Addressing the Threat from Securities I… | 11/13/2020

Financial Sanction: Non-Proliferation Designations; Iran-related Designations… | 11/10/2020

Press Release: Non-Proliferation Designations; Iran-related Designations — Treasury … | 11/10/2020

Financial Sanction: Syria Designations; Syria-related Designations; Hong Kong-related Desi… | 11/09/2020

Press Release: Syria Designations; Syria-related Designations; Hong Kong-related Desi… | 11/09/2020

 
 
 
SEC
 
 
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing of Pr… | 11/16/2020

Notice: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing of Pr… | 11/16/2020

Press Release: SEC Chairman Jay Clayton Confirms Plans to Conclude Tenure at Year End… | 11/16/2020

Notice: Self-Regulatory Organizations; National Securities Clearing Corporatio… | 11/16/2020

Notice: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Fili… | 11/16/2020

Notice: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Fili… | 11/16/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 11/16/2020

Notice: Notice of Substituted Compliance Application Submitted by the Bundesan… | 11/13/2020

Notice: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Fil… | 11/13/2020

Press Release: SEC Charges Investment Advisory Firms and Broker-Dealers in Connection… | 11/13/2020

 
 
 
TREAS
 
 
 
 

Notice: Open Meeting of the Federal Advisory Committee on Insurance… | 11/16/2020

Proposed Rule: Terrorism Risk Insurance Program; Updated Regulations in Light of the … | 11/10/2020

 
 
 
UK-BOE
 
 
 
 
 
 
 
 

Quarterly Bulletin: The Resolvability Assessment Framework: increasing transparency and ac… | 11/16/2020

Quarterly Bulletin: The Resolvability Assessment Framework: increasing transparency and ac… | 11/16/2020

News: Andrew Bailey: Fireside chat with Congressman Langevin at the Carnegie… | 11/13/2020

News: Silvana Tenreyro: Bank of England Agenda for Research: Monetary Toolki… | 11/13/2020

News: James Talbot: Launch of IMF Staff Discussion Note: The role of state … | 11/13/2020

News: The Bank of England is restarting the Climate Biennial Exploratory Sce… | 11/13/2020

Agency Update: (When) do banks react to anticipated capital reliefs?… | 11/13/2020

Working Paper: (When) do banks react to anticipated capital reliefs?… | 11/13/2020

Agency Update: The Bank of England is restarting the Climate Biennial Exploratory Sce… | 11/13/2020

News: Strong and simple – speech by Sam Woods… | 11/12/2020

 
 
 
UK-CMA
 
 
 
 
 
 

CMA Case: Evolution / NetEnt merger inquiry… | 11/16/2020

CMA Case: viagogo / StubHub merger inquiry… | 11/13/2020

CMA Case: Crowdcube / Seedrs merger inquiry… | 11/13/2020

CMA Case: JD Sports Fashion plc / Footasylum plc merger inquiry… | 11/13/2020

CMA Case: Facebook, Inc / Giphy, Inc merger inquiry… | 11/13/2020

News Story: CMA considers next steps in JD Sports/Footasylum merger… | 11/13/2020

News Story: CMA welcomes Tribunal judgment in Facebook and Giphy case… | 11/13/2020

Press Release: Crowdcube/Seedrs deal fast tracked to in-depth CMA investigation… | 11/12/2020

CMA Case: Funerals… | 11/12/2020

CMA Case: Stryker / Wright Medical merger inquiry… | 11/11/2020

 
 
 
UK-FCA
 
 
 
 

News: Investment finder… | 11/16/2020

News: Mycoinology… | 11/16/2020

News: The Cube Fund EU… | 11/16/2020

News: Compareinvestments.co… | 11/16/2020

News: The Cube Fund EU… | 11/16/2020

News: Mycoinology… | 11/16/2020

News: Joint statement on the implementation of prudential reforms in the Fin… | 11/16/2020

News: Joint statement on the implementation of prudential reforms in the Fin… | 11/16/2020

News: Investment finder… | 11/16/2020

News: Compareinvestments.co… | 11/16/2020

 
 
 
UK-HMT
 
 
 
 
 
 
 
 

Html Publication: Treasury Direction made under Sections 71 and 76 of the Coronavirus Ac… | 11/13/2020

Correspondence: Treasury Direction made under Sections 71 and 76 of the Coronavirus Ac… | 11/13/2020

Guidance: Financial sanctions, Venezuela… | 11/13/2020

Policy Paper: National Infrastructure Commission Annual Report and Accounts 2019-20… | 11/12/2020

Html Publication: Treasury Direction made under Sections 71 and 76 of the Coronavirus Ac… | 11/12/2020

Guidance: Draft Finance Bill 2021 legislation: impacting definitions and declara… | 11/12/2020

Html Publication: Treasury Direction made under Sections 71 and 76 of the Coronavirus Ac… | 11/12/2020

Html Publication: Further Treasury Direction made on 22 May 2020 under Sections 71 and 7… | 11/12/2020

News Story: Government extends =C2=A31 million tax break to stimulate investment in UK … | 11/12/2020

Consultation Outcome: Preventing abuse of the R&D tax relief for SMEs: second consultation… | 11/12/2020

 
 
 
UK-ICO
 
 
 
 
 
 

News: Updated ICO statement on recommendations published by the European Dat… | 11/13/2020

News: ICO fines Ticketmaster UK Limited =C2=A31.25million for failing to protect … | 11/13/2020

Agency Update: Ticketmaster UK Limited… | 11/13/2020

Monetary penalties: Ticketmaster UK Limited — Ticketmaster UK Limited monetary penalty no… | 11/13/2020

News: Blog: Access to information: driving change through education, engagem… | 11/12/2020

News: Open Data Institute=E2=80=99s 2020 virtual summit… | 11/12/2020

News: UK political parties must improve data protection practices… | 11/11/2020

Decision Notice: Hackney London Borough Council… | 11/09/2020

Decision Notice: Chief Constable of Northamptonshire Police… | 11/09/2020

Decision Notice: Kent Police… | 11/09/2020

 
 
 
UK-JMLSG
 
 
 
 

Agency Update: The Money Laundering and Terrorist Financing (Amendment) (EU Exit) Reg… | 11/11/2020

 
 
 
UK-LSB
 
 
 
 

News: Let’s talk about keeping your money safe – Talk Money Week… | 11/11/2020

News: Let’s talk about keeping your money safe – Talk Money Week — moneyand… | 11/11/2020

News: Let’s talk about keeping your money safe – Talk Money Week — www.lend… | 11/11/2020

News: Let’s talk about keeping your money safe – Talk Money Week — maps.org… | 11/11/2020

 
 
 
UK-PRA
 
 
 
 

Statement: Joint statement on the implementation of prudential reforms in the Fin… | 11/16/2020

Letter: Letter from Sarah Breeden ‘Remediation of prudential treatment of lega… | 11/16/2020

Letter: Letter from Sarah Breeden ‘Remediation of prudential treatment of lega… | 11/16/2020

Report: Response to the general insurance industry – A framework for assessing… | 11/16/2020

Letter: Letter to general insurance firms ‘Insights from PRA review work on re… | 11/13/2020

Statement: Statement on the application of the temporary transitional power to CR… | 11/13/2020

Letter: Letter to general insurance firms ‘Insights from PRA review work on re… | 11/13/2020

 
 
 
VA
 
 
 
 

Notice: Advisory Committee on Minority Veterans, Notice of Meeting… | 11/16/2020

Notice: Agency Information Collection Activity: Request for Change of Program … | 11/16/2020

Final Rule: Administrative Procedures: Guidance Documents… | 11/13/2020

Notice: Agency Information Collection Activity Under OMB Review: Accelerated P… | 11/13/2020

Proposed Rule: Consent for Release of VA Medical Records… | 11/13/2020

Final Rule: Authority of VA Professionals To Practice Health Care… | 11/12/2020

Notice: VA National Academic Affiliations Council, Notice of Meeting… | 11/10/2020

Notice: Veterans’ Advisory Committee on Education, Notice of Meeting… | 11/10/2020

 

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