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


FINRA enforcements decreased 70% over the past 30 days


CME issued enforcements: $1,241,754.92 over the past 30 days


161 Final Rules go into effect in the next 30 days


37 Mortgage Lending docs published in the last 7 days


1460 docs with 2637 extracted obligations from the last 7 days


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


2509 new docs in pro.compliance.ai within the last 7 days


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Notice | Published 09/10/2018 | Comments Close 11/09/2018
The Department of Justice (DOJ), Antitrust Division (ATR), will be submitting the following information collection request to the Office of Management and Budget (OMB) for review and approval in accordance with the Paperwork Reduction Act of 1995… Read More
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Notice | Published 09/04/2018 | Comments Close 10/04/2018
The Department of Labor (DOL) is submitting the Employee Benefits Security Administration (EBSA) sponsored information collection request (ICR) titled, “Employee Retirement Income Security Act of 1974 Technical Release 1991-1,” to the Office of Man… Read More
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Image Source: FINRA

News | Published 09/10/2018
FINRA today released a white paper outlining recent regulatory technology (RegTech) developments within the securities industry and potential opportunities and implications these technologies may have for broker-dealers… Read More
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Final Rule | Published 09/07/2018 | Effective 09/07/2018
The Bureau of Consumer Financial Protection (Bureau) is issuing an interpretive and procedural rule to implement and clarify the requirements of section 104(a) of the Economic Growth, Regulatory Relief, and Consumer Protection Act, which amended cert… Read More
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Presidential Document | Published 09/06/2018
During National Alcohol and Drug Addiction Recovery Month, we reaffirm our commitment to addressing the stigma of addiction and take the opportunity to remind all Americans that recovery is possible. We stand with those who are seeking treatment and… Read More
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Proposed Rule | Published 09/07/2018 | Comments Close 11/06/2018
The Department of Veterans Affairs (VA) is proposing to amend and update 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… Read More
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Notice | Published 09/05/2018
Pursuant to the authority contained in Section 512 of the Employee Retirement Income Security Act of 1974 (ERISA), 29 U.S.C. 1142, the 193rd meeting of the Advisory Council on Employee Welfare and Pension Benefit Plans (also known as the ERISA… Read More
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Notice | Published 09/06/2018 | Effective 09/06/2018
This document corrects one item in the initial notice that published in the Federal Register on August 17, 2018, entitled “Rural Development Cooperative Agreement Program.” This correction revises the maximum available points for one scoring… Read More
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News | Published 09/06/2018
9/6/2018 New Loan Collateral Advisor and UCDP Feedback Messages New Loan Collateral Advisor and UCDP Feedback Messages September 6, 2018, Back to News Center In a recent Single-Family News Center article, we told you about enhancements be… Read More
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News | Published 09/10/2018
Monday, September 10 3:00 PM ET Assistant Secretary Marshall Billingslea Remarks United Nations Security Council Arria-Formula Meeting on Venezuela as Case Study of Corruption, Peace, and Security United Nations Headquarters Conference Room 1 New Yor… Read More
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Image Source: The Industry Spread

News | Published 09/04/2018
Five federal financial regulatory agencies on Tuesday extended until October 17, 2018, the comment period for a proposed rule to simplify and tailor compliance requirements for the “Volcker rule.” The Volcker rule generally restricts banking entities from engaging in proprietary trading and from owning or controlling hedge funds or private equity funds… Read More
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News | Published 09/06/2018
Introduction I would like to thank the Peterson Institute for inviting me to speak this morning. A central lesson of the financial crisis of 2008 was that the buildup of leverage—in other words, reliance on debt—at the largest financial institutions… Read More
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Agency Update | Published 09/04/2018
FHA INFO #18-38 September 4, 2018 TO: All FHA-Approved Mortgagees and Servicers; All Other Interested Stakeholders in FHA Transactions NEWS AND UPDATES FHA Disaster-Related Policy Waiver Issued for Presidentially-Declared Major Dis… Read More
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Proposed Rule | Published 09/05/2018 | Comments Close 11/19/2018
The Office of the Comptroller of the Currency (OCC or agency) invites comments on this advance notice of proposed rulemaking (ANPR) to solicit ideas for building a new framework to transform or modernize the regulations that implement the Community… Read More
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Final Rule | Published 09/10/2018
[Federal Register Volume 83, Number 175 (Monday, September 10, 2018)][Rules and Regulations][Pages 45555-45567]From the Federal Register Online via the Government Publishing Office [www.gpo.gov][FR Doc No: C2-2018-143… Read More
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Enforcement | Published 09/07/2018
Case 1:18-cv-02323-ILG-SMG Document 1 Filed 04/19/18 Page 1 of 28 PageID #: 1 Case 1:18-cv-02323-ILG-SMG Document 1 Filed 04/19/18 Page 2 of 28 PageID #: 2 Case 1:18-cv-02323-ILG-SMG Document 1 Filed 04/19/18 Page 3 of 28 PageID… Read More
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News | Published 09/04/2018
These updates were made in September: the term “appraisal waiver” replaces what was previously called “property inspection waiver” or “property fieldwork waiver”; a new appraisal waiver option is available for certain home purchases; condo insurance… Read More
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Notice | Published 09/10/2018
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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Agency Update | Published 09/06/2018
To: Subject: Regulatory Bulletin NYSE Arca RB-18-144 NYSE RB-18-81 NYSE American RB-18-123 NYSE National RB-18-72 September 6, 2018, NYSE ARCA, INC. (“NYSE ARCA”) ETP HOLDERS NEW YORK STOCK EXCHANGE LLC (“NYSE”) MEMBERS AND MEMBE… Read More
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