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

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FTC enforcements increased 4% over the past 30 days

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SEC issued enforcements: $45,971,340.93 over the past 30 days

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62 Final Rules go into effect in the next 30 days

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16 Mortgage Lending docs published in the last 7 days

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427 docs with 4647 extracted obligations from the last 7 days

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

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1556 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 Oct 12 - 19

 
 
CFTC
 
 
 
 

Notice: Sunshine Act Meetings… | 10/14/2020

Notice: Public Availability of Fiscal Year 2018 Service Contract Inventory… | 10/14/2020

 
 
 
DOJ
 
 
 
 

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 10/15/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 10/15/2020

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 10/16/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 10/16/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 10/16/2020

Notice: Vacancy Posting: Member of the Administrative Review Board… | 10/15/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 10/15/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 10/15/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 10/15/2020

 
 
 
EBSA
 
 
 
 

Notice: 203rd Meeting of the Advisory Council on Employee Welfare and Pension … | 10/15/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Blind Americans Equality Day, 2020… | 10/19/2020

Presidential Document: Modernizing America’s Water Resource Management and Water Infrastructu… | 10/16/2020

Presidential Document: Establishing the One Trillion Trees Interagency Council… | 10/16/2020

Presidential Document: General Pulaski Memorial Day, 2020… | 10/16/2020

Presidential Document: Columbus Day, 2020… | 10/16/2020

Presidential Document: National School Lunch Week, 2020… | 10/16/2020

Presidential Document: To Further Facilitate Positive Adjustment to Competition From Imports … | 10/16/2020

Presidential Document: Delegation of Authority Under 15 U.S.C. 634c(b)(3)(B)… | 10/15/2020

Presidential Document: Leif Erikson Day, 2020… | 10/14/2020

Presidential Document: Birthday of Founding Father Caesar Rodney… | 10/14/2020

 
 
 
FDIC
 
 
 
 
 
 

Final Rule: Real Estate Appraisals… | 10/16/2020

Press Release: FDIC Publishes Resource Guide to Promote Investment Partnerships With … | 10/16/2020

Notice: Sunshine Act Meeting… | 10/16/2020

Press Release: FDIC Advisory Committee to Discuss Results of 2019 Survey of Household… | 10/16/2020

Press Release: United Fidelity Bank, fsb, Evansville, Indiana, Assumes All of the Dep… | 10/16/2020

Press Release: FDIC Selects 14 Companies in Tech Sprint to Modernize Bank Financial R… | 10/15/2020

Proposed Rule: Removal of Transferred OTS Regulations Regarding Application Processin… | 10/15/2020

Notice: FDIC Advisory Committee on Community Banking; Notice of Meeting… | 10/14/2020

Financial Institution Letter: FIL-97-2020 – Consolidated Reports of Condition and Income for Third Q… | 10/14/2020

 
 
 
FINRA
 
 
 
 

Notices: Regulatory Notice 20-36 FINRA Requests Comment on a Concept Proposal R… | 10/15/2020

Notices: Information Notice – 10/15/20 Cybersecurity Background: Authentication… | 10/15/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 10/14/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 10/14/2020

 
 
 
FRS
 
 
 
 
 
 

Proposed Rule: Community Reinvestment Act… | 10/19/2020

Final Rule: Real Estate Appraisals… | 10/16/2020

Press Release: Federal Reserve Board issues enforcement action with M&T Bank… | 10/15/2020

Proposed Rule: Rules Regarding Availability of Information… | 10/15/2020

Press Release: Federal Reserve Board issues enforcement action with M&T Bank… | 10/15/2020

Notice: Notice of Proposals To Engage in or To Acquire Companies Engaged in Pe… | 10/14/2020

Notice: Proposed Agency Information Collection Activities; Comment Request… | 10/14/2020

Civil Money Penalty: M&T Bank, Buffalo, NY… | 10/14/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 10/14/2020

Press Release: Federal Register notice: Rules Regarding Availability of Information (… | 10/14/2020

 
 
 
FTC
 
 
 
 
 
 

Complaint: Complaint for Permanent Injunction and Other Equitable Relief [Seal Li… | 10/16/2020

Enforcement Order: Ex Parte Temporary Restraining Order With Asset Freeze and Other Equit… | 10/16/2020

News: FTC Halts Scheme that Falsely Claimed to Offer Unlimited Inmate Callin… | 10/16/2020

Notice: Granting of Requests for Early Termination of the Waiting Period Under… | 10/16/2020

Motion: Memorandum of Points and Authorities in Support of Plaintiff’s Ex Part… | 10/16/2020

Notice: Granting of Requests for Early Termination of the Waiting Period Under… | 10/16/2020

Complaint: Commission’s Order Dismissing Complaint (29.57 KB) Peabody Energy/Arch… | 10/16/2020

Notice: Granting of Requests for Early Termination of the Waiting Period Under… | 10/16/2020

Complaint: Joint Motion to Dismiss Complaint (1.65 MB) Peabody Energy/Arch Coal, … | 10/15/2020

Enforcement Order: Ex Parte Temporary Restraining Order with Asset Freeze, Immediate Acce… | 10/15/2020

 
 
 
Freddie
 
 
 
 

Bulletin: Bulletin 2020-39 Servicing… | 10/14/2020

 
 
 
INT-IOSCO
 
 
 
 

Media Release: World Investor Week spurs investor protection and education during COV… | 10/13/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 10/19/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 10/15/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 10/14/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 10/14/2020

 
 
 
OCC
 
 
 
 

Final Rule: Real Estate Appraisals… | 10/16/2020

 
 
 
OFAC
 
 
 
 

Notice: Notice of OFAC Sanctions Actions… | 10/14/2020

Notice: Notice of OFAC Sanctions Actions… | 10/14/2020

 
 
 
SEC
 
 
 
 

Notice: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and I… | 10/19/2020

Notice: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of … | 10/19/2020

Notice: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediat… | 10/19/2020

Notice: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and… | 10/19/2020

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing a… | 10/19/2020

Notice: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing a… | 10/19/2020

Notice: Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filin… | 10/19/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 10/19/2020

Notice: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of … | 10/19/2020

Notice: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing an… | 10/19/2020

 
 
 
TREAS
 
 
 
 
 
 

Final Rule: Business Loan Program Temporary Changes; Paycheck Protection Program-A… | 10/19/2020

Press Release: Mnuchin And Vought Release Joint Statement On Budget Results For Fisca… | 10/16/2020

Press Release: Secretary Steven T. Mnuchin To Lead U.S. Delegation to Israel, Bahrain… | 10/16/2020

Notice: Departmental Offices; Debt Management Advisory Committee Meeting… | 10/16/2020

Notice: Senior Executive Service; Performance Review Boards… | 10/15/2020

Notice: Agency Information Collection Activities; Continuing Collections; Comm… | 10/14/2020

Statements: Joint IMFC and Development Committee Statement by Secretary Steven T. … | 10/14/2020

Readout: Readout from a Treasury Spokesperson on Secretary Mnuchin’s Video Conf… | 10/13/2020

Notice: List of Countries Requiring Cooperation With an International Boycott… | 10/13/2020

Statement: G7 Finance Ministers and Central Bank Governors’ Statement on Digital … | 10/13/2020

 
 
 
UK-FCA
 
 
 
 

News: Safe Assurance (Clone of EEA Authorised firm)… | 10/19/2020

News: Hillwood (Clone of EEA Authorised firm)… | 10/19/2020

News: Remington Securities LLC… | 10/19/2020

News: Quilter Cheviot Investment Management / Quilter plc / Quilter Private … | 10/16/2020

News: Information for customers of AFX Markets Limited… | 10/16/2020

News: UK Bonds Institution… | 10/16/2020

News: Chris Woolard discusses emergency regulation and learning from the cor… | 10/16/2020

News: FCA proposes additional measures to help insurance customers in financ… | 10/16/2020

News: UK Bonds Directory… | 10/16/2020

News: Clara Currency Analyst / Clara Forex Analyst… | 10/15/2020

 
 
 
VA
 
 
 
 

Notice: Corporate Senior Executive Management Office; Notice of Performance Re… | 10/19/2020

Notice: Advisory Committee on Cemeteries and Memorials, Notice of Meeting, Ame… | 10/16/2020

Notice: Agency Information Collection Activity: Request for Restoration of Edu… | 10/16/2020

Notice: Notice of Rescission of Record of Decision (ROD)… | 10/13/2020

 

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