Compliance.ai Document Type

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:

Export CSV (last updated 10/04/24)

Category ID	Category/Document Type	Meta Category Type	Description
1001	Handbook Navigation	Guidance
102	Regulatory Digest	Agency Updates	Document issued by the Prudential Regulation Authority that highlights key regulatory news and publications delivered for the month.
1176	Working Paper	Research & Papers	Document published by an agency or entity that shows a pre-publication versions of Papers, reports, research, etc.
1246	Model Law Navigation	Legislation
131	US Code Navigation	Regulations
140	Mortgagee Letter	Guidance
1580	Supervisory Report	Reports
163	Bill Analysis	Research & Papers	Document that contains a summary of a bill written in layman's terms.
1654	Exemptive order	Enforcements
1788	Finalised Guidance	Guidance	Document that sets out the actions that an agency believe entities should consider to comply with the law or regulations.
1800	Amicus Brief	Guidance	A legal document that is filed in a court case by a third party who is not directly involved in the case, but has an interest in the outcome. These documents are not binding on the court, but can be persuasive and are often filed by industry associations, consumer groups, or other stakeholders who want to provide guidance or information to the court about the potential impact of the cases that have significant implications on the industry or the public.
1835	Letters to Credit Unions	Letters & Comments
1857	Bill	Legislation	Document with a proposed legislation under consideration by a legislature.
1918	Speech	Agency Updates	Document presenting a transcription or summary of a speech given by an official or relevant person in the industry.
195	Examination Manual	Guidance	Document that contains procedures and guidance for examining entities regarding specific subject or issues.
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.
200	Public Law	Legislation
209	Servicing Guide	Guidance	Document issued by an entity that guide the servicing policies.
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.
2108	Final Report	Reports	Document issued by an agency or entity summarizing the outcomes of a study, project or investigation.
2266	Audit	Reports	Document about an independent examination of financial information of any entity.
2271	Investor Alert	Agency Updates
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.
2459	Legislative Debate	Research & Papers
2546	Budget	Agency Updates
273	Financial Institution Letter	Guidance
2750	Prohibition Order	Enforcements
2794	Company Filing	Guidance
2807	Emergency Order	Regulations
2826	Final Notice	Enforcements	Formal announcement of enforcement actions being taken against firms or individuals in breach of regulations. The document highlights an agency's reasons for enforcing sanctions and details of the resulting penalty.
2839	Industry Guidance	Guidance
2846	Manual	Guidance	Document issued by an agency that sets out the instructions and steps to fulfill a specific goal.
2867	Policy Paper	Research & Papers	Document containing a research piece focusing on a specific policy issue that provides clear recommendations for policy makers.
2878	Proposed Rule	Regulations	Document that announces and explains the agency's plan to address a problem or accomplish a goal.
2990	Breach Notification Decision	Enforcements	The document used to document the decision-making process related to notifying customers or regulatory authorities in the event of a data breach and is created as part of an organization's incident response plan and may include details such as the date and time of the breach, the nature of the information that was compromised, and the steps taken to mitigate the breach and prevent future incidents. It outlines the decision-making process that the organization followed in determining whether a breach occurred, the extent of the breach, and the appropriate response, including whether to notify affected customers or regulatory authorities.
3128	Commissioner's Order	Guidance	A formal order that is legally binding and enforceable and typically follows an investigation or audit by the regulatory body. It outlines specific actions that an institution must take to comply with regulatory requirements, and failure to comply can result in significant penalties or other sanctions. Commissioner's Orders are typically issued in response to significant violations or issues that pose a risk to consumers or the financial system, and may be made public.
3166	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.
3178	Statistics	Reports
3184	Bulletin	News	Document with issued by an agency or entity with a brief public notice issuing usually from an authoritative source
3208	Circular	Guidance	Document with a written statement of government policy that often provide information, guidance, rules, and background information on legislative or procedural matters.
3221	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.
3228	Emergency Rule	Regulations	Document with rules promulgated due to an immediate danger to the public health, safety or welfare.
3230	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.
3241	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.
3246	Judgement	Enforcements	Document that confirms a court's final judgment.
3258	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.
3262	Revocation Order	Enforcements
3282	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.
3307	Rulemaking	Regulations
3309	Final Order	Enforcements	Document that confirms a court or agency's final order.
3358	Consultation Paper	Regulations	Document that is put out by the Government for public comment and feedback
3380	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
3381	Suspension Order	Enforcements
3382	FAQ	Guidance	Document issued by an entity with Frequently Asked Questions
3384	News Release	News
3448	Ruling	Guidance
3488	Checklist	Guidance	A document consisting of a list of items or tasks that need to be completed, reviewed, or verified, and can be used for a wide variety of purposes related to risk management, compliance monitoring, and quality assurance and are often created by industry associations, regulatory agencies, or internal compliance teams, and can be tailored to specific regulatory requirements or business processes.
3601	Order	Enforcements	Document outlining a determination made by a court without issuing a legal opinion.
3603	Public Act	Legislation	Document with an act or statute affecting matters of public concern
3604	Guide	Guidance
3609	Statistical Data Set	Agency Updates	Documents that provide access to data set of statistical information.
3614	Regulation (EU)	Legislation
3655	Directive (EU)	Regulations	This type of Directive is a specific legal instrument issued by the European Union (EU) under its regulatory framework. Directives passed by the EU are binding on its member states in terms of the results to be achieved, as well as the specific means of achieving those results. Member states are required to transpose the Directives into their national laws and regulations.
3696	Opinion Letter	Guidance	Document with a formal expression of a judgment or advice based on an expert's special knowledge.
3808	Advisory Letter	Guidance	Documents providing guidance on specific regulatory matters published by insurance and financial regulators.
3809	Advisory Opinion	Guidance	Documents that provide recommendations and outline certain obligations on various regulatory and compliance issues intending to help financial institutions to comply with relevant laws, regulations, and industry best practices. These are non-binding in nature but can also help financial institutions demonstrate their commitment to regulatory compliance and risk management.
3813	Determination	Guidance
3829	Risk Alert	Agency Updates
3898	Directive	Regulations
3899	Enforcement Notice	Enforcements
3916	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.
3917	Memorandum	Letters & Comments
3921	Proclamation	Agency Updates
3925	Rate Filing	Regulatory Filings
3931	Supervisory Guidance	Guidance	Document that outlines the agencies’ supervisory expectations, priorities, and general views regarding appropriate practices.
3937	Enforcement Order	Enforcements
3939	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.
3948	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.
3967	Tax Rate	Agency Updates
4032	Enforcement Report	Reports	Document published by an agency containing summaries of its enforcement rulings.
4040	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.
4044	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.
4059	Supervisory Letter	Guidance	Document that address significant policy and procedural matters related to the Federal Reserve System's supervisory responsibilities.
4061	Termination Order	Enforcements
4104	Industry Letter	Guidance	Document issued by and agency in connection with the proposal or adoption of particular regulations within an industry.
4116	Regulatory Agenda	Agency Updates
4246	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.
4252	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.
4258	Consent Order	Enforcements	Document that confirms an agreement or settlement that resolves a dispute between two parties without admission of guilt or liability
4261	Letter	Letters & Comments	Document with a written or printed communication addressed to a person, agency or entity and usually transmitted by mail.
4271	Enrolled And Enacted Bill	Legislation
4287	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.
4294	Statement	Agency Updates	Document published by an agency or entity to communicate a position or provide explanations to current situations.
4308	Statute Navigation	Legislation
4418	Administrative Letter	Guidance	Administrative Letters are guidance letters published by an agency addressing compliance of regulations or other regulatory matters.
4427	Amended Bill	Legislation	A Bill that has been modified, changed, or revised as part of the legislative process but prior to being passed into law.
4431	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.
4432	Cease and Desist	Enforcements	Document sent to an individual or entity to stop purportedly illegal activity and not to restart it.
4434	Conference	Events	Documents related to a conference held by an agency or entity, or the slides with the content of that conference.
4477	Engrossed Bill	Legislation
4479	Enrolled Bill	Legislation	Document with the final copy of a bill or joint resolution which has passed both houses of Congress in identical form.
4480	Research Publication	Research & Papers	Document issued by an agency, entity or organization to communicate relevant research findings.
4485	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.
45	US Public Law Navigation	Legislation
4503	Introduced Bill	Legislation
4504	Journal	Legislation
4507	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.
4509	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.
4510	Corporate Document	Agency Updates
4511	National Instrument	Legislation
4533	Rule	Regulations	Document with government statements that carry out or explain law or policy, or describe an agency's organization or procedures.
4535	Regulatory Alert	Agency Updates	Documents published in the Federal Register and open for comment that may significantly affect small businesses.
4539	Blog	News	Document with an extract of information posted by an agency or entity in a blog section of its website.
4547	Response	Letters & Comments
4548	Rule Navigation	Regulations
4556	Decision (EU)	Regulations	Document that confirms the agency's final decisions that arise from proceedings by an agency to enforce its rules.
4570	Contract	Regulatory Filings
4573	Tariff	Regulatory Filings
4575	Petition	Regulatory Filings
4590	Transcript	Regulatory Filings
4664	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.
4676	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.
4678	Feedback Statement	Letters & Comments	Document issued by an agency that responds to the views they received, within the scope of their regulatory responsibilities.
4682	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.
4683	Injunction Order	Enforcements
4685	Position Paper	Letters & Comments
4690	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.
4694	Warning Notice	Notices	Document published by the FCA when they propose to take action.
4711	Administrative Order	Regulations	It is an order that either regulates or adjudicates upon rights of regulated entities within an industry. States differ in the use of the term "Administrative Order" wherein some states may adjudicate upon a corporation's rights to do or refrain from doing a certain act and some use this term to pass subsidiary regulations.
4712	Advice	Agency Updates	Document issued by an agency to assist in formulating regulations.
4720	Amendment	Regulations	An amendment is a proposed change or addition to a bill, an existing regulation by the agency responsible for implementing or enforcing it, or other legislative proposal that is currently under consideration by a legislative body. The process of amending a bill involves introducing a proposed change or addition to the original text, known as an amendment, and then debating and voting on the amendment.
4721	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.
4723	Code	Legislation
4725	Comment	Letters & Comments	Document with comments made by stakeholders to any proposed rule, guideline, regulation, etc.
4727	Consultation	Regulations	Document issued by an agency to start a discussion before making decision.
4728	Correspondence	Letters & Comments	Documents with letters to and from agencies and entities.
4733	Decree	Legislation
4745	Decision	Enforcements
4746	Event	Events	Documents describing the details of an event held by an agency.
4747	Fact Sheet	Agency Updates
4748	Financial Sanction	Enforcements
4752	Form	Agency Updates	Document published by an agency or entity with spaces in which to write or select, for a series of documents with similar contents.
476	Exemptive Letter	Letters & Comments
4767	Guidance	Guidance	Documents published by agencies that help explain their programs and policies or communicate other important information to regulated entities and the public.
4768	Guidance Notice	Notices
4771	Handbook	Guidance	Document issued by an agency that sets out the rules and guidance made by that agency.
4773	Implementation Plan	Guidance
4778	Lawmaking	Legislation
4780	Motion	Regulatory Filings
4781	Multilateral Instrument	Legislation
4783	Ordinance	Regulations	Document with a law passed by a local political subdivision, such as a city, county, village, or town.
4784	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.
4787	Publication	Agency Updates	Document issued by an agency, entity or organization to communicate relevant information to the public.
4788	Recommendation	Guidance
4789	Regulatory Filing	Regulatory Filings
4792	Regulatory Decision	Regulations
4793	Notice	Notices	Documents that are published by an agency to notify the public on regulatory updates related to a law or an industry.
4798	Regulatory Order	Regulations
4799	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.
4805	Resolution	Agency Updates
4808	Standard	Regulations
4813	Testimony	Agency Updates	Document presenting a transcription or summary of a expert testimony presented to Congress, or an agency, on public policy issues.
4818	Announcement	News	Document issued by an agency or entity with a public declaration of something related to the industry or important for stakeholders.
4908	State Register	Regulations
4935	Control	Guidance
4946	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.
4950	Interpretive Letter	Guidance	Documents that provide general guidance on the agency staff's views as to the application of particular rules under specific circumstance.
4952	Instruction	Guidance
4953	News	News	Documents that comprise mainstream and industry-specific news updates that are relevant for consumers and regulated entities.
4955	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.
4962	Rule Certification	Regulations
4963	Industry Filing	Regulations
4964	Supporting Document	Agency Updates
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.
51	State Code Navigation	Regulations
56	SR Letter	Guidance	Document that address significant policy and procedural matters related to the Federal Reserve System's supervisory responsibilities.
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.
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.
69	Supervisory Statement	Guidance	Documents that are aimed at facilitating firm and supervisory judgement in determining whether they meet rules expectations.
70	Administration Instrument	Guidance	Document issued by an agency to ensure that rules are correct, presented clearly and contain up-to-date references.
71	US Public Law	Legislation	Document with a public bill or joint resolution that has passed both chambers and been enacted into law.
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.
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.

Category (Document Type)

Asif Alam

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