225 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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28 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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91 new Proposed and Final Rules were published in the past 7 days

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4075 new docs in pro.compliance.ai within the last 7 days

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NAVIGATION

Category (Document Type)

Category Type allows users to filter based on a particular or specified set of Document Types. Please note, the Document / Category Type in Compliance.ai’s Search API is sensitive to capitalization. Also, the all documents that are categorized as “Manual” will be premium content.

These are the category / document types currently supported by our APIs, along with the Meta-Category they fall under: (last updated 10/18/21)

Category ID Category / Document Type Meta Category Type Description Jurisdictions
2450 Act Legislation Document with legislation which has passed both chambers of Congress in identical form, been signed into law by the president, or passed over his veto, thus becoming law.
{BHS,BRA,BRB,CAN,CAN-NT,CAN-SK,CAN-YT,CHN,CYM,IM,IND,INT,IRL,JP,KNA,MYS,PAN,SCT,UK,UK-VGB,US-CA,US-DC,US-OH,US-VA,ZAF}
70 Administration Instrument Guidance Document issued by an agency to ensure that rules are correct, presented clearly and contain up-to-date references. {UK}
838 Administrative Letter Enforcements {UK,US-VA}
2134 Administrative Order Guidance {US-PA,US-VA}
151 Advice Agency Updates Document issued by an agency to assist in formulating regulations. {INT}
1934 Advisory Letter Guidance
{CAN-AB,LUX,US,US-GA,US-IN,US-LA,US-WA}
2497 Agency Update Agency Updates Documents published by an agency to notify all persons and entities that are regulated by it on matters that concern the agency’s administration.
{AUS,CAN,CAN-AB,CAN-NT,CH,CHN,CYM,DEU,EU,HKG,INT,ITA,JP,LUX,MYS,SGP,UK,US,US-AZ,US-CA,US-CT,US-DC,US-DE,US-IL,US-MA,US-ME,US-MI,US-MO,US-NC,US-NE,US-NY,US-OH,US-OR,US-PA,US-SC,US-TX,US-WA}
2121 Amendment Regulations {EU,IND,INT}
1800 Amicus Brief Guidance {US,US-TX}
2513 Announcement News Document issued by an agency or entity with a public declaration of something related to the industry or important for stakeholders.
{AUS-NSW,CAN,CAN-NT,CAN-ON,CHN,INT,JP,MYS,SGP,TUR,US,US-AR,US-CO,US-IL,US-LA,US-MS}
2458 Annual Report Reports Document with a comprehensive report on an agency or entity’s activities throughout the preceding year, intended to give interested people information about its activities and financial performance.
{AUS,CAN,CAN-AB,CAN-MB,CAN-NT,COL,DEU,EU,INT,LUX,SGP,UK,US,US-AL,US-IL,US-MD,US-NE,US-PA}
2266 Audit Reports Document about an independent examination of financial information of any entity.
{UK,US-MD,US-PA}
1857 Bill Legislation Document with a proposed legislation under consideration by a legislature.
{CAN,CAN-AB,CAN-BC,CAN-ON,CAN-QC,IM,SGP,UK,US,US-AK,US-AL,US-AR,US-AZ,US-CA,US-CO,US-CT,US-DC,US-DE,US-FL,US-GA,US-HI,US-IA,US-ID,US-IL,US-IN,US-KS,US-KY,US-LA,US-MA,US-MD,US-ME,US-MI,US-MN,US-MO,US-MS,US-MT,US-NC,US-ND,US-NE,US-NH,US-NJ,US-NM,US-NV,US-NY,US-OH,US-OK,US-OR,US-PA,US-RI,US-SC,US-SD,US-TN,US-TX,US-UT,US-VA,US-VT,US-WA,US-WI,US-WV,US-WY}
163 Bill Analysis Research & Papers Document that contains a summary of a bill written in layman’s terms. {US-FL}
2257 Blog News Document with an extract of information posted by an agency or entity in a blog section of its website.
{AUS,DEU,HKG,INT,NLD,UK,US}
87 BSA/AML Agency Updates The Bank Secrecy Act / Anti-Money Laundering rules (BSA/AML) requires U.S. financial institutions to assist the U.S. government to detect and prevent money laundering and fraud. {US}
2340 Bulletin News Document with issued by an agency or entity with a brief public notice issuing usually from an authoritative source
{CAN,CAN-AB,CAN-BC,CAN-MB,CAN-NL,CAN-NS,CAN-NT,CAN-SK,CAN-YT,EU,INT,NLD,SGP,UK,US,US-AK,US-AL,US-AR,US-AZ,US-CA,US-CO,US-CT,US-DC,US-DE,US-GA,US-IA,US-ID,US-IL,US-IN,US-KS,US-KY,US-LA,US-MA,US-MD,US-ME,US-MO,US-MS,US-NC,US-ND,US-NH,US-NJ,US-NV,US-NY,US-OK,US-OR,US-RI,US-SC,US-SD,US-TN,US-VT,US-WA,US-WI,US-WY}
887 Business Plan Agency Updates Document containing business goals, the methods on how these goals can be attained, and the time frame within which these goals need to be achieved. {CAN-NT,JP,UK}
2460 Cease and Desist Enforcements Document sent to an individual or entity to stop purportedly illegal activity and not to restart it.
{US,US-AL,US-AZ,US-CA,US-CO,US-FL,US-IL,US-KY,US-LA,US-MA,US-ME,US-MO,US-MS,US-ND,US-NE,US-SD,US-TN,US-TX,US-WA,US-WV}
77 CFR Regulations Document with the codification of the general and permanent rules and regulations published in the Federal Register by the executive departments and agencies of the federal government of the United States. {US}
61 CFR Navigation Regulations Document with the codification of the general and permanent rules and regulations published in the Federal Register by the executive departments and agencies of the federal government of the United States. {US}
2499 Checklist Guidance {US-MA,US-VA}
2139 Circular Guidance Document with a written statement of government policy that often provide information, guidance, rules, and background information on legislative or procedural matters.
{CAN,CAN-AB,CAN-NL,CH,COL,HKG,IND,JP,LUX,MYS,US,US-NY}
2477 Civil Money Penalty Enforcements Document related to a fine issued in civil court which penalizes a violator who profited from an illegal or unethical action.
{US,US-CT,US-IL,US-MD,US-MS,US-ND}
1866 Comment Letters & Comments Document with comments made by stakeholders to any proposed rule, guideline, regulation, etc.
{CAN,EU,INT,JP,UK,US,US-AZ,US-CT,US-NV,US-NY,US-WA}
2493 Company Filing Guidance
{US-DC,US-MD,US-PA,US-VA,US-WA}
2090 Complaint Enforcements Document issued by an agency, entity or individual that sets out the facts and legal reasons that they believe are sufficient to support a claim against the party or parties against whom the claim is brought that entitles them to a remedy.
{US,US-CA,US-CO,US-DC,US-ME,US-TX}
905 Conference Events Documents related to a conference held by an agency or entity, or the slides with the content of that conference. {CHN,UK}
2505 Consent Order Enforcements Document that confirms an agreement or settlement that resolves a dispute between two parties without admission of guilt or liability
{CAN-SK,US,US-AL,US-CA,US-CO,US-DC,US-FL,US-ID,US-IL,US-KY,US-LA,US-MA,US-MD,US-ME,US-MO,US-MS,US-ND,US-NE,US-NH,US-NY,US-PA,US-SD,US-TN,US-TX,US-WA,US-WI,US-WY}
2510 Consultation Regulations Document issued by an agency to start a discussion before making decision.
{CAN,CHN,EU,HKG,IND,INT,SGP,UK,US}
2096 Consultation Paper Regulations Document that is put out by the Government for public comment and feedback
{CAN,CAN-BC,EU,INT,MYS,SGP,UK}
178 Consumer Affairs Letters Letters & Comments {US}
1589 Consumer Alert Agency Updates Documents issued by an agency that are meant to make the public aware of a current scam or fraud being committed.
{CAN-BC,CAN-MB,US,US-CA,US-ID,US-KS,US-OH,US-WV}
2344 Corporate Document Agency Updates {AUS,UK}
24 Corporate Report Reports Document that contains a comprehensive report intended to give information to shareholders and other interested people about an entity’s activities and financial performance throughout the preceding year. {UK}
2065 Correspondence Letters & Comments Documents with letters to and from agencies and entities.
{CAN,CAN-NT,EU,JP,SGP,UK,US,US-CT}
97 Cybersecurity Agency Updates Documents related to a cybersecurity practices, technologies, or techniques. {US}
1603 Decision Notice Enforcements Document with a written notice of a decision by an agency regarding an entity or individual’s eligibility.
{AUS,SGP,UK,US-CT}
2111 Directive Regulations
{EU,INT,US,US-CT}
1940 Disciplinary Action Enforcements Document issued by an agency to inform a person or entity of a disciplinary action because they were unable to follow the policies or expectations set by the agency. {US,US-NE}
2099 Discussion Paper Research & Papers Document that set out initial views as well as technical details on a proposed policy or regulation seeking views on how best to implement it.
{CAN,CAN-NT,EU,INT,UK}
2299 Emergency Rule Regulations Document with rules promulgated due to an immediate danger to the public health, safety or welfare.
{US-CO,US-CT,US-DE,US-GA,US-NC,US-NY,US-TX,US-WA,US-WY}
2470 Enforcement Enforcements Documents related to legal disposition taken by an agency against a person or entity for violating a law or regulation that is under the purview of the agency.
{BHS,CAN,CAN-SK,CYM,INT,LUX,SGP,UK,US,US-AK,US-AZ,US-CA,US-CO,US-CT,US-DC,US-DE,US-FL,US-HI,US-IA,US-ID,US-IL,US-IN,US-KY,US-LA,US-MA,US-MD,US-ME,US-MI,US-MN,US-MO,US-MS,US-MT,US-NC,US-ND,US-NE,US-NH,US-NJ,US-NV,US-NY,US-OR,US-PA,US-RI,US-SC,US-SD,US-TN,US-TX,US-VT,US-WA,US-WI,US-WV,US-WY}
2451 Enforcement Notice Enforcements
{CAN,CAN-AB,CYM,IM,UK,US-DC,US-IL,US-ME,US-NH,US-TX}
2517 Enforcement Order Enforcements
{UK,US-AL,US-CA,US-CO,US-CT,US-DC,US-GA,US-ID,US-MD,US-ME,US-ND,US-NH,US-TN,US-WV}
2087 Enforcement Report Reports
{CAN,CAN-AB,EU,INT,UK,US,US-DC,US-MD,US-NJ}
147 Enforcement Reports Reports Document published by an agency containing summaries of its enforcement rulings. {CH}
142 Enrolled Bill Legislation Document with the final copy of a bill or joint resolution which has passed both houses of Congress in identical form. {US-OH}
2095 Event Events Documents describing the details of an event held by an agency.
{AUS-NSW,DEU,EU,LUX,UK,US,US-DC,US-OR,US-WA}
195 Examination Manual Guidance Document that contains procedures and guidance for examining entities regarding specific subject or issues. {US}
2491 Executive Order Regulations Document with a means of issuing federal directives in the United States, used by the president of the United States, that manages operations of the federal government.
{ARE,BHS,IM,JP,US-AL,US-AZ,US-CT,US-NY,US-PA}
476 Exemptive Letter Letters & Comments {US}
1654 Exemptive order Enforcements {US}
2313 Fact Sheet Agency Updates {US-IL,US-PA}
2498 FAQ Guidance Document issued by an entity with Frequently Asked Questions
{AUS-NSW,CAN,CAN-SK,EU,INT,JP,LUX,MYS,US,US-DC,US-DE,US-IL,US-KS,US-NJ,US-PA,US-WA}
1776 Feedback Statement Letters & Comments Document issued by an agency that responds to the views they received, within the scope of their regulatory responsibilities. {EU,SGP,UK}
2489 Final Decision Enforcements Document that confirms the agency’s final decisions that arise from proceedings by an agency to enforce its rules.
{CAN-SK,EU,INT,UK,US,US-CO,US-IA,US-ME,US-MI,US-NH}
1788 Finalised Guidance Guidance Document that sets out the actions that an agency believe entities should consider to comply with the law or regulations. {UK}
1510 Final Notice Enforcements {UK}
1983 Final Order Enforcements Document that confirms a court or agency’s final order.
{US,US-CA,US-CO,US-DC,US-FL,US-IL,US-KY,US-MA,US-MD,US-TN,US-TX,US-WA}
2108 Final Report Reports Document issued by an agency or entity summarizing the outcomes of a study, project or investigation.
{CAN,CAN-NL,CAN-NT,CAN-QC,CAN-YT,DEU,EU,INT,JP,SGP,UK,US}
273 Financial Institution Letter Guidance {US}
1854 Financial Sanction Enforcements {US,US-TX}
2472 Form Guidance Document published by an agency or entity with spaces in which to write or select, for a series of documents with similar contents.
{CAN-AB,CAN-SK,CYM,IND,INT,LUX,MYS,SGP,UK,US,US-DC,US-DE,US-GA,US-IL,US-KS,US-LA,US-MA,US-MD,US-NC,US-NJ,US-NY,US-PA,US-VA,US-WA}
2518 Guidance Guidance Documents published by agencies that help explain their programs and policies or communicate other important information to regulated entities and the public.
{BHS,CAN,CAN-AB,CAN-BC,CAN-NT,CHN,CYM,IM,IND,INT,LUX,MYS,SGP,UK,US,US-AZ,US-CT,US-DC,US-DE,US-GA,US-HI,US-IL,US-KS,US-KY,US-LA,US-MA,US-MD,US-NC,US-NY,US-PA,US-WA}
2142 Guide Guidance
{CAN,CAN-SK,IM,UK,US}
2290 Guideline Guidance Document issued by an agency that set outs a statement or plan by which to determine a course of action and to streamline particular processes.
{AUS,CAN,CAN-AB,CAN-BC,CAN-NL,CAN-NT,CAN-YT,EU,HKG,IND,INT,JP,MYS,SGP,US,US-AZ,US-DE,US-IL,US-NJ,US-NY,US-PA}
1000 Handbook Regulations Document issued by an agency that sets out the rules and guidance made by that agency.
{FRA,IND,UK,US}
1550 Impact Assessment Reports Document with a means of measuring the effectiveness of organizational activities and judging the significance of changes brought about by those activities.
{CAN-AB,CAN-QC,UK,US}
2446 Industry Guidance Guidance
{CYM,LUX,SGP,UK,US,US-MD,US-NY}
213 Industry Letter Guidance Document issued by and agency in connection with the proposal or adoption of particular regulations within an industry. {US-NY}
1901 Injunction Order Enforcements
{US,US-CA,US-KY,US-LA,US-ND}
2253 Instruction Guidance
{CAN,IND,US-MD}
152 Insurance Reports Reports Document containing general information on the insurance market in Switzerland; it also sets out balance sheet and profit and loss data for the industry as a whole. {CH}
2503 International Treaty Legislation Document that is a formal and binding written agreement entered into by actors in international law, usually sovereign states and international organizations {UK,US}
1671 Interpretive Letter Guidance Documents that provide general guidance on the agency staff’s views as to the application of particular rules under specific circumstance. {US-LA,US-WA}
1008 Interpretive Statement Guidance Document with a written expression of the opinion of an agency, entitled an interpretive statement by the agency head or its designee, as to the meaning of a statute or other provision of law, of a court decision, or of an agency order. {JP,US-WA}
2271 Investor Alert Agency Updates
{CAN-NL,CYM,EU,INT,US}
2102 Judgement Enforcements Document that confirms a court’s final judgment.
{US,US-CA,US-CO,US-KY,US-MA,US-TX}
2055 Law Legislation Document with a set of rules and regulations that are indispensable and must be followed because they are the product of the legislative process.
{ARE,KNA,US,US-NE}
2443 Lawmaking Legislation {US-FL}
2459 Legislative Debates Research & Papers {EU,UK}
2521 Letter Letters & Comments Document with a written or printed communication addressed to a person, agency or entity and usually transmitted by mail.
{CAN,CAN-BC,CAN-SK,EU,IND,INT,JP,SGP,UK,US,US-CT,US-MD,US-NY,US-TX}
1835 Letters to Credit Unions Letters & Comments {US}
1016 Mainstream News News Document with information from conventional newspapers, television and other news sources that most people in the industry know about and regard as reliable. {INT,US,US-MS}
2312 Manual Guidance Document issued by an agency that sets out the instructions and steps to fulfill a specific goal.
{CAN,HKG,JP,US,US-AR,US-AZ,US-CA,US-CO,US-CT,US-DC,US-GA,US-IL,US-IN,US-KS,US-KY,US-MA,US-MD,US-MN,US-MO,US-MS,US-NC,US-NJ,US-NY,US-OH,US-OK,US-OR,US-PA,US-SC,US-TN,US-TX,US-UT,US-VA,US-WA,US-WI,US-WV}
2029 Market Conduct Examination Report Enforcements Document containing the findings of examinations of licensed insurance companies that evaluate insurers’ compliance with the law with respect to rating, underwriting, and claim practices.
{US-AZ,US-DC,US-DE}
2468 Meeting Minutes Events Document with an official record of a meeting for its participants and a source of information for people who were unable to attend.
{CAN,DEU,EU,IND,INT,JP,UK,US-DC,US-DE,US-PA}
2441 Memorandum Letters & Comments
{CAN,IND,UK,US,US-AL,US-DC,US-IL,US-LA,US-MD,US-PA,US-SD}
1030 Memorandum of Understanding Agency Updates Document that states a nonbinding agreement between two or more agencies outlining the terms and details of an understanding, including each parties’ requirements and responsibilities. {LUX,UK,US}
1032 Monetary Penalty Enforcements Document related to a monetary payment ordered or imposed by a court or any other entity, whether through a judgment, order, settlement agreement, etc.
{UK,US-IL,US-LA}
140 Mortgagee Letter Guidance {US}
107 Mortgage Lending Agency Updates Documents referring to mortgage loan that is a type of secured loan where agencies can avail funds by providing someone asset as collateral to the lender. {US}
2492 News News Documents that comprise mainstream and industry-specific news updates that are relevant for consumers and regulated entities.
{ARG,AUS,AUS-NSW,CAN,CAN-AB,CAN-BC,CAN-MB,CAN-NB,CAN-NL,CAN-NS,CAN-NT,CAN-NU,CAN-ON,CAN-PE,CAN-QC,CAN-SK,CAN-YT,CH,CHN,COL,DEU,EAEU,EU,FRA,HKG,INT,ITA,JP,JP-KT,NLD,RUS,SAU,SGP,UK,US,US-AL,US-AR,US-AZ,US-CA,US-DC,US-DE,US-FL,US-GA,US-HI,US-ID,US-IL,US-KS,US-LA,US-MA,US-MD,US-MI,US-MN,US-MO,US-ND,US-NY,US-OH,US-OR,US-PA,US-SD,US-TN,US-TX,US-UT,US-VA,US-WA,US-WV}
2474 Newsletter News Document issued by an agency or entity containing news concerning of its activities that is sent to its members, customers, employees or other subscribers.
{AUS-NSW,CAN,CAN-AB,CAN-ON,INT,LUX,NLD,UK,US,US-AL,US-DC,US-DE,US-IL,US-KS,US-MA,US-NC,US-NE,US-PA,US-SD}
1881 No Action Letter Guidance Document with a letter written by the staff of an agency, requested by an entity subject to regulation by that agency, indicating that the staff will not recommend that the agency take legal action against the entity, should the entity engage in a course of action proposed by the entity through its request for a no-action letter. {US,US-WA}
2509 Notice Notices Documents that are published by an agency to notify the public on regulatory updates related to a law or an industry.
{CAN,CAN-AB,CAN-BC,CAN-NL,CAN-SK,CAN-YT,CYM,EU,IND,JP,MYS,UK,UK-VGB,US,US-AK,US-AL,US-AR,US-AZ,US-CA,US-CT,US-DC,US-DE,US-FL,US-HI,US-IA,US-MA,US-NC,US-NY,US-OK,US-PA,US-UT,US-WA,US-WV}
2527 Opinion Guidance Document issued by an agency on matters that are deemed of general interest to the bar or for general inquiries relating to a particular set of facts.
{CAN,EU,INT,US,US-TN,US-TX,US-WA}
193 Opinion Letter Guidance Document with a formal expression of a judgment or advice based on an expert’s special knowledge. {US-CA,US-NY}
1932 Order Enforcements Document outlining a determination made by a court without issuing a legal opinion.
{JP,US,US-CA,US-FL,US-IL,US-KY,US-MA,US-MO,US-NY,US-TN,US-TX,US-WA,US-WY}
1902 Ordinance Regulations Document with a law passed by a local political subdivision, such as a city, county, village, or town.
{CYM,JP,MYS,UK-VGB,US-GA}
1375 Policy Navigation Regulations {IND}
14 Policy Paper Research & Papers Document containing a research piece focusing on a specific policy issue that provides clear recommendations for policy makers. {UK}
2034 Policy Statement Regulations Document with a declaration of a government’s political activities, plans and intentions relating to a concrete cause or, at the assumption of office, an entire legislative session.
{CYM,IND,UK,UK-VGB,US,US-AZ,US-PA,US-WA}
11 Preliminary Report Reports Document issued by an agency or entity summarizing the preliminary outcomes of a study, project or investigation. {INT}
2525 Press Release News Document published by an agency with an official statement delivered to members of the news media for the purpose of providing information, an official statement, or making an announcement.
{AUS,AUS-NSW,BRA,CAN,CAN-BC,CAN-NS,CAN-NT,CAN-QC,CH,CHN,COL,CYM,DEU,EU,FRA,HKG,IDN,INT,ITA,JP,LUX,MEX,MYS,NLD,RUS,SGP,UK,US,US-AL,US-AZ,US-CA,US-CT,US-DC,US-DE,US-FL,US-GA,US-IA,US-IN,US-KS,US-LA,US-MA,US-MD,US-ME,US-MI,US-MS,US-NC,US-NE,US-NH,US-NJ,US-NM,US-NY,US-OH,US-PA,US-TX,ZAF}
1950 Proposed Rule Regulations Document that announces and explains the agency’s plan to address a problem or accomplish a goal.
{CAN,CAN-QC,EU,INT,US,US-AK,US-AZ,US-CA,US-CNMI,US-CO,US-CT,US-DE,US-FL,US-GA,US-HI,US-IA,US-IL,US-MI,US-MN,US-NJ,US-NV,US-NY,US-OH,US-TX,US-VT,US-WA,US-WY}
75 Prudential Regulation Regulations Document with a type of financial regulation that requires financial firms to control risks and hold adequate capital as defined by capital requirements, liquidity requirements, by the imposition of concentration risk limits, and by related reporting and public disclosure requirements and supervisory controls and processes. {UK}
138 Public Act Legislation Document with an act or statute affecting matters of public concern
{US-IL,US-ME,US-MI}
2440 Publication Agency Updates Document issued by an agency, entity or organization to communicate relevant information to the public.
{CAN,CAN-AB,EU,INT,JP,UK,US,US-IL,US-KY,US-MD,US-PA}
200 Public Law Legislation {US-GU}
2453 Rate Filing Guidance
{US-CT,US-DC,US-DE,US-NC,US-PA,US-VA}
2315 Recommendation Guidance {EU,INT,US-DC}
688 Regulation Legislation {INT}
2103 Regulatory Agenda Agency Updates
{UK,US,US-AZ,US-DC,US-NY,US-PA}
2259 Regulatory Alert Agency Updates Documents published in the Federal Register and open for comment that may significantly affect small businesses.
{CAN-AB,HKG,US,US-IL}
102 Regulatory Digest Agency Updates Document issued by the Prudential Regulation Authority that highlights key regulatory news and publications delivered for the month. {UK}
2054 Regulatory Order Regulations
{IND,US-AK,US-CT}
2465 Report Reports Document issued by an agency or entity that present data and information in an organized format about the agency activities or findings that are relevant for the public and regulated entities.
{ARG,AUS,CAN,CAN-AB,CAN-BC,CAN-NT,CAN-ON,CAN-SK,CAN-YT,CH,COL,DEU,EU,IM,INT,JP,LUX,NLD,SGP,UK,US,US-AZ,US-CT,US-DC,US-DE,US-GA,US-IL,US-MD,US-NC,US-NJ,US-PA}
109 Requirement Notice Notices Document issued by the Financial Conduct Authority (FCA) requiring a firm to carry out a “skilled person review”. {UK}
2077 Research Publication Research & Papers Document issued by an agency, entity or organization to communicate relevant research findings.
{AUS,CAN,EU,IND,INT,JP,LUX,SGP,UK}
1612 Risk Alert Agency Updates {CH,US}
2520 Rule Regulations Document with government statements that carry out or explain law or policy, or describe an agency’s organization or procedures.
{BHS,CAN,CAN-NL,CAN-QC,CAN-SK,CAN-YT,CHN,CYM,DEU,EU,IM,IND,INT,IRL,JP,KNA,LUX,MYS,UK-VGB,US,US-AK,US-AL,US-AZ,US-CA,US-CO,US-CT,US-DC,US-DE,US-FL,US-GA,US-IA,US-KS,US-LA,US-MA,US-MD,US-MI,US-MS,US-NC,US-NJ,US-NV,US-NY,US-OR,US-PA,US-PR,US-TX,US-VT,US-WA,US-WY}
2307 Rulemaking Regulations
{IND,US,US-AZ,US-GA,US-NC,US-NJ,US-NY,US-OR}
2421 Ruling Guidance {US-AL}
209 Servicing Guide Guidance Document issued by an entity that guide the servicing policies. {US}
2500 Settlement Agreement Enforcements Document that confirms a contractual agreement between parties to actual or potential litigation by which each party agrees to a resolution of the underlying dispute.
{UK,US,US-AL,US-CA,US-CO,US-DC,US-IA,US-IL,US-KY,US-MA,US-MD,US-MS,US-ND,US-NY,US-SD,US-TX,US-WV}
1918 Speech Agency Updates Document presenting a transcription or summary of a speech given by an official or relevant person in the industry.
{AUS,CAN,CAN-NT,DEU,EU,INT,NLD,RUS,SGP,UK,US}
56 SR Letter Guidance Document that address significant policy and procedural matters related to the Federal Reserve System’s supervisory responsibilities. {US}
2439 Standard Regulations
{CAN-YT,EU,INT,LUX,UK,US,US-IL}
65 State Code Regulations Document with part or the entire official compilation and codification of the general and permanent local statutes of each one of the States of United States.
{US,US-AL,US-AZ,US-CA,US-CO,US-CT,US-DC,US-DE,US-FL,US-IA,US-ID,US-IL,US-IN,US-KY,US-MA,US-ME,US-MI,US-MN,US-MO,US-MT,US-NC,US-ND,US-NE,US-NH,US-NV,US-NY,US-OH,US-OK,US-OR,US-PA,US-SC,US-SD,US-TN,US-TX,US-UT,US-VA,US-WA,US-WI}
2501 Statement Agency Updates Document published by an agency or entity to communicate a position or provide explanations to current situations.
{AUS,CAN,CAN-BC,EU,FRA,INT,JP,SGP,UK,US,US-FL,US-IL,US-NY,US-PA,US-VA}
2264 Statement of Policy Regulations Document with a declaration of a government’s political activities, plans and intentions relating to a concrete cause or, at the assumption of office, an entire legislative session.
{EU,SGP,UK,US}
2448 Statistical Data Set Agency Updates Documents that provide access to data set of statistical information. {UK,US-CT}
2462 Statistics Reports
{AUS,CAN-AB,DEU,EU,LUX,UK,US-CT,US-DC}
2495 Statute Legislation Document with a formal written enactment of a legislative authority that governs the legal entities of a city, state, or country by way of consent.
{UK-VGB,US,US-AL,US-CA,US-CT,US-DC,US-DE,US-GA,US-IL,US-IN,US-MA,US-MI,US-MN,US-MO,US-NC,US-NY,US-OH,US-OR,US-PA,US-RI,US-TX}
1164 Supervisory Guidance Guidance Document that outlines the agencies’ supervisory expectations, priorities, and general views regarding appropriate practices.
{CAN,DEU,US,US-IN,US-LA}
1503 Supervisory Letter Guidance Document that address significant policy and procedural matters related to the Federal Reserve System’s supervisory responsibilities. {US}
1580 Supervisory Report Reports {FRA,UK}
69 Supervisory Statement Guidance Documents that are aimed at facilitating firm and supervisory judgement in determining whether they meet rules expectations. {UK}
1878 Supporting Document Agency Updates {INT,US-NJ}
2480 Termination Order Enforcements
{US,US-AL,US-IL,US-MD,US-MS}
2119 Testimony Agency Updates Document presenting a transcription or summary of a expert testimony presented to Congress, or an agency, on public policy issues. {US,US-DC}
2454 Transparency Reports Reports Document published annually by FINMA that aims to increase transparency of occupational pension schemes and to positively influence the conduct of private insurers. {CH,UK}
50 US Code Regulations Document with part or the entire official compilation and codification of the general and permanent federal statutes of the United States. {US}
71 US Public Law Legislation Document with a public bill or joint resolution that has passed both chambers and been enacted into law. {US}
43 Waivers And CRR Notice Notices Documents issued by the FCA that are variations to Handbook rules and allows regulated entities to comply with a rule amended to fit their circumstances. {UK}
2083 Warning Notice Notices Document published by the FCA when they propose to take action. {EU,INT,LUX}
1970 Whitepaper Research & Papers Document containing an authoritative report or guide that informs stakeholders concisely about a complex issue and presents the issuing body’s philosophy on the matter. {LUX,US}
1176 Working Paper Research & Papers Document published by an agency or entity that shows a pre-publication versions of Papers, reports, research, etc. {EU,INT,ITA,UK}
X