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

-

FINRA enforcements increased 21% over the past 30 days

-

FTC issued enforcements: $8,726,254.27 over the past 30 days

-

165 Final Rules go into effect in the next 30 days

-

55 Mortgage Lending docs published in the last 7 days

-

5330 docs with 12540 extracted obligations from the last 7 days

-

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

-

11225 new docs in pro.compliance.ai within the last 7 days

-

Download the Q3 Enforcement eBook now!

-

Join us Feb 4th at Comply 2021

-

Regulatory Agency Updates | Week of Sep 09 - Sep 16

 
 
CFPB
 
 
 
 

Final Rule: Policy on the Compliance Assistance Sandbox… | 09/13/2019

Final Rule: Policy on No-Action Letters… | 09/13/2019

Notice: Consumer Credit Card Market Report of the Bureau of Consumer Financial… | 09/13/2019

Final Rule: Policy To Encourage Trial Disclosure Programs… | 09/13/2019

News: CFPB and State Regulators Launch American Consumer Financial Innovatio… | 09/10/2019

News: Director Kraninger=E2=80=99s Speech at Innovation Policies Launch Event… | 09/10/2019

News: CFPB Issues Policies to Facilitate Compliance and Promote Innovation… | 09/10/2019

News: Today’s Money as You Grow Bookshelf pick: “But I=E2=80=99ve Used All of My Poc… | 09/10/2019

Notice: Agency Information Collection Activities: Comment Request… | 09/09/2019

 
 
 
CFTC
 
 
 
 

Notice: Sunshine Act Meetings… | 09/11/2019

Notice: Global Markets Advisory Committee; Meeting… | 09/09/2019

Notice: Fees for Reviews of the Rule Enforcement Programs of Designated Contra… | 09/09/2019

 
 
 
DOJ
 
 
 
 

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Air Act… | 09/16/2019

Notice: Agency Information Collection Activities: Proposed eCollection eCommen… | 09/16/2019

Notice: Agency Information Collection Activities; Proposed eCollection; eComme… | 09/13/2019

Agency Update: 25th Anniversary of the Violence Against Women Act… | 09/13/2019

Notice: Notice of Extension of Public Comment Period for Consent Decree Under … | 09/11/2019

Notice: Privacy Act of 1974; System of Records… | 09/10/2019

Notice: Agency Information Collection Activities; Proposed eCollection; eComme… | 09/09/2019

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 09/16/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 09/10/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 09/09/2019

 
 
 
EOP
 
 
 
 

Presidential Document: Correction… | 09/16/2019

Presidential Document: Patriot Day, 2019… | 09/16/2019

Presidential Document: Continuation of the National Emergency With Respect to Certain Terrori… | 09/13/2019

Presidential Document: Minority Enterprise Development Week, 2019… | 09/13/2019

Presidential Document: National Historically Black Colleges and Universities Week, 2019… | 09/12/2019

Presidential Document: Providing an Order of Secession Within the Council on Environmental Qu… | 09/12/2019

Presidential Document: Opioid Crisis Awareness Week, 2019… | 09/12/2019

Presidential Document: Modernizing Sanctions To Combat Terrorism… | 09/12/2019

Notice: Designation of Eleven Areas as High Intensity Drug Trafficking Areas… | 09/11/2019

Presidential Document: Continuation of the National Emergency With Respect to Foreign Interfe… | 09/11/2019

 
 
 
FDIC
 
 
 
 

Notice: Agency Information Collection Activities: Submission for OMB Review; C… | 09/16/2019

Notice: Notice of Termination of Receiverships… | 09/16/2019

Notice: Notice to All Interested Parties of Intent To Terminate Receivership… | 09/16/2019

Notice: Notice to All Interested Parties of Intent To Terminate Receivership… | 09/16/2019

Notice: Sunshine Act Meeting… | 09/13/2019

Notice: Agency Information Collection Activities: Submission for OMB Review; C… | 09/12/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 09/09/2019

 
 
 
FINCEN
 
 
 
 

News: Notice: FinCEN Encourages Communication from Financial Institutions Af… | 09/13/2019

News: Prepared Remarks of FinCEN Deputy Director Jamal El-Hindi, delivered a… | 09/11/2019

Notice: Renewal Without Change of Information Collection Requirements in Conne… | 09/10/2019

 
 
 
FRS
 
 
 
 

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 09/16/2019

News: Insurance Regulation – Thomas Sullivan, Associate Director… | 09/12/2019

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 09/12/2019

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 09/11/2019

News: Attachment (PDF) – Federal Reserve Board announces approval of applica… | 09/11/2019

News: Federal Reserve Board announces approval of application by Vista Bank… | 09/11/2019

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 09/11/2019

Notice: Agency Information Collection Activities: Announcement of Board Approv… | 09/10/2019

News: Federal Reserve Board announces termination of enforcement action with… | 09/10/2019

Notice: Agency Information Collection Activities: Announcement of Board Approv… | 09/10/2019

 
 
 
FTC
 
 
 
 

Notice: Granting of Requests for Early Termination of the Waiting Period Under… | 09/16/2019

News: Protecting Virginia’s Consumers: A Common Ground Conference… | 09/13/2019

Enforcement: DTE Energy Company, In the Matter of… | 09/13/2019

Enforcement: Manhattan Beach Venture, LLC, et al…. | 09/12/2019

Enforcement: Progress Advocates Group, LLC, et al…. | 09/12/2019

Enforcement: Sysco, USF Holding Corp., and US Foods, Inc…. | 09/11/2019

Notice: Agency Information Collection Activities; Proposed Collection; Comment… | 09/11/2019

Enforcement: US Foods and SGA, In the Matter of… | 09/11/2019

Notice: Thru, Inc.; Analysis To Aid Public Comment… | 09/09/2019

Notice: LotaData, Inc.; Analysis To Aid Public Comment… | 09/09/2019

 
 
 
Fannie
 
 
 
 

News: Malloy Evans: Key Updates in Latest Servicing Announcement (September … | 09/11/2019

News: Servicing Guide Updates… | 09/11/2019

 
 
 
INT-BIS
 
 
 
 

Agency Update: Embedded supervision: how to build regulation into blockchain finance… | 09/16/2019

 
 
 
INT-EBA
 
 
 
 

News: EU financial regulators highlight risks of a no-deal Brexit and search… | 09/12/2019

News: EBA issues revised list of validation rules… | 09/10/2019

News: EBA will clarify the prudential treatment applicable to own funds inst… | 09/09/2019

 
 
 
NCUA
 
 
 
 

Notice: Sunshine Act Meeting… | 09/16/2019

Notice: Agency Information Collection Activities: Proposed Collection; Comment… | 09/09/2019

 
 
 
NYSE
 
 
 
 

Enforcement: Jump Trading, LLC… | 09/12/2019

 
 
 
OCC
 
 
 
 

Notice: Agency Information Collection Activities: Information Collection Renew… | 09/10/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 09/09/2019

 
 
 
OFAC
 
 
 
 

Notice: Issuance of Russia-Related Directive Pursuant to Executive Order 13883… | 09/16/2019

Notice: Notice of OFAC Sanctions Action… | 09/12/2019

Final Rule: Cuban Assets Control Regulations… | 09/09/2019

 
 
 
RHS
 
 
 
 

Notice: Announcement of the Availability of Disaster Relief Act 2019 Grant Fun… | 09/10/2019

 
 
 
SEC
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and… | 09/16/2019

Notice: Sunshine Act Meetings… | 09/16/2019

Notice: Proposed Collection; Comment Request… | 09/16/2019

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing a… | 09/16/2019

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 09/16/2019

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing a… | 09/16/2019

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing a… | 09/16/2019

Notice: Proposed Collection; Comment Request… | 09/16/2019

Notice: Sunshine Act Meetings… | 09/16/2019

Notice: Submission for OMB Review; Comment Request… | 09/16/2019

 
 
 
TREAS
 
 
 
 

Agency Update: U.S. Department of the Treasury… | 09/13/2019

Agency Update: U.S. Department of the Treasury… | 09/11/2019

Agency Update: U.S. Department of the Treasury… | 09/10/2019

Agency Update: U.S. Department of the Treasury… | 09/10/2019

Notice: Open Meeting of the Advisory Committee on Risk-Sharing Mechanisms… | 09/10/2019

 
 
 
UK-BOE
 
 
 
 

Agency Update: Attention to the tail(s): global financial conditions and exchange rat… | 09/13/2019

Agency Update: Market-implied systemic risk and shadow capital adequacy… | 09/13/2019

News: Minutes of the Working Group on Sterling Risk-Free Reference Rates – J… | 09/13/2019

News: Run Lola Run! The good, the bad and the ugly of FX market fragmentatio… | 09/13/2019

Agency Update: Bank of England Weekly Report 11 September 2019… | 09/12/2019

News: Minutes of the London FXJSC Legal Sub-Committee Meeting – 18 June 2019… | 09/11/2019

News: Minutes of the London FXJSC Operations Sub-Committee meeting – 2 May 2… | 09/09/2019

News: Minutes of the London FXJSC meeting – 9 May 2019… | 09/09/2019

 
 
 
UK-CMA
 
 
 
 

Press Release: Major overhaul of hotel booking sector after CMA action… | 09/13/2019

 
 
 
UK-FCA
 
 
 
 

News: Preparing for Brexit in financial services: the state of play… | 09/16/2019

News: Further details of Independent Investigation of Interest Rate Hedging … | 09/16/2019

News: Firms need to register for Connect to update their firm details… | 09/13/2019

News: IPO-DEX (clone of FCA authorised firm)… | 09/13/2019

News: 24HR Trading Academy Ltd… | 09/13/2019

News: ICAP Investment (clone of authorised firm)… | 09/12/2019

News: Cabinet Klienmann Sarl (clone of authorised firm)… | 09/12/2019

News: FCA steps up efforts to ensure firms are getting ready for a no-deal B… | 09/11/2019

News: Europe FX Trade (clone of FCA authorised firm)… | 09/11/2019

News: Baxter-Ford & Associates LLC… | 09/11/2019

 
 
 
UK-HMT
 
 
 
 
 
 
 
 

Transparency: Banking Liaison Panel minutes 2019… | 09/16/2019

Foi Release: Research and development… | 09/16/2019

Policy Paper: Summary of Financial Inclusion Policy Forum meeting March 2019… | 09/13/2019

Press Release: =C2=A395 million to revive historic high streets… | 09/13/2019

News Story: Treasury minister visits Tees Valley… | 09/13/2019

Policy Paper: UK-China 10th Economic and Financial Dialogue: policy outcomes… | 09/12/2019

Policy Paper: Aggregates Levy Review Working Group… | 09/12/2019

Transparency: HMT spend greater than =C2=A325,000: June 2019… | 09/12/2019

Open Consultation: Government financial reporting manual 2020 to 2021… | 09/12/2019

Transparency: HMT spend greater than =C2=A325,000: May 2019… | 09/12/2019

 
 
 
UK-ICO
 
 
 
 

News: Privacy attacks on AI models… | 09/12/2019

News: SMOs must =E2=80=9Cprepare for all scenarios=E2=80=9D to maintain data flows when UK l… | 09/11/2019

 
 
 
UK-PRA
 
 
 
 

Consultation paper: Regulatory capital instruments: update to Pre-Issuance Notification (P… | 09/09/2019

Consultation paper: Regulatory capital instruments: update to Pre-Issuance Notification (P… | 09/09/2019

 
 
 
VA
 
 
 
 

Notice: Change of Publication Manner for Invention Licenses… | 09/16/2019

Notice: Notice of Performance Review Board Members… | 09/13/2019

Notice: Solicitation of Nominations for Appointment to the Geriatrics and Gero… | 09/12/2019

Notice: Agency Information Collection Activity: VA Post-Separation TAP Longitu… | 09/12/2019

Notice: Agency Information Collection Activity: Monthly Certification of Fligh… | 09/10/2019

 

X