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


FINRA enforcements decreased 14% over the past 30 days


SEC issued enforcements: $225,742,880.78 over the past 30 days


117 Final Rules go into effect in the next 30 days


91 Mortgage Lending docs published in the last 7 days


1836 docs with 3519 extracted obligations from the last 7 days


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


4940 new docs in pro.compliance.ai within the last 7 days


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Enforcement | Published 11/28/2017
Pursuant to FlNRA Rule 9216 of FINRA’s Code of Procedure. I submit this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described below. This A WC is submitted on the condition…. Read More


Enforcement | Published 12/04/2017
Federal Trade Commission, Plaintiff, v. Higher Goals Marketing LLC, a Florida limited liability company, Sunshine Freedom Services LLC, a Florida limited liability company, Brandun L. Anderson, individually and as an officer of Higher Goals Marketing…. Read More


Proposed Rule | Published 12/04/2017 | Comments Close 01/03/2018
In the Notice section of today’s Federal Register, the Federal Bureau of Investigation (FBI), a component of the Department of Justice (Department or DOJ), has published a notice of a new Privacy Act system of records, “FBI Online Collaboration Syst…. Read More


Notice | Published 12/01/2017 | Comments Close 01/02/2018
The Department of Labor (DOL) is submitting the Bureau of Labor Statistics (BLS) sponsored information collection request (ICR) revision titled, “Annual Refiling Survey,” to the Office of Management and Budget (OMB) for review and approval for use …. Read More


News | Published 11/28/2017
The November 2017 Appraiser Quality Monitoring (AQM) list has been posted on the Appraiser Quality Monitoring page….. Read More


Enforcement | Published 11/30/2017
On December 17, 2012, the Securities and Exchange Commission (the “Commission”) issued an Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 203(k) of the Investment Advisers Act of 1940, M…. Read More


Notice | Published 11/28/2017 | Comments Close 12/28/2017
In compliance with the Paperwork Reduction Act (PRA) of 1995, this notice announces that the Loan Guaranty Service, Department of Veterans Affairs, will submit the collection of information abstracted below to the Office of Management and Budget (OMB…. Read More


Agency Update | Published 11/28/2017
Filing by New York Stock Exchange LLC Pursuant to Rule 19b-4 under the Securities Exchange Act of 1934….Read More


Enforcement | Published 11/28/2017
In recognition of the common goals of the Board of Governors of the Federal Reserve System (“Board of Governors”) and Peoples Bank, Lawrence, Kansas, (“Peoples”), a state-chartered member of the Federal Reserve System, to ensure compliance by Peoples…. Read More


News | Published 12/04/2017
WASHINGTON — The United States Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) launched the FinCEN Exchange program today to enhance information sharing with financial institutions. As part of this program, FinCEN, in close…. Read More


Final Rule | Published 12/05/2017 | Effective 12/05/2017
This document amends the U.S. Customs and Border Protection (CBP) regulations to reflect the imposition of emergency import restrictions on certain archaeological and ethnological materials from Libya. The Acting Under Secretary for Public Diplomacy …. Read More


Notice | Published 11/30/2017
The U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC) is publishing the names of one or more persons that have been placed on OFAC’s Specially Designated National and Blocked Persons List based on OFAC’s determination that one…. Read More


Presidential Document | Published 12/05/2017
[Federal Register Volume 82, Number 232 (Tuesday, December 5, 2017)][Presidential Documents][Pages 57535-57536]From the Federal Register Online via the Government Publishing Office [www.gpo.gov][FR Doc No: 2017-26358]…. Read More


News | Published 12/04/2017
The holiday season provides plenty of opportunities to talk with kids about money, like when you go shopping or when your children receive gifts. No matter what age, kids learn from watching their parents and absorb what they see and hear around them…. Read More


Enforcement | Published 12/04/2017
This Consent Order (Order) relating to settlement and resolution of examination and compliance issues pending before the Commissioner of Business Oversight (Commissioner) is entered between the Commissioner and Nationstar Mortgage, LLC doing business…. Read More


News | Published 11/30/2017
Comments or inquiries relating to an upcoming CRA examination or to a pending bank application subject to CRA should be submitted to the Regional Office where the bank or state savings association is headquartered….. Read More


Final Rule | Published 11/29/2017 | Effective 01/01/2018
The OCC is adopting a final rule that adds a new part to its rules to enhance the resilience and the safety and soundness of federally chartered and licensed financial institutions by addressing concerns relating to the exercise of default rights of …. Read More