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

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FINRA enforcements decreased 14% over the past 30 days

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SEC issued enforcements: $225,742,880.78 over the past 30 days

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117 Final Rules go into effect in the next 30 days

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70 Mortgage Lending docs published in the last 7 days

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1836 docs with 3519 extracted obligations from the last 7 days

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

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5599 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:

Category Type Meta Category Type Jurisdictions Description
Act Legislation {US-VA,US-CA,MYS,JP,CAN-YT,IRL,BRA,UK,CAN-SK,BHS,US-DC,UK-VGB,BRB,PAN,CAN,IM}
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.
Administration Instrument Agency Updates {UK}
Document issued by an agency to ensure that rules are correct, presented clearly and contain up-to-date references.
Administration Notice {INT,IM,CAN,PAN}
Administrative Letter Enforcements {US-VA,UK}
Administrative Order Enforcements {US-NY,US-WI,US-CA,US-AZ,US-IA,US-VT,US-CT}
Document issued by an agency such directing an individual, business, or other entity to take corrective action or refrain from an activity.
Advice Agency Updates {INT}
Document issued by an agency to assist in formulating regulations.
Advisory Letter Guidance {CAN-AB,US-LA,LUX,US,US-GA,US-IN}
Advisory Visit Agency Updates {UK}
Document published by an agency informing that it has carried out an advisory visit, that are a one day informal visit to look at how an organization handles personal information.
Agency Update Agency Updates {US-WA,US-ME,US-NY,US-PA,US-AZ,INT,SGP,MYS,US-OR,JP,US,ITA,US-OH,US-CA,CAN,UK,US-CT,US-MI,CYM,US-NE}
Documents published by an agency to notify all persons and entities that are regulated by it on matters that concern the agency’s administration.
Amendment Order Enforcements {US-IL}
Announcement News {INT,SGP,TUR,JP,CAN-ON,US-MS,US,US-IL,CAN}
Document issued by an agency or entity with a public declaration of something related to the industry or important for stakeholders.
Annual Competition Report Reports {UK}
Document issued by the Prudential Regulations Authority with an annual report setting out how it is delivering against its secondary competition objective and the steps it is taking to drive more competition and innovation in financial services markets and to help ensure that the right incentives exist for new banks to enter the market.
Annual Report Reports {CAN-AB,CAN-MB,INT,SGP,DEU,LUX,CAN,UK,EU,US-NE}
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.
Approach Document Agency Updates {UK}
Document issued by an Agency that sets out how to pursue specific agency objectives.
Audit Agency Updates {UK}
Document about an independent examination of financial information of any entity.
Bill Legislation {US-VA,US-PA,US-TN,US-ID,US-NV,CAN-ON,US-NJ,US-NH,US-NY,US-HI,US-VT,US-NM,US-NC,US-ND,CAN-AB,US-LA,SGP,US-SD,US-DC,US-DE,US-SC,US-CT,US-WA,US-KS,US-WI,US-OR,US-KY,US-CO,CAN-QC,US-OK,US-WV,US-WY,US-UT,US-IN,US-IL,US-AK,US-TX,US-ME,US-MD,US-MA,US-AL,US-MO,US-MN,US-IA,US,US-GA,US-AZ,US-OH,US-MT,US-MS,US-FL,US-RI,US-AR,CAN}
Document with a proposed legislation under consideration by a legislature.
Bill Analysis Agency Updates {US-FL}
Document that contains a summary of a bill written in layman’s terms.
Blog News {INT,AUS,US,UK}
Document with an extract of information posted by an agency or entity in a blog section of its website.
BSA/AML Agency Updates {US}
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.
Bulletin News {CAN-MB,US-NV,US-WY,US-NH,CAN,US-VT,CAN-AB,US-LA,US-AZ,CAN-YT,NLD,US-SD,US-SC,US-WA,US-WI,US-OR,US-KY,US-ME,US-OK,US-ID,EU,CAN-NS,US-IN,US-AK,US-CO,US-MD,US-MA,US-AL,INT,US-CA,US-IA,US,US-GA,CAN-BC,US-MS,UK,US-RI,US-AR}
Document with issued by an agency or entity with a brief public notice issuing usually from an authoritative source
Business Plan Agency Updates {UK}
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.
Calls for Input Letters & Comments {UK}
Cancellation Notice Notices {UK}
Document with a written notice of the forthcoming cancellation of a contract or agreement.
Cease and Desist Enforcements {US-MA,US-MO,US-KY,US-CA,US,US-TX,US-AZ,US-MS,US-ND,US,US-MA}
Document sent to an individual or entity to stop purportedly illegal activity and not to restart it.
CFR Regulations {US}
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.
CFR Navigation Regulations {US}
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.
Circular Regulations {CAN-AB,CH,MYS,US,CAN,HKG,US-NY}
Document with a written statement of government policy that often provide information, guidance, rules, and background information on legislative or procedural matters.
Civil Money Penalty Enforcements {US-MS,US-ND,US}
Document related to a fine issued in civil court which penalizes a violator who profited from an illegal or unethical action.
Closed Consultation Agency Updates {SGP,UK}
Document that was issued by an agency to start a discussion before making decision but that is now closed to more opinions.
Comment Letters & Comments {US-WA,US-NY,JP,US-NV,US,CAN,INT,UK,US-CO,US-CA}
Document with comments made by stakeholders to any proposed rule, guideline, regulation, etc.
Conference Events {UK,CHN}
Documents related to a conference held by an agency or entity, or the slides with the content of that conference.
Consent Agreement Enforcements {US-MA}
Consent Order Enforcements {US-WA,US-NY,US-MA,US-WI,US-KY,US-CA,US,US-TX,US-MO,US-MS,US-ND,CAN-SK,US-WY,US-FL,US-IL}
Document that confirms an agreement or settlement that resolves a dispute between two parties without admission of guilt or liability
Consultation Agency Updates {INT,UK,CHN}
Document issued by an agency to start a discussion before making decision.
Consultation Outcome Agency Updates {UK}
Document issued by an agency that sets out the conclusions of a consultation.
Consultation Paper Regulations {INT,SGP,MYS,CAN,CAN-BC,UK}
Document that is put out by the Government for public comment and feedback
Consultation Report Reports {INT,CAN,UK}
Document published periodically to solicit the views and comments from the stakeholders’ community.
Consultation Response Agency Updates {UK}
Document issued by an agency answering or commenting the opinions given in consultation.
Consultative Document Agency Updates {INT,SGP}
Document issued by an agency answering or commenting on the opinions given in consultation.
Consumer Affairs Letters Letters & Comments {US}
Consumer Alert Agency Updates {CAN-MB,US-KS,CAN-BC,US-WV,US-CA,US,US-OH,US-ID}
Documents issued by an agency that are meant to make the public aware of a current scam or fraud being committed.
Consumer Financial Protection Update Agency Updates {US}
Documents issued by the Consumer Financial Protection Bureau
Corporate Document Agency Updates {UK}
Documents of an entity filed with the relevant agency and other internal documents of that entity.
Corporate Report Reports {UK}
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.
Correspondence Letters & Comments {US,UK}
Documents with letters to and from agencies and entities.
Cybersecurity Agency Updates {US}
Documents related to a cybersecurity practices, technologies, or techniques.
Decision Enforcements {INT,US-IA,UK,CAN-SKMUS}
Document that confirms the agency’s decisions that arise from proceedings by an agency to enforce its rules.
Decision Notice Notices {SGP,AUS,UK}
Document with a written notice of a decision by an agency regarding an entity or individual’s eligibility.
Disciplinary Action Enforcements {US}
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.
Discussion Paper Research & Papers {INT,CAN,UK}
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.
Emergency Rule Regulations {US-TX,US-CO,US-NY,US-GA,US-WY,US-CT}
Document with rules promulgated due to an immediate danger to the public health, safety or welfare.
Enforcement Enforcements {US-NY,US-PA,US-TN,US-ID,US-NV,US-TX,US-NH,CAN,US-VT,US-NC,US-ND,US-NE,US-DC,US-DE,US-FL,US-WA,US-WI,US-OR,US-KY,US-CO,US-MI,US-WV,US-IN,US-IL,US-AK,US-ME,US-MD,US-MA,US-MO,US-MN,US-CA,US,US-AZ,US-MT,US-MS,CYM,US-RI,US-CT,US-HI,UK}
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.
Enforcement reports Reports {CH}
Document published by an agency containing summaries of its enforcement rulings.
Enrolled Bill Legislation {US-OH}
Document with the final copy of a bill or joint resolution which has passed both houses of Congress in identical form.
Event Events {EU,LUX,UK,US}
Documents describing the details of an event held by an agency.
Examination Manual Guidance {US}
Document that contains procedures and guidance for examining entities regarding specific subject or issues.
Executive Order Regulations {US-AZ,BHS,US-NY}
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.
Exemptive Order Enforcements {US}
FAQ Agency Updates {INT,MYS,JP,US,CAN-SK}
Document issued by an entity with Frequently Asked Questions
Feedback Statement Letters & Comments {UK}
Document issued by an agency that responds to the views they received, within the scope of their regulatory responsibilities.
Final Decision Enforcements {UK,US-MI}
Document that confirms the agency’s final decisions that arise from proceedings by an agency to enforce its rules.
Finalised Guidance Guidance {UK}
Document that sets out the actions that an agency believe entities should consider to comply with the law or regulations.
Final Judgement Enforcements {US-CA}
Document that confirms the final decision of a court regarding the rights and liabilities of parties in a legal action or proceeding.
Final Notice Enforcements {UK}
Document issued by the agency as a final warning that if an obligation is not met by a specific date legal action will be taken
Final Order Enforcements {US-WA,US-TN,US-KY,US-CA,US,US-TX,US-FL}
Document that confirms a court or agency’s final order.
Final Report Reports {CAN-NL,INT,SGP,JP,DEU,CAN-YT,CAN-QC,US,UK,EU,CAN}
Document issued by an agency or entity summarizing the outcomes of a study, project or investigation.
Financial Institution Letter Guidance {US}
Financial Report Reports {CAN-AB,JP,DEU,US,CAN,UK,EU}
Document containing formal records of the financial activities and position of an agency or entity.
Financial Sanction Enforcements {US}
Financial Stability Agency Updates {UK}
Document published periodically that review the nature,
magnitude and implications of risks on the macroeconomic environment, financial institutions, markets and infrastructure.
Fine Order Enforcements {US-IL}
FOI Release Agency Updates {UK}
Document issued by an agency in response to a freedom of information request.
Form Agency Updates {CAN-AB,US-LA,US-NY,LUX,SGP,MYS,US-GA,UK,CAN-SK}
Document published by an agency or entity with spaces in which to write or select, for a series of documents with similar contents.
Guidance Guidance {CAN-AB,US-NY,CAN-BC,INT,SGP,MYS,US-KY,US,US-GA,LUX,CAN,UK}
Documents published by agencies that help explain their programs and policies or communicate other important information to regulated entities and the public.
Guidance Consultation Guidance {UK}
Document issued by an agency to start a discussion about a guidance document before making decision.
Guidance Notice Guidance {CAN-BC,BHS,CHN}
Guideline Guidance {CAN-AB,CAN-NL,INT,SGP,MYS,JP,US,CAN-BC,AUS,CAN-YT,EU,HKG,CAN}
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.
Handbook Guidance {FRA,US,UK}
Document issued by an agency that sets out the rules and guidance made by that agency.
Impact Assessment Reports {CAN-AB,CAN-QC,UK}
Document with a means of measuring the effectiveness of organizational activities and judging the significance of changes brought about by those activities.
Incoming Letter Letters & Comments {US}
Independent Report Reports {UK}
Documents that present an independent analysis of data and information in an organized format about an agency activities or findings that are relevant for the public and regulated entities.
Industry Guidance Guidance {LUX,US-NY,US,UK,CYM}
Industry Letter Guidance {US-NY}
Document issued by and agency in connection with the proposal or adoption of particular regulations within an industry.
Inflation Report Reports {UK}
Document that sets out the detailed economic analysis and inflation projections upon which the bank’s Monetary Policy Committee bases its interest rate decisions and presents an assessment of the prospects for U.K. inflation over the following two years.
Injunction Order Enforcements {US-KY,US}
Insurance reports Reports {CH}
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.
Inter-Agency Agreement Agency Updates {US-NY}
Document, generally between government agencies and departments, that defines cooperative work between them.
Interim Final Rule Regulations {US}
Internal Document Agency Updates {US}
Document is used to support the processes of an agency.
International Treaty Agency Updates {UK}
Document that is a formal and binding written agreement entered into by actors in international law, usually sovereign states and international organizations
Interpretive Letter Letters & Comments {US-WA}
Documents that provide general guidance on the agency staff’s views as to the application of particular rules under specific circumstance.
Interpretive Statement Guidance {US-WA,JP}
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.
Investor Alert Agency Updates {INT,CYM,US}
Judgement Enforcements {US-CA,US}
Document that confirms a court’s final judgment.
Law Legislation {KNA,US,US-NE}
Document with a set of rules and regulations that are indispensable and must be followed because they are the product of the legislative process.
Letter Letters & Comments {INT,JP,US,CAN-BC,CAN,UK}
Document with a written or printed communication addressed to a person, agency or entity and usually transmitted by mail.
Letters to Credit Unions Letters & Comments {US}
Letters to Federal Credit Unions Letters & Comments {US}
Documents that provide guidance on specific policies and procedures, compliance, governance, and other timely issues that affect only credit unions with a federal charter.
Letter to Federal Credit Unions Letters & Comments {US}
Mainstream News News {INT,US-MS,US}
Document with information from conventional newspapers, television and other news sources that most people in the industry know about and regard as reliable.
Manual Guidance {US-VA,US-PA,US-TN,JP,US-TX,US-NY,US-NC,US-SC,US-WA,US-KS,US-WI,US-OR,US-KY,US-OH,US-OK,US-WV,US-UT,US-IN,US-IL,US-NJ,US-CO,US-MD,US-AR,US-MA,US-MO,US-MN,US-CA,US,US-GA,US-AZ,US-MS,US-CT}
Document issued by an agency that sets out the instructions and steps to fulfill a specific goal.
Market Conduct Examination Report Reports {US-DE,US-AZ}
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.
Media Advisory News {CAN-BC,SGP,US-NY,CAN,CYM}
Media Release News {INT,SGP,CHN,ZAF,AUS,CAN-NS,HKG}
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.
Media Schedule Events {US}
Meeting Minutes Events {UK}
Document with an official record of a meeting for its participants and a source of information for people who were unable to attend.
Memorandum Agency Updates {US-LA,UK,CAN,US,US-SD}
Memorandum of Understanding Agency Updates {UK}
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.
Monetary Penalty Enforcements {UK}
Document related to a monetary payment ordered or imposed by a court or any other entity, whether through a judgment, order, settlement agreement, etc.
Monetary Policy Committee Agency Updates {UK}
Documents that refers to the actions undertaken by a nation’s central bank to control money supply to achieve macroeconomic goals that promote sustainable economic growth.
Mortgagee Letter Letters & Comments {US}
Mortgage Lending Agency Updates {US}
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.
National Statistics Research & Papers {UK}
Document that present analyses of public spending against budgeting and expenditure on services frameworks.
News News {US-VA,CAN-MB,JP-KT,JP,CAN-ON,US-TX,US-NY,CAN,COL,US-ND,RUS,CAN-AB,SGP,CAN-YT,NLD,US-DE,US-FL,US-WA,FRA,CH,US-KS,CAN-NB,CHN,CAN-QC,AUS,US-ID,EU,CAN-NU,US-UT,CAN-NS,US-IL,US-MA,US-AL,CAN-BC,US-MN,US-CA,US,ITA,US-GA,US-MO,US-OH,SAU,UK,ARG,US-AR,INT,US-HI}
Documents that comprise mainstream and industry-specific news updates that are relevant for consumers and regulated entities.
Newsletter News {CAN-AB,INT,CAN-ON,LUX,NLD,US-SD,CAN,US-NE}
Document issued by an agency or entity containing news concerning of its activities that is sent to its members, customers, employees or other subscribers.
News Release News {CAN-AB,CAN-NL,CAN-BC,US,US-MD,CAN-PE,CAN,UK,CAN-SK,US-SD,CHN}
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.
No Action Letter Letters & Comments {US-WA,US}
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.
Note Agency Updates {AUS,UK}
Documents with information for entities or persons.
Notice Notices {US-AK,CAN-AB,US-NY,US-PA,US-WA,CYM,CAN-BC,US-CA,JP,US,US-AZ,CAN,UK,CAN-SK,EU,US-CT,UK-VGB,US-FL,US-HI,PAN,INT,IM,US}
Documents that are published by an agency to notify the public on regulatory updates related to a law or an industry.
Notice of Intent Enforcements {US}
Document outlining the understanding between two or more parties which understanding they intend to formalize in a legally binding agreement.
Official Statistics Agency Updates {CAN-AB,LUX,DEU,UK}
Op-ed Agency Updates {CAN-AB,US-NY,US,CAN}
Document typically published by a newspaper or magazine which expresses the opinion of an author usually not affiliated with the publication’s editorial board.
Open Consultation Agency Updates {SGP,UK}
Document that was issued by an agency to start a discussion before making decision and that is open to comments.
Opinion Agency Updates {EU,INT,CAN,US-WA}
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.
Opinion Letter Guidance {US-NY,US-CA}
Document with a formal expression of a judgment or advice based on an expert’s special knowledge.
Order Enforcements {US-MA,US-MO,US-CA,US-KY,US,US-MS,US-FL,US-WY,US-ND,US-IL}
Document outlining a determination made by a court without issuing a legal opinion.
Orders Accepting Offers of Settlement Enforcements {US}
Ordinance Regulations {UK-VGB,MYS,JP}
Document with a law passed by a local political subdivision, such as a city, county, village, or town.
Overview Report Agency Updates
{SGP,DEU,CAN-YT,AUS,CAN,UK,CAN-SK}
Policy and Guidance Guidance {UK}
Document issued by the agency with reference materials, and answers to technical questions relating to the agency
Policy Paper Research & Papers {UK}
Document containing a research piece focusing on a specific policy issue that provides clear recommendations for policy makers.
Policy Statement Regulations {US-WA,UK-VGB,US,UK}
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.
PPI Corporate Document Agency Updates {UK}
Documents related to payment protection insurance that is a kind of coverage that pays out a sum of money to help the consumer to cover monthly repayments on mortgages, loans, credit/store cards, or catalog payments if unable to work.
PRA Regulatory Digest Agency Updates {UK}
Document issued by the Prudential Regulation Authority that highlights key regulatory news and publications delivered for the month.
Preliminary Report Reports {INT}
Document issued by an agency or entity summarizing the preliminary outcomes of a study, project or investigation.
Presidential Document Agency Updates {US}
Presidential documents include Executive Orders and proclamations, as well as other documents such as determinations, letters, memorandums, and reorganization plans issued by the President of the United States of America.
Press Release News {US-NY,US-PA,LUX,JP,DEU,IDN,CAN,US-NM,US-NC,US-NE,US-LA,SGP,MYS,NLD,HKG,US-FL,FRA,CH,US-OH,US-IA,EU,US-TX,US-ME,CAN-QC,INT,US-CA,US,ITA,US-GA,UK,RUS,MEX,BRA}
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.
Principles Agency Updates {INT}
Documents explaining a non‐binding set of best practice guidelines governing a specific agency or industry.
Prohibition from Banking Enforcements {US}
Document related to a severe type of enforcement action issued when an individual affiliated with a bank violates a law, C&D, or condition imposed in writing or engages in unsafe or unsound banking practices.
Prohibition Order Enforcements {US}
Promotional Agency Updates {UK}
Document published by an agency or company relating to the publicizing of a product, organization, or venture so as to increase sales or public awareness.
Proposal Agency Updates {EU,SGP,INT}
Document that announces and explains the agency’s plan to address a problem or accomplish a goal.
Proposed Rule Regulations {US-AK,US-WA,US-CO,US-NY,US-OH,US-CA,US-NV,US,US-TX,US-AZ,US-IA,US-CNMI,US-HI,US-VT,US-MN,US-WY,US-GA,US-MI,US-DE,US-FL,US-IL}
Document that announces and explains the agency’s plan to address a problem or accomplish a goal.
Prudential Regulation Regulations {UK}
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.
Public Act Legislation {US-ME,US-MI,US-IL}
Document with an act or statute affecting matters of public concern
Publication Agency Updates {CAN-AB,INT,JP,US-KY,US,CAN,UK}
Document issued by an agency, entity or organization to communicate relevant information to the public.
Public Consultation Regulations {INT}
Document related to a regulatory process by which the public’s input on matters affecting them is sought.
Quick Compliance Guides {US}
Reference Agency Updates {INT}
Refusal Order Enforcements {US-IL}
Regulatory Agenda Item Regulations {US,UK}
Document issued by an agency with a report describing regulations currently under development or recently completed.
Regulatory Alert Agency Updates {US}
Documents published in the Federal Register and open for comment that may significantly affect small businesses.
Regulatory Digest Agency Updates {UK}
Document issued by the Prudential Regulation Authority that highlights key regulatory news and publications delivered for the month.
Regulatory Statement Agency Updates {INT}
Documents issued by an agency about its regulatory framework.
Report Reports {CAN-AB,US-AZ,CAN-BC,LUX,JP,CAN-ON,INT,US,UK,EU,CAN}
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.
Requirement Notice Notices {UK}
Document issued by the Financial Conduct Authority (FCA) requiring a firm to carry out a “skilled person review”.
Research Research & Papers {EU,LUX,AUS,UK}
Documents published by an agency, entity or organization with an aim to provide a systematic investigation into and study of materials and sources in order to establish facts and reach new conclusions.
Research Publication Research & Papers {INT}
Document issued by an agency, entity or organization to communicate relevant research findings.
Response Letters & Comments {EU,SGP,JP,CAN,UK}
Revocation Order Enforcements
{US-WI,US-CA,US-MS,US-FL,UK,US-ND,US-IL}
Risk Alert Agency Updates {US}
Document alerting about risk impacting a industry or activity.
Rule Regulations {US-NY,US-PA,JP,DEU,US-NJ,US-MI,US-PR,UK-VGB,US-LA,MYS,CAN-YT,US-DE,US-WA,CAN-NL,US-KS,US-NV,CHN,KNA,CAN-QC,US-IA,IRL,CAN-SK,US-WY,US-VT,US-AK,US-TX,US-MA,INT,US-CA,US,US-GA,US-MS,BHS,CAN}
Document with government statements that carry out or explain law or policy, or describe an agency’s organization or procedures.
Seminar Events {UK}
Documents related to a seminar held by an agency or entity, or the slides with the content of that conference.
Servicing Guide Guidance {US}
Document issued by an entity that guide the servicing policies.
Settlement Agreement Enforcements {US-NY,US-MA,US-KY,US-CA,US,US-IA,US-MS,UK,US-ND,US-IL}
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.
Speech Agency Updates {INT,SGP,US,AUS,CAN,UK,RUS,NLD}
Document presenting a transcription or summary of a speech given by an official or relevant person in the industry.
Sponsor Notice Agency Updates {UK}
Document issued as a part of the sponsor supervisory process of the FCPA.
SR Letter Letters & Comments {US}
Document that address significant policy and procedural matters related to the Federal Reserve System’s supervisory responsibilities.
Standard Regulations {INT}
Standards Regulations {INT}
Document issued by agencies or entities with a common set of principles, standards, and procedures that define the basis of policies and practices.
State Code Regulations {US-VA,US-PA,US-TN,US-NV,US-TX,US-NH,US-NY,US,US-NC,US-ND,US-NE,US-SD,US-DC,US-DE,US-FL,US-WA,US-WI,US-OR,US-KY,US-ME,US-OH,US-IA,US-ID,US-UT,US-IN,US-IL,US-CO,US-MA,US-AL,US-MO,US-MN,US-CA,US-OK,US-MI,US-AZ,US-MT,US-SC,US-CT}
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.
State Code Navigation
{US-VA,US-PA,US-TN,US-NV,US-TX,US-NH,US-NY,US,US-NC,US-ND,US-NE,US-SD,US-DC,US-DE,US-FL,US-WA,US-WI,US-OR,US-KY,US-ME,US-OH,US-OK,US-ID,US-UT,US-IN,US-IL,US-CO,US-MA,US-MO,US-MN,US-CA,US-IA,US-MI,US-AZ,US-MT,US-SC,US-CT}
Statement Agency Updates {FRA,US-NY,INT,SGP,JP,US,CAN-BC,CAN,UK}
Document published by an agency or entity to communicate a position or provide explanations to current situations.
Statement of Policy Regulations {UK}
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.
Statistical Data Set Agency Updates {UK}
Documents that provide access to data set of statistical information.
Statute Legislation {US-GA,US-NY,US-PA,US-MA,US-AL,US-MO,US-MN,US-CA,US-MI,US-DE,US-TX,US-OH,US,US-CT,US-IN,US-IL}
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.
Statute Navigation
{US-GA,US-NY,US-PA,US-MA,US-AL,US-MO,US-MN,US-CA,US-MI,US-IN,US-TX,US-OH,US,US-CT,US-DE,US-IL}
Statutory Guidance Guidance {UK,CAN-SK}
Document issued by an agency that sets out what entities or individuals must do to comply with the law.
Summary of Conclusions Agency Updates {INT,UK}
Supervisory Guidance Guidance {US-LA,US-IN,US,DEU}
Document that outlines the agencies’ supervisory expectations, priorities, and general views regarding appropriate practices.
Supervisory Letter Letters & Comments {US}
Document that address significant policy and procedural matters related to the Federal Reserve System’s supervisory responsibilities.
Supervisory Notice Notices {UK}
Document with a notice given by the appropriate regulator in accordance with the Financial Services and Markets Act 2000.
Supervisory Policy Manual Guidance {HKG}
Supervisory reports Reports {CH}
Document that contains extensive qualitative and quantitative data, excerpts from which are published by FINMA partly in an aggregated form in its annual Report on the insurance market.
Supervisory Statement Agency Updates {UK}
Documents that are aimed at facilitating firm and supervisory judgement in determining whether they meet rules expectations.
Termination Order Enforcements {US-MS,US,US-IL}
Testimony Agency Updates {US}
Document presenting a transcription or summary of a expert testimony presented to Congress, or an agency, on public policy issues.
Transparency reports Reports {CH}
Document published annually by FINMA that aims to increase transparency of occupational pension schemes and to positively influence the conduct of private insurers.
Undertaking Agency Updates {UK}
Document that present an assurance by one party to another party that they will fulfill the obligation that had been previously agreed on, but not written into a contract.
Unified Regulatory Agenda Regulations {US-NY,US}
Document that contains the collection of all agencies’ agendas with an introduction prepared by the Regulatory Information Service Center facilitated by the General Service Administration.
US Code Legislation {US}
Document with part or the entire official compilation and codification of the general and permanent federal statutes of the United States.
US Code Navigation {US}
US Public Law Legislation {US}
Document with a public bill or joint resolution that has passed both chambers and been enacted into law.
Waivers and CRR Notice Notices {UK}
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.
Warning Notice Notices {UK}
Document published by the FCA when they propose to take action.
Weekly Report Reports {UK}
Document published by the Bank of England every Thursday and shows positions as at the close of Wednesday, typically disclosing over 90% of its balance sheet by value.
Whitepaper Research & Papers {US}
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.
Working Paper Research & Papers {EU,INT,UK,ITA}
Document published by an agency or entity that shows a pre-publication versions of Papers, reports, research, etc.
Workshop Events {UK}
Documents related to a workshop held by an agency or entity, or the slides with the content of that conference.
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