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

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FINRA enforcements decreased 70% over the past 30 days

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

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161 Final Rules go into effect in the next 30 days

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37 Mortgage Lending docs published in the last 7 days

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1460 docs with 2637 extracted obligations from the last 7 days

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

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2436 new docs in pro.compliance.ai within the last 7 days

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NAVIGATION

Concepts

Concepts are a collection of terms that uses the advanced search capability in order to quickly keep track of different areas in the regulatory landscape .

These are the concepts currently available on our platform:

Concept Name Advanced Search
Advertising (topic IN [“3”] AND text = “advertising”)
Agency Updates
(text = “fintech” AND doc_type IN [“Administration Instrument”, “Advice”, “Advisory Visit”, “Agency Update”, “Approach Document”, “Audit”, “Bill Analysis”, “BSA/AML”, “Business Plan”, “Closed Consultation”, “Consultation”, “Consultation Outcome”, “Consultation Response”, “Consultative Document”, “Consumer Alert”, “Consumer Financial Protection Update”, “Corporate Document”, “Cybersecurity”, “FAQ”, “Financial Stability”, “FOI Release”, “Form”, “Inter-Agency Agreement”, “Internal Document”, “International Treaty”, “Investor Alert”, “Memorandum”, “Memorandum of Understanding”, “Monetary Policy Committee”, “Mortgage Lending”, “Note”, “Official Statistics”, “Op-ed”, “Open Consultation”, “Opinion”, “Overview Report”, “PPI Corporate Document”, “PRA Regulatory Digest”, “Presidential Document”, “Principles”, “Promotional”, “Proposal”, “Publication”, “Reference”, “Regulatory Alert”, “Regulatory Digest”, “Regulatory Statement”, “Risk Alert”, “Speech”, “Sponsor Notice”, “Statement”, “Statistical Data Set”, “Summary of Conclusions”, “Supervisory Statement”, “Testimony”, “Undertaking”] AND jurisdiction = “US” AND publication_date > “2018-01-01”)
Annual Thresholds
(topic IN [“3”, “13”, “14”] OR text = “threshold” OR text = “adjustment”)
Appraisal
(text = “Covid” AND text = “appraisal” AND jurisdiction = “US” AND text = “housing”)
Appraisals
(topic IN [“9”, “3”, “18”, “17”] AND (text = “appraisal” OR text = “appraiser”))
Appraisals
(topic IN [“9”, “3”, “18”, “17”] AND (text = “appraisal” OR text = “appraiser”))
Bank Data Notices
(text = “bank data” AND doc_type IN [“Cancellation Notice”, “Decision Notice”, “Notice”, “Requirement Notice”, “Supervisory Notice”, “Waivers and CRR Notice”, “Warning Notice”])
Bank Data Regulations
(text = “bank data ” AND doc_type IN [“Emergency Rule”, “Interim Final Rule”, “Proposed Rule”, “Rule”])
Bank Holding Companies
(topic IN [“7”, “2”, “18”, “13”] AND (text = “bank” OR text = “banking”) AND text = “holding”)
CFPB Guidance
(agency = “CFPB” AND doc_type IN [“Advisory Letter”, “Examination Manual”, “Finalised Guidance”, “Financial Institution Letter”, “Guidance”, “Guidance Consultation”, “Guidance Notice”, “Guideline”, “Handbook”, “Industry Guidance”, “Industry Letter”, “Interpretive Statement”, “Manual”, “Opinion Letter”, “Policy and Guidance”, “Servicing Guide”, “Statutory Guidance”, “Supervisory Guidance”, “Supervisory Policy Manual”])
CFPB News
(agency = “CFPB” AND doc_type IN [“Announcement”, “Blog”, “Bulletin”, “Mainstream News”, “Media Advisory”, “Media Release”, “News”, “News Release”, “Newsletter”, “Press Release”])
CFPB Rules
(agency = “CFPB” AND doc_type IN [“CFR”, “CFR Navigation”, “Circular”, “Consultation Paper”, “Emergency Rule”, “Executive Order”, “Interim Final Rule”, “Ordinance”, “Policy Statement”, “Proposed Rule”, “Prudential Regulation”, “Public Consultation”, “Regulatory Agenda Item”, “Rule”, “Standard”, “Standards”, “State Code”, “Statement of Policy”, “Unified Regulatory Agenda”])
CFTC News
(agency = “CFTC” AND doc_type IN [“Announcement”, “Blog”, “Bulletin”, “Mainstream News”, “Media Advisory”, “Media Release”, “News”, “News Release”, “Newsletter”, “Press Release”])
CFTC Notices
(agency = “CFTC” AND doc_type IN [“Administration Instrument”, “Cancellation Notice”, “Decision Notice”, “Notice”, “Requirement Notice”, “Supervisory Notice”, “Waivers and CRR Notice”, “Warning Notice”])
CFTC Rules
(agency = “CFTC” AND doc_type IN [“Emergency Rule”, “Interim Final Rule”, “Proposed Rule”, “Rule”])
Claims
(text = “homeowners insurance” AND text = “claims”)
CME Investor Enforcements
(agency = “CME” AND doc_type IN [“Administrative Letter”, “Administrative Order”, “Amendment Order”, “Cease and Desist”, “Civil Money Penalty”, “Complaint”, “Consent Agreement”, “Consent Order”, “Decision”, “Disciplinary Action”, “Enforcement”, “Exemptive Order”, “Final Decision”, “Final Judgement”, “Final Notice”, “Final Order”, “Financial Sanction”, “Fine Order”, “Injunction Order”, “Judgement”, “Monetary Penalty”, “Notice of Intent”, “Order”, “Orders Accepting Offers of Settlement”, “Prohibition from Banking”, “Prohibition Order”, “Refusal Order”, “Revocation Order”, “Settlement Agreement”, “Termination Order”])
CME Investor News
(agency = “CME” AND doc_type IN [“Announcement”, “Blog”, “Bulletin”, “Mainstream News”, “Media Advisory”, “Media Release”, “News”, “News Release”, “Newsletter”, “Press Release”])
CME News
(agency = “CME” AND doc_type IN [“Announcement”, “Blog”, “Bulletin”, “Mainstream News”, “Media Advisory”, “Media Release”, “News”, “News Release”, “Newsletter”, “Press Release”])
Collection Agency
(topic = “16” AND (text = “debt collection” OR text = “debt collector” OR text = “debt recovery”) AND (text = “agency” AND (text = “licensing” OR text = “license”)))
Compliance Management
(topic IN [“16”, “17”, “7”, “11”, “9”, “1”, “13”, “3”] AND (text = “compliance” OR text = “adherance”) AND text = “management”)
Consumer Complaints
(text = “homeowners insurance” AND text = “consumer” AND text = “complaints”)
Credit Notices
(text = “lending” AND text = “credit report” AND doc_type IN [“Cancellation Notice”, “Decision Notice”, “Notice”, “Requirement Notice”, “Supervisory Notice”, “Waivers and CRR Notice”, “Warning Notice”] AND jurisdiction = “US”)
Credit Regulations
(text = “lending” AND text = “credit report” AND doc_type IN [“CFR”, “CFR Navigation”, “Circular”, “Consultation Paper”, “Emergency Rule”, “Executive Order”, “Interim Final Rule”, “Ordinance”, “Policy Statement”, “Proposed Rule”, “Prudential Regulation”, “Public Consultation”, “Regulatory Agenda Item”, “Rule”, “Standard”, “Standards”, “State Code”, “Statement of Policy”, “Unified Regulatory Agenda”] AND jurisdiction = “US”)
Credit Reporting
(topic IN [“16”, “10”, “14”] AND text = “credit” AND (text = “report” OR text = “reporting” OR text = “repayment”))
Credit Reporting
(topic IN [“16”, “10”, “14”] AND text = “credit” AND (text = “report” OR text = “reporting” OR text = “repayment”))
Credit Reporting
(topic IN [“16”, “10”, “14”] AND text = “credit” AND (text = “report” OR text = “reporting” OR text = “repayment”))
Crypto Coin Agency Updates
(text = “crypto” AND text = “coin” AND doc_type IN [“Administration Instrument”, “Advice”, “Advisory Visit”, “Agency Update”, “Approach Document”, “Audit”, “Bill Analysis”, “BSA/AML”, “Business Plan”, “Closed Consultation”, “Consultation”, “Consultation Outcome”, “Consultation Response”, “Consultative Document”, “Consumer Alert”, “Consumer Financial Protection Update”, “Corporate Document”, “Cybersecurity”, “FAQ”, “Financial Stability”, “FOI Release”, “Form”, “Inter-Agency Agreement”, “Internal Document”, “International Treaty”, “Investor Alert”, “Memorandum”, “Memorandum of Understanding”, “Monetary Policy Committee”, “Mortgage Lending”, “Note”, “Official Statistics”, “Op-ed”, “Open Consultation”, “Opinion”, “Overview Report”, “PPI Corporate Document”, “PRA Regulatory Digest”, “Presidential Document”, “Principles”, “Promotional”, “Proposal”, “Publication”, “Reference”, “Regulatory Alert”, “Regulatory Digest”, “Regulatory Statement”, “Risk Alert”, “Speech”, “Sponsor Notice”, “Statement”, “Statistical Data Set”, “Summary of Conclusions”, “Supervisory Statement”, “Testimony”, “Undertaking”])
Crypto Coin Publications
(text = “crypto” AND text = “coin” AND doc_type IN [“Discussion Paper”, “National Statistics”, “Policy Paper”, “Research”, “Research Publication”, “Whitepaper”, “Working Paper”])
Crypto Coin Regulations
(text = “crypto” AND text = “coin” AND doc_type IN [“CFR”, “CFR Navigation”, “Circular”, “Consultation Paper”, “Emergency Rule”, “Executive Order”, “Interim Final Rule”, “Ordinance”, “Policy Statement”, “Proposed Rule”, “Prudential Regulation”, “Public Consultation”, “Regulatory Agenda Item”, “Rule”, “Standard”, “Standards”, “State Code”, “Statement of Policy”, “Unified Regulatory Agenda”])
CSBS News
(agency = “CSBS” AND doc_type IN [“Announcement”, “Blog”, “Bulletin”, “Mainstream News”, “Media Advisory”, “Media Release”, “News”, “News Release”, “Newsletter”, “Press Release”])
CSBS Rules
(agency = “CSBS” AND doc_type IN [“CFR”, “CFR Navigation”, “Circular”, “Consultation Paper”, “Emergency Rule”, “Executive Order”, “Interim Final Rule”, “Ordinance”, “Policy Statement”, “Proposed Rule”, “Prudential Regulation”, “Public Consultation”, “Regulatory Agenda Item”, “Rule”, “Standard”, “Standards”, “State Code”, “Statement of Policy”, “Unified Regulatory Agenda”])
Customer Due Diligence
(topic = “2” AND text = “customer” AND text = “launder” AND text = “due diligence”)
Data Security
(topic = “10” AND text = “consumer” AND (text = “data security” OR text = “data breach”))
Data Security
(topic = “2” AND text = “customer identification” AND text = “launder”)
Data Security
(text = “fintech” AND text = “data security” AND doc_type IN [“Cancellation Notice”, “Decision Notice”, “Notice”, “Requirement Notice”, “Supervisory Notice”, “Waivers and CRR Notice”, “Warning Notice”])
Debt Management
((topic = “16” AND (text = “license” OR text = “licensing”) AND text = “management”) OR (topic = “13” AND text = “debt” AND (text = “license” OR text = “licensing”)))
Disaster Recovery
((topic IN [“17”, “18”, “9”, “1”] AND text = “disaster”) AND text = “recover”)
Disaster Recovery
((topic IN [“17”, “18”, “9”, “1”] AND text = “disaster”) AND text = “recover”)
Disclosure (topic IN [“3”] AND text = “disclosure”)
Disclosure
(topic = “10” AND text = “consumer” AND text = “disclosure”)
Disclosure Regulations
(text = “mortgage” AND text = “disclosure” AND doc_type IN [“Emergency Rule”, “Interim Final Rule”, “Proposed Rule”, “Rule”] AND jurisdiction = “US”)
DOC Notice
(agency = “DOC” AND doc_type IN [“Cancellation Notice”, “Decision Notice”, “Notice”, “Requirement Notice”, “Supervisory Notice”, “Waivers and CRR Notice”, “Warning Notice”])
DOC Rules
(agency = “DOC” AND doc_type IN [“CFR”, “CFR Navigation”, “Circular”, “Consultation Paper”, “Emergency Rule”, “Executive Order”, “Interim Final Rule”, “Ordinance”, “Policy Statement”, “Proposed Rule”, “Prudential Regulation”, “Public Consultation”, “Regulatory Agenda Item”, “Rule”, “Standard”, “Standards”, “State Code”, “Statement of Policy”, “Unified Regulatory Agenda”])
DOL Rule
(agency = “COLC” AND doc_type IN [“Emergency Rule”, “Interim Final Rule”, “Proposed Rule”, “Rule”])
EBSA Rules Updates
(agency = “EBSA” AND NOT doc_type IN [“Cancellation Notice”, “Decision Notice”, “Notice”, “Requirement Notice”, “Supervisory Notice”, “Waivers and CRR Notice”, “Warning Notice”])
EEOC Rules
(agency = “EEOC” AND doc_type IN [“CFR”, “CFR Navigation”, “Circular”, “Consultation Paper”, “Emergency Rule”, “Executive Order”, “Interim Final Rule”, “Ordinance”, “Policy Statement”, “Proposed Rule”, “Prudential Regulation”, “Public Consultation”, “Regulatory Agenda Item”, “Rule”, “Standard”, “Standards”, “State Code”, “Statement of Policy”, “Unified Regulatory Agenda”])
Employment/HR
(topic IN [“19”, “10”, “72”] AND (text = “employment” OR text = “employee” OR text = “human resource”))
Escrow
(topic IN [“72”, “1”, “11”] AND text = “escrow”)
ETA Rules
(agency = “ETA” AND doc_type IN [“CFR”, “CFR Navigation”, “Circular”, “Consultation Paper”, “Emergency Rule”, “Executive Order”, “Interim Final Rule”, “Ordinance”, “Policy Statement”, “Proposed Rule”, “Prudential Regulation”, “Public Consultation”, “Regulatory Agenda Item”, “Rule”, “Standard”, “Standards”, “State Code”, “Statement of Policy”, “Unified Regulatory Agenda”])
Eviction
(text = “Covid” AND text = “Eviction” AND jurisdiction = “US”)
Eviction Notice
(text = “COVID” AND text = “eviction” AND doc_type IN [“Cancellation Notice”, “Decision Notice”, “Notice”, “Requirement Notice”, “Supervisory Notice”, “Waivers and CRR Notice”, “Warning Notice”])
Eviction Regulations
(text = “COVID” AND text = “eviction” AND doc_type IN [“CFR”, “CFR Navigation”, “Circular”, “Consultation Paper”, “Emergency Rule”, “Executive Order”, “Interim Final Rule”, “Ordinance”, “Policy Statement”, “Proposed Rule”, “Prudential Regulation”, “Public Consultation”, “Regulatory Agenda Item”, “Rule”, “Standard”, “Standards”, “State Code”, “Statement of Policy”, “Unified Regulatory Agenda”])
Exemptions and Regulations
(text = “corporate compliance” AND doc_type IN [“CFR”, “CFR Navigation”, “Circular”, “Consultation Paper”, “Emergency Rule”, “Executive Order”, “Interim Final Rule”, “Ordinance”, “Policy Statement”, “Proposed Rule”, “Prudential Regulation”, “Public Consultation”, “Regulatory Agenda Item”, “Rule”, “Standard”, “Standards”, “State Code”, “Statement of Policy”, “Unified Regulatory Agenda”])
Fair Banking
((topic IN [“7”, “13”, “10”, “14”, “18”] AND text = “banking”) OR (topic IN [“7”, “13”, “10”, “18”, “14”] AND text = “compliance”))
Fannie Guidance
(agency = “Fannie” AND doc_type IN [“Advisory Letter”, “Examination Manual”, “Finalised Guidance”, “Financial Institution Letter”, “Guidance”, “Guidance Consultation”, “Guidance Notice”, “Guideline”, “Handbook”, “Industry Guidance”, “Industry Letter”, “Interpretive Statement”, “Manual”, “Opinion Letter”, “Policy and Guidance”, “Servicing Guide”, “Statutory Guidance”, “Supervisory Guidance”, “Supervisory Policy Manual”])
Fannie News
(agency = “Fannie” AND doc_type IN [“Advisory Letter”, “Examination Manual”, “Finalised Guidance”, “Financial Institution Letter”, “Guidance”, “Guidance Consultation”, “Guidance Notice”, “Guideline”, “Handbook”, “Industry Guidance”, “Industry Letter”, “Interpretive Statement”, “Manual”, “Opinion Letter”, “Policy and Guidance”, “Servicing Guide”, “Statutory Guidance”, “Supervisory Guidance”, “Supervisory Policy Manual”])
FAR Rules
(agency = “FCA” AND doc_type IN [“CFR”, “CFR Navigation”, “Circular”, “Consultation Paper”, “Emergency Rule”, “Executive Order”, “Interim Final Rule”, “Ordinance”, “Policy Statement”, “Proposed Rule”, “Prudential Regulation”, “Public Consultation”, “Regulatory Agenda Item”, “Rule”, “Standard”, “Standards”, “State Code”, “Statement of Policy”, “Unified Regulatory Agenda”])
FDIC Guidance
(agency = “FDIC” AND doc_type IN [“Advisory Letter”, “Examination Manual”, “Finalised Guidance”, “Financial Institution Letter”, “Guidance”, “Guidance Consultation”, “Guideline”, “Handbook”, “Industry Letter”, “Interpretive Statement”, “Manual”, “Opinion Letter”, “Servicing Guide”, “Supervisory Guidance”])
FDIC News
(agency = “FDIC” AND doc_type IN [“Announcement”, “Blog”, “Bulletin”, “Mainstream News”, “Media Advisory”, “Media Release”, “News”, “News Release”, “Newsletter”, “Press Release”])
FDIC Regulations
(agency = “FDIC” AND doc_type IN [“CFR”, “CFR Navigation”, “Consultation Paper”, “Emergency Rule”, “Executive Order”, “Ordinance”, “Policy Statement”, “Proposed Rule”, “Prudential Regulation”, “Public Consultation”, “Regulatory Agenda Item”, “Rule”, “Standards”, “State Code”, “Statement of Policy”, “Unified Regulatory Agenda”])
FDIC Updates
(agency = “FDIC” AND doc_type IN [“CFR”, “CFR Navigation”, “Consultation Paper”, “Emergency Rule”, “Executive Order”, “Ordinance”, “Policy Statement”, “Proposed Rule”, “Prudential Regulation”, “Public Consultation”, “Regulatory Agenda Item”, “Rule”, “Standards”, “State Code”, “Statement of Policy”, “Unified Regulatory Agenda”])
FEMA Rules
(agency = “FEMA” AND doc_type IN [“CFR”, “CFR Navigation”, “Circular”, “Consultation Paper”, “Emergency Rule”, “Executive Order”, “Interim Final Rule”, “Ordinance”, “Policy Statement”, “Proposed Rule”, “Prudential Regulation”, “Public Consultation”, “Regulatory Agenda Item”, “Rule”, “Standard”, “Standards”, “State Code”, “Statement of Policy”, “Unified Regulatory Agenda”])
FHA Updates
(agency = “FHA” AND doc_type IN [“Administration Instrument”, “Advice”, “Advisory Visit”, “Agency Update”, “Approach Document”, “Audit”, “Bill Analysis”, “BSA/AML”, “Business Plan”, “Closed Consultation”, “Consultation”, “Consultation Outcome”, “Consultation Response”, “Consultative Document”, “Consumer Alert”, “Consumer Financial Protection Update”, “Corporate Document”, “Cybersecurity”, “FAQ”, “Financial Stability”, “FOI Release”, “Form”, “Inter-Agency Agreement”, “Internal Document”, “International Treaty”, “Investor Alert”, “Memorandum”, “Memorandum of Understanding”, “Monetary Policy Committee”, “Mortgage Lending”, “Note”, “Official Statistics”, “Op-ed”, “Open Consultation”, “Opinion”, “Overview Report”, “PPI Corporate Document”, “PRA Regulatory Digest”, “Presidential Document”, “Principles”, “Promotional”, “Proposal”, “Publication”, “Reference”, “Regulatory Alert”, “Regulatory Digest”, “Regulatory Statement”, “Risk Alert”, “Speech”, “Sponsor Notice”, “Statement”, “Statistical Data Set”, “Summary of Conclusions”, “Supervisory Statement”, “Testimony”, “Undertaking”])
FHFA Updates
(agency = “FHFA” AND doc_type IN [“Emergency Rule”, “Interim Final Rule”, “Proposed Rule”, “Rule”])
Financial Crimes
(topic IN [“74”, “2”, “4”, “16”, “5”, “14”, “10”] AND (text = “crime” OR text = “violation”))
Financial Crimes Guideline
(doc_type IN [“Advisory Letter”, “Examination Manual”, “Finalised Guidance”, “Financial Institution Letter”, “Guidance”, “Guidance Consultation”, “Guidance Notice”, “Guideline”, “Handbook”, “Industry Guidance”, “Industry Letter”, “Interpretive Statement”, “Manual”, “Opinion Letter”, “Policy and Guidance”, “Servicing Guide”, “Statutory Guidance”, “Supervisory Guidance”, “Supervisory Policy Manual”] AND (text = “bank compliance” OR text = “financial violation” OR text = “financial crime”))
Financial Crimes Legislation
(doc_type IN [“Act”, “Bill”, “Enrolled Bill”, “Law”, “Public Act”, “Statute”, “US Code”, “US Public Law”] AND (text = “bank compliance” OR text = “financial violation” OR text = “financial crime”))
Financial Crimes Notices
(doc_type IN [“Cancellation Notice”, “Decision Notice”, “Notice”, “Requirement Notice”, “Supervisory Notice”, “Waivers and CRR Notice”, “Warning Notice”] AND (text = “bank compliance” OR text = “financial violation” OR text = “financial crime”))
Financial Crimes Regulation
(doc_type IN [“CFR”, “CFR Navigation”, “Circular”, “Consultation Paper”, “Emergency Rule”, “Executive Order”, “Interim Final Rule”, “Ordinance”, “Policy Statement”, “Proposed Rule”, “Prudential Regulation”, “Public Consultation”, “Regulatory Agenda Item”, “Rule”, “Standard”, “Standards”, “State Code”, “Statement of Policy”, “Unified Regulatory Agenda”] AND (text = “bank compliance” OR text = “financial violation” OR text = “financial crime”))
Financial Crimes Research
(doc_type IN [“Discussion Paper”, “National Statistics”, “Policy Paper”, “Research”, “Research Publication”, “Whitepaper”, “Working Paper”] AND (text = “bank compliance” OR text = “financial violation” OR text = “financial crime”))
FINRA Investor Notices
(agency = “FINRA” AND doc_type IN [“Cancellation Notice”, “Decision Notice”, “Notice”, “Requirement Notice”, “Supervisory Notice”, “Waivers and CRR Notice”, “Warning Notice”] AND publication_date > “2020-01-01”)
FinTech
(topic IN [“74”, “14”, “13”, “1”, “9”] OR text = “FinTech”)
FinTech General Purposes
(topic IN [“74”, “14”, “13”, “1”, “9”] OR text = “FinTech”)
FinTech News
(text = “FINTECH” AND jurisdiction = “US”)
Flood Insurance (topic = “9” AND text = “flood”)
Flood Insurance (topic = “9” AND text = “flood”)
Forbearance
(text = “Covid” AND text = “forbearance” AND jurisdiction = “US”)
Foreclosure (topic IN [“3”] AND text = “foreclosure”)
Foreclosure
(text = “Covid” AND text = “foreclosure” AND jurisdiction = “US” AND text = “Housing”)
Foreclosure Notices
(text = “foreclosure” AND doc_type IN [“Cancellation Notice”, “Decision Notice”, “Notice”, “Requirement Notice”, “Supervisory Notice”, “Waivers and CRR Notice”, “Warning Notice”] AND jurisdiction = “US” AND publication_date > “2019-01-01”)
Foreclosure Regulations
(text = “foreclosure” AND doc_type IN [“Emergency Rule”, “Interim Final Rule”, “Proposed Rule”, “Rule”] AND jurisdiction = “US”)
Fraud
(text = “homeowners insurance” AND text = “fraud”)
FTC Notices
(agency = “FTC” AND doc_type IN [“Cancellation Notice”, “Decision Notice”, “Notice”, “Requirement Notice”, “Supervisory Notice”, “Waivers and CRR Notice”, “Warning Notice”])
FTC Regulations
(agency = “FTC” AND doc_type IN [“CFR”, “CFR Navigation”, “Circular”, “Consultation Paper”, “Emergency Rule”, “Executive Order”, “Interim Final Rule”, “Ordinance”, “Policy Statement”, “Proposed Rule”, “Prudential Regulation”, “Public Consultation”, “Regulatory Agenda Item”, “Rule”, “Standard”, “Standards”, “State Code”, “Statement of Policy”, “Unified Regulatory Agenda”])
Information Sharing
(topic = “2” AND text = “information sharing” AND text = “launder”)
Insiders
(topic IN [“10”, “14”, “2”, “11”] AND (text = “insider” OR text = “insider trading”))
Insurance
(topic = “9” AND (text = “license” OR text = “licensing “))
Insurance
(topic = “9” AND (text = “license” OR text = “licensing “))
Insurance Broker
(topic = “9” AND (text = “license” OR text = “licensing “) AND (text = “broker” OR text = “brokerage”))
Insurance Broker
(topic = “9” AND (text = “license” OR text = “licensing “) AND (text = “broker” OR text = “brokerage”))
Insurance Policy
(text = “homeowners insurance” AND text = “insurance policy”)
Insurance Policy
(topic = “9” AND (text = “license” OR text = “licensing “) AND (text = “broker” OR text = “brokerage”))
Internet Privacy Legistation
(text = “internet privacy” AND doc_type IN [“Act”, “Bill”, “Enrolled Bill”, “Law”, “Public Act”, “Statute”, “US Code”, “US Public Law”])
Internet Privacy Publications
(text = “internet privacy” AND doc_type IN [“Discussion Paper”, “National Statistics”, “Policy Paper”, “Publication”, “Research”, “Research Publication”, “Whitepaper”, “Working Paper”])
Investment Advisor
(topic = “11” AND (text = “license” OR text = “licensing “) AND (text = “advisor” OR text = “advisory”) AND text = “investment”)
Licensing (topic IN [“3”] AND text = “licensing”)
Loss
(text = “homeowners insurance” AND text = “consumer” AND text = “loss”)
Marketing/Advertising
(topic IN [“10”, “14”] AND (text = “marketing” OR text = “advertising”))
Money Laundering Notices
(text = “customer” AND text = “suspicious” AND text = “money launder” AND doc_type IN [“Cancellation Notice”, “Decision Notice”, “Notice”, “Requirement Notice”, “Supervisory Notice”, “Waivers and CRR Notice”, “Warning Notice”] AND jurisdiction = “US”)
Money Laundering Regulations
(text = “customer” AND text = “suspicious” AND text = “money launder” AND doc_type IN [“CFR”, “CFR Navigation”, “Circular”, “Consultation Paper”, “Emergency Rule”, “Executive Order”, “Interim Final Rule”, “Ordinance”, “Policy Statement”, “Proposed Rule”, “Prudential Regulation”, “Public Consultation”, “Regulatory Agenda Item”, “Rule”, “Standard”, “Standards”, “State Code”, “Statement of Policy”, “Unified Regulatory Agenda”] AND jurisdiction = “US”)
Money Service
((topic = “13” AND (text = “license” OR text = “licensing “)) OR (topic = “13” AND (text = “transmitter” OR text = “transfer”)))
Mortgage Assistance and Relief
(topic IN [“3”] AND text = “assistance” AND text = “relief”)
Mortgage Broker Registration
(topic IN [“3”] AND text = “broker” and text = “registration”)
Mortgage Insurance
(topic IN [“3”] AND text = “mortgage insurance”)
NASDAQ Investor Notices
(agency = “NASDAQ” AND doc_type IN [“Cancellation Notice”, “Decision Notice”, “Notice”, “Requirement Notice”, “Supervisory Notice”, “Waivers and CRR Notice”, “Warning Notice”])
Notices
(text = “fintech” AND doc_type IN [“Cancellation Notice”, “Decision Notice”, “Notice”, “Requirement Notice”, “Supervisory Notice”, “Waivers and CRR Notice”, “Warning Notice”])
NYSE ETFs Investor Notice Update
(agency = “NYSE” AND text = “ETF” AND text = “Investor” AND jurisdiction = “US”)
OFAC
(topic = “2” AND text = “OFAC” AND text = “launder”)
OFAC Notices
(agency = “FTC” AND doc_type IN [“Cancellation Notice”, “Decision Notice”, “Notice”, “Requirement Notice”, “Supervisory Notice”, “Waivers and CRR Notice”, “Warning Notice”])
OFAC Press Release
(agency = “OFAC” AND doc_type IN [“Announcement”, “Blog”, “Bulletin”, “Mainstream News”, “Media Advisory”, “Media Release”, “News”, “News Release”, “Newsletter”, “Press Release”])
OFAC Rules
(agency = “FTC” AND doc_type IN [“Emergency Rule”, “Interim Final Rule”, “Proposed Rule”, “Rule”])
Overdraft Regulation
(text = “overdraft” AND text = “compliance” AND doc_type IN [“Emergency Rule”, “Proposed Rule”, “Rule”] AND doc_type IN [“Emergency Rule”, “Proposed Rule”, “Rule”])
Overdrafts
(topic IN [“16”, “18”, “1”] AND text = “overdraft”)
Privacy
(text = “homeowners insurance” AND text = “privacy”)
Privacy Notice
(topic = “10” AND text = “consumer” AND (text = “notice” OR text = “informed”))
Privacy Suspicious Activity Report (SAR)
(topic = “2” AND (text = “suspicious activity report” OR text = “SAR”))
Rates
(text = “homeowners insurance” AND text = “rates”)
Registered Investment Advisors
(act = “5784” AND text = “registered” AND text = “advisor”)
Registered Investment Advisors
(act = “5784” AND text = “registered” AND text = “advisor”)
Registered Investment Advisors
(act = “5784” AND text = “registered” AND text = “advisor”)
Regulations
(text = “fintech” AND doc_type IN [“CFR”, “CFR Navigation”, “Circular”, “Consultation Paper”, “Emergency Rule”, “Executive Order”, “Interim Final Rule”, “Ordinance”, “Policy Statement”, “Proposed Rule”, “Prudential Regulation”, “Public Consultation”, “Regulatory Agenda Item”, “Rule”, “Standard”, “Standards”, “State Code”, “Statement of Policy”, “Unified Regulatory Agenda”] AND jurisdiction = “US”)
Reporting Requirements
(topic IN [“7”, “18”, “1”, “11”] AND (text = “report” OR text = “reporting”))
Revocable/Irrevocable Trusts
(topic = “12” AND text = “revocable ” AND text = “trust” AND text = “irrevocable “)
Risk
(topic IN [“4”, “16”, “9”, “14”, “1”, “3”, “11”] AND text = “risk”)
Risk Management Legislation
(text = “risk management” AND doc_type IN [“Act”, “Bill”, “Enrolled Bill”, “Law”, “Public Act”, “Statute”, “US Code”, “US Public Law”] AND jurisdiction = “US”)
Risk Management Publications
(text = “risk management” AND doc_type IN [“Discussion Paper”, “National Statistics”, “Policy Paper”, “Research”, “Research Publication”, “Whitepaper”, “Working Paper”] AND jurisdiction = “US”)
SEC ETFs Investor Alerts
(agency = “SEC” AND text = “investor alert” AND (text = “Exchange Traded Fund” OR text = “ETF”))
SEC ETFs Regulations
(agency = “SEC” AND text = “ETF” AND doc_type IN [“CFR”, “CFR Navigation”, “Circular”, “Consultation Paper”, “Emergency Rule”, “Executive Order”, “Interim Final Rule”, “Ordinance”, “Policy Statement”, “Proposed Rule”, “Prudential Regulation”, “Public Consultation”, “Regulatory Agenda Item”, “Rule”, “Standard”, “Standards”, “State Code”, “Statement of Policy”, “Unified Regulatory Agenda”])
Title Insurance Agent/Agency
(topic = “9” AND (text = “license” OR text = “licensing “) AND (text = “agent” OR text = “agency”))
Transactions Regulations
(text = “mortgage lending” AND text = “transactions” AND doc_type IN [“CFR”, “CFR Navigation”, “Circular”, “Consultation Paper”, “Emergency Rule”, “Executive Order”, “Interim Final Rule”, “Ordinance”, “Policy Statement”, “Proposed Rule”, “Prudential Regulation”, “Public Consultation”, “Regulatory Agenda Item”, “Rule”, “Standard”, “Standards”, “State Code”, “Statement of Policy”, “Unified Regulatory Agenda”] AND jurisdiction = “US”)
Vulnerable Person Abuse
(topic IN [“1”, “3”, “10”, “14”, “9”, “19”, “7”] AND (text = “abuse” OR text = “vulnerable”))
Vulnerable Person Abuse
(topic IN [“1”, “3”, “10”, “14”, “9”, “19”, “7”] AND (text = “abuse” OR text = “vulnerable”))
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