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

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FINRA enforcements decreased 15% over the past 30 days

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SEC issued enforcements: $69,991,450.57 over the past 30 days

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78 Final Rules go into effect in the next 30 days

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36 Mortgage Lending docs published in the last 7 days

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173 docs with 2254 extracted obligations from the last 7 days

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

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2302 new docs in pro.compliance.ai within the last 7 days

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Introducing new content from WesPay

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FRS

Final Rule | Published 10/02/2018 | Effective 10/02/2018
The Board of Governors of the Federal Reserve System (“Board”) has adopted final amendments to its Regulation A to reflect the Board’s approval of an increase in the rate for primary credit at each Federal Reserve Bank. The secondary credit rate at… Read More
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Agency Update | Published 10/05/2018
To: Subject: Regulatory Bulletin NYSE Arca RB-18-169 NYSE RB-18-103 NYSE American RB-18-146 NYSE National RB-18-95 October 5, 2018 NYSE ARCA, INC. (“NYSE ARCA”) ETP HOLDERS NEW YORK STOCK EXCHANGE LLC (“NYSE”) MEMBERS AND MEMBER… Read More
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OCC

Proposed Rule | Published 10/04/2018
This document corrects the SUPPLEMENTARY INFORMATION section to a proposed rule published in the Federal Register on September 19, 2018, regarding OCC’s enforceable guidelines relating to recovery planning standards for insured national banks, insure… Read More
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FTC

Enforcement | Published 10/02/2018
The FTC is mailing checks totaling $89,736 to 246 small businesses who paid DOTAuthority.com Inc., and related companies, service fees for commercial vehicle registrations. According to the FTC, DOTAuthority sent thousands of small businesses mislead… Read More
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News | Published 10/05/2018
Press Releases FDIC to Hold 8th Annual Consumer Research Symposium in Arlington, Virginia FOR IMMEDIATE RELEASEOctober 5, 2018 Media contact:Julianne Fisher Breitbeil(202) 898-6895 jbreitbeil@fdic.gov The Federal Deposit Insurance Corporatio… Read More
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News | Published 10/04/2018
RALEIGH, NC – The U.S. District Court for the Eastern District of North Carolina has signed a consent judgment approving a settlement between the U.S. Department of Labor and Reliance Trust Co. Inc. involving the Tobacco Rag Processors Inc. Employee… Read More
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FHA

News | Published 10/02/2018
We are pleased to present FHA’s Quarterly Loan Review Summary . This report provides a quarter-by-quarter snapshot of FHA’s Loan Review System (LRS) review outcomes. It includes loans selected for all reasons other than lender self-reports and FHA’s… Read More
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SEC

Final Rule | Published 10/04/2018 | Effective 11/05/2018
We are adopting amendments to certain of our disclosure requirements that have become redundant, duplicative, overlapping, outdated, or superseded, in light of other Commission disclosure requirements, U.S. Generally Accepted Accounting Principles… Read More
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Notice | Published 10/05/2018
The 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 Nationals and Blocked Persons List based on OFAC’s determination that one or… Read More
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VA

Final Rule | Published 10/01/2018 | Effective 10/31/2018
The Department of Veterans Affairs (VA) is amending and updating its VA Acquisition Regulation (VAAR) in phased increments to revise or remove any policy superseded by changes in the Federal Acquisition Regulation (FAR), to remove procedural guidance… Read More
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DOJ

Notice | Published 10/04/2018
On September 28, 2018, the Department of Justice and the State of California’s Department of Toxic Substances Control (“DTSC”) filed a complaint and lodged a proposed Consent Decree with the United States District Court for the Eastern District of… Read More
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EOP

Presidential Document | Published 10/04/2018
During National Disability Employment Awareness Month, we recognize the achievements of Americans with disabilities whose contributions in the workforce help ensure the strength of our Nation. We also renew our commitment to creating an environment… Read More
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News | Published 10/05/2018
Tuesday, October 9 Wednesday, October 10 6:00 PM ET General Counsel Brent McIntosh The Future Of Financial Regulation: What Should We Be Looking For In 2018 And Beyond?… Read More
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News | Published 10/04/2018
WASHINGTON, D.C. — The Bureau of Consumer Financial Protection (Bureau) and Bluestem Brands, Inc.; Bluestem Enterprises, Inc.; and Bluestem Sales, Inc. (the Bluestem companies), have filed an administrative consent order resolving the Bureau’s allega… Read More
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News | Published 10/05/2018
This Exhibit provides the new Fannie Mae Modification Interest Rate required for all Fannie Mae conventional mortgage loan modifications… Read More
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DOL

Notice | Published 10/05/2018
This notice is a request for information and/or comment on three reports issued by the Bureau of International Labor Affairs (ILAB) regarding child labor and forced labor in certain foreign countries. Relevant information submitted by the public will… Read More
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Enforcement | Published 10/05/2018
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050912401 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: UBS Financial Services Inc., Respondent Broker-Dealer CRD No. 8174… Read More
View all FINRA updates
Notice | Published 10/02/2018
The Commodity Futures Trading Commission (CFTC or Commission) is requesting nominations for membership on the Interest Rate Benchmark Reform Subcommittee (Subcommittee) under the Market Risk Advisory Committee (MRAC). The MRAC is a discretionary advi… Read More
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