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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Notice | Published 10/22/2018
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 Nationals and Blocked Persons List based on OFAC’s determination that on… Read More
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Final Rule | Published 10/19/2018 | Effective 10/19/2018
We are adopting interim final temporary rules for issuers subject to reporting obligations pursuant to Regulation Crowdfunding and Regulation A in order to address the needs of companies directly or indirectly affected by Hurricane Michael. The tempo… Read More
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Enforcement | Published 10/18/2018
Federal Trade Commission, Plaintiff, v. Regenerative Medical Group, Inc., a corporation; Telehealth Medical Group, INC., a corporation; and Bryn Jarald Henderson, D.O., individually and as an officer of Regenerative Medical Group, Inc. and Telehealth… Read More
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Final Rule | Published 10/18/2018 | Effective 11/17/2018
The Department of the Treasury (Treasury) is issuing a final… Read More
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News | Published 10/16/2018
The value of fraudulent noncash payments in the United States rose significantly between 2012 and 2015–outpacing growth in noncash payments overall, according to a new report based on Federal Reserve Payments Study data… Read More
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Proposed Rule | Published 10/18/2018 | Comments Close 12/17/2018
The Commodity Futures Trading Commission (CFTC or Commission)… Read More
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News | Published 10/17/2018
October 17, 2018 – Read Guide Bulletin 2018-18 for updates to our selling requirements for Loan Collateral Advisor, condominium projects and condominium project reviews and more… Read More
View all Freddie updates


Final Rule | Published 10/22/2018 | Effective 10/22/2018
The Department of Veterans Affairs (VA) is adopting as final an interim final rule published on June 19, 2015, to amend its adjudication regulation governing individuals presumed to have been exposed to certain herbicides. Specifically, VA expanded… Read More
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News | Published 10/19/2018
WASHINGTON — The Office of the Comptroller of the Currency (OCC) today released new enforcement actions taken against national banks, federal savings associations, and individuals currently and formerly affiliated with national banks and federal… Read More
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Notice | Published 10/17/2018 | Comments Close 11/16/2018
The Department of Labor (DOL) is submitting the information collection request (ICR) proposal titled, “National Guard Youth ChalleNGe Job ChalleNGe Evaluation,” to the Office of Management and Budget (OMB) for review and approval for use in accorda… Read More
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News | Published 10/17/2018
The Bureau’s general purpose, as specified in section 1021 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act), is to implement and enforce Federal consumer financial law consistently for the purpose of ensuring that all… Read More
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Notice | Published 10/22/2018
On October 15, 2018, the Department of Justice lodged a proposed consent decree with the United States District Court for the Eastern District of Michigan in the lawsuit entitled United States v. Federal- Mogul, LLC, Civil Action No. 2:18-cv-13205… Read More
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News | Published 10/18/2018
Good afternoon. I am delighted to have the opportunity to speak with you today and I want to thank IADI’s Chairman, Governor Mikuniya, for inviting me. I also want to thank David Walker, IADI Secretary General, and his staff for organizing this event… Read More
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Notice | Published 10/16/2018
The Director of the Office of National Drug Control Policy designated 10 additional areas as High Intensity Drug Trafficking Areas (HIDTA) pursuant to 21 U.S.C. 1706. The new areas are (1) Montgomery and Powell Counties in Kentucky as part of the App… Read More
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Enforcement | Published 10/19/2018
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058860601 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Tracy Michelle Lund, Respondent Former General Securities Represent… Read More
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News | Published 10/19/2018
Introducing LSDU, a self-service tool offering servicers solutions for simplifying investor reporting and data exceptions. With near-real time data and improved accuracy, LSDU will save servicers time and transform business workflows. Get registered… Read More
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News | Published 10/19/2018
CHICAGO, IL – The U.S. Department of Labor has entered into an agreement with the fiduciaries of the Neuroscience Center LLC Defined Benefit Pension Plan to restore $419,758 to the Deerfield, Illinois-based retirement plan. The agreed-upon restoratio… Read More
View all EBSA updates