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


11692 new docs in pro.compliance.ai within the last 7 days


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News | Published 08/10/2018
August 10, 2018, Federal Reserve Board fines Citigroup $8.6 million for the improper execution of residential mortgage-related documents and announces the termination of 2011 enforcement action… Read More
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Notice | Published 08/08/2018 | Effective 07/25/2018
The U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC) is publishing the names of persons who are no longer subject to the prohibitions imposed pursuant to Directive One under Executive Order 13662 of March 20, 2014, “Blocking… Read More
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News | Published 08/07/2018
8/7/2018 New 55-day Mirror Securities Issued to Pave Way to Single Security New 55-day Mirror Securities Issued to Pave Way to Single Security August 7, 2018, Back to News Center Today, we’ll begin issuing new 55-day “mirror” mortgage-bac… Read More
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Enforcement | Published 08/10/2018
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. John W. Cutshall (CRD No. 874352), Respondent. DISCIPLINARY PROCEEDING NO. 2014041590801 COMPLAINT The Department of Enforcement alleges… Read More
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Enforcement | Published 08/08/2018
NYSE REGULATION, Complainant, Proceeding No. 2016-07-013021 August 8, 2018 NYSE ARCA, INC. v. CASEY SECURITIES, LLC, and DANIEL RANDALL Respondents. Casey Securities, LLC violated: (i) NYSE Arca… Read More
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Enforcement | Published 08/06/2018
Federal Trade Commission, and State of Minnesota, by its Attorney General, Lori Swanson, Plaintiffs, v. Sellers Playbook, Inc., a corporation, Exposure Marketing Company, a corporation, also doing business as Sellers Online and Sellers Systems; Jessi… Read More
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Proposed Rule | Published 08/13/2018 | Comments Close 10/12/2018
The Commodity Futures Trading Commission (Commission) is proposing amendments to its regulations to establish a regulatory framework within which the Commission may exempt a clearing organization that is organized outside of the United States (herein… Read More
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News | Published 08/09/2018
Thank you, Clay Porter, for that wonderful introduction. Good afternoon. I am delighted to be here today. Thank you for having me. I am excited to dive into the fireside chat. But before I do, I would like to anchor the conversation with some brief b… Read More
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News | Published 08/09/2018
WASHINGTON — The Office of the Comptroller of the Currency (OCC) today issued a proclamation allowing national banks, federal savings associations, and federal branches and agencies of foreign banks affected by wildfires and high winds in California… Read More
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News | Published 08/10/2018
WASHINGTON, D.C. – The Bureau of Consumer Financial Protection (Bureau) today finalized amendments to implement legislation that allows financial institutions that meet certain requirements to be exempt from sending annual privacy notices to their cu… Read More
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Notice | Published 08/13/2018 | Comments Close 09/15/2018
Summary of Duties: The Administrative Review Board (ARB) Chair directs other ARB Members and administrative and professional staff in the performance of the ARB’s mission. The Chair directs the management of the ARB’s administrative, clerical, and pr… Read More
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News | Published 08/07/2018
The following updates were made in August: provided a new high LTV refinance option; removed requirement for appraisers to complete Form 1004MC; allowed lenders to disburse HomeStyle® Renovation funds by wire transfer; and more… Read More
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Notice | Published 08/09/2018
On August 3, 2018, the Department of Justice lodged a proposed consent decree with the United States District Court for the Middle District of Florida in the lawsuit entitled United States, State of Indiana, and the Oklahoma Department of Environment… Read More
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Proposed Rule | Published 08/09/2018
This document contains proposed regulations implementing section 965 of the Internal Revenue Code (“Code”) as amended by the Tax Cuts and Jobs Act, which was enacted on December 22, 2017. The proposed regulations would affect United States persons… Read More
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News | Published 08/07/2018
KANSAS CITY, KS – The U.S. District Court for the District of Kansas has sentenced Leavenworth, Kansas, business owner Brenda Wood to serve 50 months of imprisonment followed by an additional five years of supervised release, and to make more than $4.3 million in restitution for bank fraud and violations of the Employee Retirement Income Security Act… Read More
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Presidential Document | Published 08/13/2018
On August 17, 2001, the President issued Executive Order 13222 pursuant to the International Emergency Economic Powers Act (50 U.S.C. 1701 et seq.). In that order, the President declared a national emergency with respect to the unusual and extraordin… Read More
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Final Rule | Published 08/07/2018 | Effective 10/09/2018
The Securities and Exchange Commission is adopting amendments to regulatory requirements in Regulation ATS under the Securities Exchange Act of 1934 (“Exchange Act”) applicable to alternative trading systems (“ATSs”) that trade National Market Sy… Read More
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Agency Update | Published 08/10/2018
FHA INFO #18-32 August 10, 2018 TO: All FHA-Approved Mortgagees and All Other Interested Stakeholders TRAINING AND EVENTS Course Title: NEW Date/Time: Event Location: Jurisdictional Host: Registration Link:… Read More
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Final Rule | Published 08/13/2018 | Effective 08/13/2018
This final rule amends the Department of Veterans Affairs (VA) regulation governing persons who may receive VA burial benefits on behalf of a deceased veteran. As amended, the regulation reflects VA’s current policy of paying an automatic burial bene… Read More
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Notice | Published 08/13/2018 | Comments Close 09/12/2018
The FDIC, as part of its continuing effort to reduce paperwork and respondent burden, invites the general public and other Federal agencies to take this opportunity to comment on the renewal of existing information collections, as required by the Pap… Read More
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