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

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FINRA enforcements increased 21% over the past 30 days

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FTC issued enforcements: $8,726,254.27 over the past 30 days

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165 Final Rules go into effect in the next 30 days

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55 Mortgage Lending docs published in the last 7 days

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5330 docs with 12540 extracted obligations from the last 7 days

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

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11627 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 Nov 23 - 30

 
 
CFPB
 
 
 
 
 
 

Final Rule: Debt Collection Practices (Regulation F)… | 11/30/2020

Press release: Consumer Financial Protection Bureau Launches Refreshed Website with a… | 11/25/2020

Blog: The Bureau=C3=A2=E2=82=AC=E2=84=A2s Enforcement Work… | 11/25/2020

Final Rule: Amendments Relating to Disclosure of Records and Information… | 11/24/2020

Speech: Director Kraninger’s Remarks During the November 2020 Academic Researc… | 11/23/2020

Blog: El CFPB en b=C3=83=C2=BAsqueda de comentarios formales para mejorar las directri… | 11/23/2020

 
 
 
CFTC
 
 
 
 

Final Rule: Swap Clearing Requirement Exemptions… | 11/30/2020

Notice: Global Markets Advisory Committee; Meeting… | 11/27/2020

Notice: Agency Information Collection Activities: Notice of Intent to Renew Co… | 11/27/2020

Notice: Technology Advisory Committee… | 11/27/2020

Notice: Agency Information Collection Activities: Copies of Crop and Market In… | 11/27/2020

Final Rule: Swap Data Recordkeeping and Reporting Requirements… | 11/25/2020

Final Rule: Real-Time Public Reporting Requirements… | 11/25/2020

Final Rule: Certain Swap Data Repository and Data Reporting Requirements… | 11/25/2020

Final Rule: Foreign Futures and Options Transactions… | 11/24/2020

Final Rule: Customer Margin Rules Relating to Security Futures… | 11/24/2020

 
 
 
DOJ
 
 
 
 

Final Rule: Manner of Federal Executions… | 11/27/2020

Final Rule: Delegation of Defense Production Act Authority… | 11/27/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 11/24/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 11/24/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 11/24/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 11/24/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 11/24/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 11/24/2020

 
 
 
EBSA
 
 
 
 

Notice: Advisory Council on Employee Welfare and Pension Benefit Plans’… | 11/25/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Continuation of the National Emergency With Respect to the Situation i… | 11/25/2020

Presidential Document: National Family Week, 2020… | 11/25/2020

 
 
 
FDIC
 
 
 
 

Notice: Proposed Agency Information Collection Activities; Comment Request… | 11/30/2020

Notice: Agency Information Collection Activities: Submission for OMB Review; C… | 11/30/2020

Press Release: FDIC Makes Public October Enforcement Actions… | 11/27/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 11/23/2020

Notice: Designated Reserve Ratio for 2021… | 11/23/2020

 
 
 
FINRA
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): Daniel Hee AWCs (Letters of Acceptance, Waiver, and Consent)… | 11/27/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Joseph D. Olheiser AWCs (Letters of Acceptance, Waiver, and Consent)… | 11/25/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Thomas Barone AWCs (Letters of Acceptance, Waiver, and Consent)… | 11/25/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Wells Fargo Clearing Services, LLC AWCs (Letters of Acceptance, Waiver… | 11/25/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Timothy David O’Brien AWCs (Letters of Acceptance, Waiver, and Consent… | 11/24/2020

AWCs (Letters of Acceptance, Waiver, and Consent): GTS Securities LLC AWCs (Letters of Acceptance, Waiver, and Consent)… | 11/24/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Santander Investment Securities Inc. AWCs (Letters of Acceptance, Waiv… | 11/24/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 11/24/2020

Notices: Information Notice – 11/24/20 FINRA Reminds Firms of Exercise Cut-Off … | 11/24/2020

AWCs (Letters of Acceptance, Waiver, and Consent): VIRTU Americas LLC (f/k/a KCG Americas LLC and Knight Capital Americas… | 11/23/2020

 
 
 
FRS
 
 
 
 
 
 

Notice: Proposed Agency Information Collection Activities; Comment Request… | 11/30/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 11/30/2020

FAQs: Main Street Lending Program Frequently Asked Questions (FAQs) For-Prof… | 11/25/2020

FAQs: Main Street for Nonprofit Organizations Frequently Asked Questions (FA… | 11/25/2020

Press Release: Minutes of the Federal Open Market Committee, November 4-5, 2020… | 11/25/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 11/25/2020

Notice: Proposed Agency Information Collection Activities; Comment Request… | 11/24/2020

Reports to Congress: Periodic Report: Update on Outstanding Lending Facilities Authorized b… | 11/24/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 11/24/2020

Press Release: Federal Reserve Board announces termination of enforcement action with… | 11/24/2020

 
 
 
FTC
 
 
 
 

Event: Cmr. Noah Joshua Phillips will participate as keynote speaker at Tech … | 11/27/2020

Notice: Stryker and Wright Medical; Analysis of Consent Orders To Aid Public C… | 11/25/2020

Notice: Granting of Requests for Early Termination of the Waiting Period Under… | 11/23/2020

 
 
 
Fannie
 
 
 
 

Industry Guidance: Lender Letter LL-2020-14 – Confirmation of Conventional Loan Limits fo… | 11/24/2020

 
 
 
INT-BIS
 
 
 
 

News: Ignazio Visco: Welcome address – “Research Cluster 2″… | 11/24/2020

News: Haruhiko Kuroda: The Bank’s Semiannual Report on Currency and Monetary… | 11/24/2020

News: Olli Rehn: Rethinking the ECB’s strategy in the world of low rates… | 11/24/2020

News: Isabel Schnabel: Shifting tides in euro area money markets – from the … | 11/24/2020

News: Makoto Sakurai: An essay on Japan’s monetary policy experience and les… | 11/24/2020

News: Mardayah Kona Yerukunondu: Implementation of targeted financial sancti… | 11/24/2020

News: Haruhiko Kuroda: Policy measures to date and in the future, in respons… | 11/24/2020

News: Stablecoins: potential, risks and regulation… | 11/24/2020

News: Margarita Delgado: Consumers and the post-COVID mortgage market… | 11/23/2020

News: Guy Debelle: Monetary policy in 2020… | 11/23/2020

 
 
 
INT-EBA
 
 
 
 

News: ESAs propose to adapt the EMIR implementation timelines for intragroup… | 11/23/2020

News: The EBA calls on the European Commission to harmonise the significant … | 11/23/2020

 
 
 
INT-EC
 
 
 
 
 
 

Regulation: R=C3=A8glement d=C3=A9l=C3=A9gu=C3=A9 (UE) 2020/1640 de la Commission du 12 ao=C3=BBt 2020 comp… | 11/27/2020

Regulation: Commission Implementing Regulation (EU) 2020/194 of 12 February 2020 l… | 11/27/2020

Regulation: Regulamento de Execu=C3=A7=C3=A3o (UE) 2020/410 da Comiss=C3=A3o de 12 de mar=C3=A7o de 20… | 11/27/2020

Regulation: Kommissionens delegerede forordning (EU) 2020/1640 af 12. august 2020 … | 11/26/2020

Regulation: Delegierte Verordnung (EU) 2020/1640 der Kommission vom 12. August 202… | 11/26/2020

Regulation: Delegierte Verordnung (EU) 2020/1640 der Kommission vom 12. August 202… | 11/26/2020

Regulation: Regolamento (UE) 2020/1682 della Commissione del 12 novembre 2020 che … | 11/26/2020

Regulation: Durchf=C3=BChrungsverordnung (EU) 2020/1771 der Kommission vom 26. November… | 11/26/2020

Regulation: R=C3=A8glement d’ex=C3=A9cution (UE) 2020/1771 de la Commission du 26 novembre 2… | 11/26/2020

Regulation: Durchf=C3=BChrungsverordnung (EU) 2020/1770 der Kommission vom 26. November… | 11/26/2020

 
 
 
INT-FSB
 
 
 
 

Agency Update: The implications of climate change for financial stability — PDF… | 11/23/2020

News: Cooperation: the foundation of a resilient global financial system… | 11/23/2020

News: FSB examines financial stability implications of climate change… | 11/23/2020

Agency Update: The implications of climate change for financial stability… | 11/23/2020

 
 
 
INT-IOSCO
 
 
 
 

Media Release: IOSCO Annual Meeting addresses the impact of COVID 19 and other critic… | 11/23/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 11/27/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 11/25/2020

 
 
 
OCC
 
 
 
 
 
 

Notice: Proposed Agency Information Collection Activities; Comment Request… | 11/30/2020

Bulletin: OCC 2020-103 Community Reinvestment Act : Notice of Proposed Rulemakin… | 11/25/2020

Proposed Rule: Fair Access to Financial Services… | 11/25/2020

News Release: NR 2020-159 OCC Assesses $250 Million Civil Money Penalty Against JPMo… | 11/24/2020

News Release: NR 2020-160 OCC Proposes Rule Regarding the CRA General Performance St… | 11/24/2020

Bulletin: OCC 2020-102 Mutual to Stock Conversions : New Comptroller=C3=A2=E2=82=AC=E2=84=A2s Licensi… | 11/23/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 11/23/2020

News Release: NR 2020-158 OCC Finalizes Update to Activities and Operations Rule… | 11/23/2020

 
 
 
OFAC
 
 
 
 

Final Rule: Publication of Web General Licenses Issued Pursuant to the Venezuela S… | 11/30/2020

Financial Sanction: Global Magnitsky Designations… | 11/25/2020

 
 
 
SEC
 
 
 
 
 
 

Notice: Statement on Central Counterparties Authorized Under the European Mark… | 11/30/2020

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing o… | 11/30/2020

Notice: Sunshine Act Meetings… | 11/30/2020

Notice: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and I… | 11/30/2020

Notice: Self-Regulatory Organizations; The Depository Trust Company; Order App… | 11/30/2020

Notice: Self-Regulatory Organizations; The Depository Trust Company; Notice of… | 11/30/2020

Notice: Main Street Capital Corporation, et al…. | 11/27/2020

Notice: Public Company Accounting Oversight Board; Notice of Filing of Propose… | 11/27/2020

Notice: Sunshine Act Meetings… | 11/27/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 11/27/2020

 
 
 
TREAS
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 11/30/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 11/27/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 11/25/2020

Press Release: Treasury Sanctions Militia and Its Leader in Connection with Serious H… | 11/25/2020

Notice: Agency Information Collection Activities; Proposed Collection; Comment… | 11/25/2020

Notice: Agency Information Collection Activities; Proposed Collection; Comment… | 11/25/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 11/25/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 11/25/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 11/25/2020

 
 
 
UK-BOE
 
 
 
 
 
 

News: What has central bank independence ever done for us? – speech by Andy … | 11/28/2020

News: Silvana Tenreyro: Reuters Investment Summit (13:45 GMT)… | 11/27/2020

News: Jonathan Haskel: University of Bristol Economics Seminar Series (18:00… | 11/27/2020

Working Paper: Separating retail and investment banking: evidence from the UK… | 11/27/2020

Working Paper: Does regulatory and supervisory independence affect financial stabilit… | 11/27/2020

Working Paper: Informed trading and the dynamics of client-dealer connections in corp… | 11/27/2020

Working Paper: Liquidity management, fire sale and liquidity crises in banking: the r… | 11/27/2020

Working Paper: Liquidity management, fire sale and liquidity crises in banking: the r… | 11/27/2020

Working Paper: Informed trading and the dynamics of client-dealer connections in corp… | 11/27/2020

Working Paper: Does regulatory and supervisory independence affect financial stabilit… | 11/27/2020

 
 
 
UK-FCA
 
 
 
 

Html Publication: HMT Privacy Notice… | 11/24/2020

Guidance: HMT Privacy Notice for the investigation into the FCA’s regulation of … | 11/24/2020

 
 
 
UK-LSB
 
 
 
 

News: Why banks must be the future of funding and more for SMEs… | 11/24/2020

News: Why banks must be the future of funding and more for SMEs — www.lendi… | 11/24/2020

 
 
 
VA
 
 
 
 

Final Rule: Schedule for Rating Disabilities: Musculoskeletal System and Muscle In… | 11/30/2020

Final Rule: Administrative Procedures: Guidance Documents; Correction… | 11/27/2020

Final Rule: Servicemembers’ Group Life Insurance-Family Servicemembers’ Group Life… | 11/27/2020

Notice: Agency Information Collection Activity Under OMB Review: Expanded Acce… | 11/25/2020

 

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