Category (Document Type)

Category Type allows users to filter based on a particular or specified set of Document Types. Please note, the Category Type in Compliance.ai’s Search API is sensitive to capitalization.

These are the category / document types currently supported by our APIs:

Category Type Description
Proposed Rule Draft of a regulation.
Final Rule Final regulation. Individuals and companies must be in compliance with this.
Notice Notices may include requests for comments on proposed rules, upcoming meetings, changes to rules, etc. Notices can also be permit and licence applications that have to be published temporarily in a public space so people can view, comment or lodge an objection.
Presidential Document Documents published by the president. May include Executive Orders, Memos, and others.
Agency Update This is a catch-all for documents from agencies. This category excludes sub-categories of Enforcement or News.
SRO Update These documents are from SROs (NYSE and FINRA are Self-Regulatory Organizations)
Enforcement Enforcement Actions, or related documents, taken by the federal government against an entity. An individual or company did something wrong, and the enforcement actions tells them the penalty and requirements to correct the issue.
Enforcement Document One enforcement document. Several documents may be associated with one action.
Enforcement Action One enforcement action. Several enforcement documents may be associated with one action.
Enforcement Metadata Metadata associated with Enforcements. For example, you may find metadata on a table of 2017 enforcements that provides respondent and penalty. We associate this with the relevant Enforcement when possible.
News What an agency calls “news,” which may include press releases, speeches, events, and blogs.
Mainstream News News from mainstream (non-agency) sources. We provide short summaries from RSS feeds, and link users to external articles.
Whitepaper Articles on Lexology are usually white papers (authoritative report on an issue) published by law firms.
Regulatory Agenda Item One item (document) from the regulatory agenda.
Unified Regulatory Agenda List of all items published in one issue of the Regulatory Agenda.
US Code US Code document
US Code Navigation Navigation page for US code. This may be a Title, Chapter, or Sub-Chapter, for example.
State Code State regulatory or statutory code
State Code Navigation Navigation page for state code document. This may be a Title, Chapter, or Sub-Chapter, for example.
US Public Law US Public Law
US Public Law Navigation Navigation page for US Public Law, organized by the Legislative Session in which the law was published.
Announcement News documents related to enforcements.
Bulletin Documents categorized by the publisher (usually a federal agency) as “Bulletin.”
Report Documents categorized by the publisher (usually a federal agency) as “Report.”
Guidance Documents like manuals, handbooks and other documents that offer advice.
SR Letter Supervision and Regulatory Letters published by the Board of Governors of the Federal Reserve System
Comment Comments submitted by the public on documents like proposed rules and notices.
Consultation paper Are the formal documents (Proposed Rules and notice for comments) by which the PRA sets out draft proposals and invite comments on them from the public, they carry a deadline for the submission of comments.
Discussion paper Discussion papers are used to stimulate debate on issues about which the PRA is considering making rules or setting out expectations. They use the responses to help formulate their policies. This is a previous step to a CP
Policy statement When issued by the PRA: Policy statements (PS) set out the PRA’s feedback on consultation responses (comments), together with the PRA’s policy line. When issued by the FCA: This is the text of the Regulation that goes in the handbook. A PS publishes its response to the answers they received to follows a consultation paper once the consultation period is over and we have considered the responses.
Supervisory statement Supervisory statements set flexible frameworks for firms, incorporating new and existing expectations. They focus on the PRA’s expectations and are aimed at facilitating firm and supervisory judgment in determining whether they meet those expectations. They do not set absolute requirements – these are contained in rules.
Statement of policy Statements of policy are the formal documents in which the PRA details its policies on a particular matter.
Foi Release Responses to FOI requests. Since 1967, the Freedom of Information Act (FOIA) has provided the public the right to request access to records from any federal agency. It is often described as the law that keeps citizens in the know about their government. Federal agencies are required to disclose any information requested under the FOIA unless it falls under one of nine exemptions which protect interests such as personal privacy, national security, and law enforcement.
Map Various maps
Research Research reports, surveys, analyses, and evaluations. They can be conducted by government, commissioned by government or independent of government.
Transparency Data that organisations are routinely required to make available to the public.
Open Consultation Consultations (officially ‘documents requiring collective agreement across government’), calls for evidence, and requests for people’s views on a question.
Official Statistics Official statistics that have not been checked by the UK Statistics Authority
Policy Paper A policy paper explains the government’s position on something. It does not include instructions on how to carry out a task, only the policy itself and how it’ll be implemented.
National Statistics Use for official statistics that have been awarded the national statistics quality mark.
Corporate Report Publications that are about what the organisation is as a corporate entity (eg annual reports, business plans, accounts, structural reform plans, performance and efficiency reviews).
Correspondence Ministerial or departmental responses (eg to campaign letters), announcements or statements, regularly issued circulars or bulletins (eg fire service circulars), official correspondence to professionals (for example, “Dear chief planning officer” letters), letters to individuals or organisations that are published in order to share with a wider audience, or online versions of e-bulletins or newsletters.
Impact Assessment Documents that assess the impact of new initiatives or changes to legislation.
Promotional Leaflets, posters, fact sheets and marketing collateral.
Consultation Outcome Describe briefly what form the government response takes and includes documents that form part of the government’s initial response to the consultation.
Independent Report Reports commissioned by government but written by non-government organisations, including independent enquiries, investigations and reviews.
Form Forms or pro forma documents that need to be completed by the user (either online or in hard copy).
Statutory Guidance Guidance that relevant users are legally obliged to follow.
Closed Consultation Consultations (officially ‘documents requiring collective agreement across government’)
International Treaty A binding formal agreement, contract, or other written instrument that establishes obligations between two or more subjects of international law (primarily states and international organizations)
Decision Formal decisions made by tribunals, regulators or adjudicators (including courts and the Secretary of State) that need to be published for legal reasons or because they relate to locally or nationally significant issues.
Advisory visit The aim of an advisory visit is to give practical advice to organisations on how to improve data protection practice. It normally involves a one day visit from the ICO and a short follow up report. The three main areas covered are security of personal data, requests for personal data, and records management.
Audit An audit provides an assessment of whether an organisation is following good practice. Audits play a key role in assisting organisations in understanding and meeting their obligations. The audit looks at whether you have effective controls in place alongside fit for purpose policies and procedures to support your obligations, and checks if you are following legislation as it applies to your organisation and the resulting report makes recommendations on how to improve.
Follow up audit A follow up review approximately six months after the audit.
Overview report An executive summary of the findings from an audit.
Final Report The final report sets out recommendations to the entities responsible.
Preliminary Report This report sets out the key preliminary findings of a review of member progress in adopting legislation, regulation and other policies in implementing recommendations about incentive alignment.
Consultation Report This report is published with the aim of seeking input.
Publications Standalone government documents like white papers, strategy documents and reports – they are date-stamped and usually not updated once published.
Prudential Regulation A type of financial regulation that requires financial firms to control risks and hold adequate capital as defined by capital requirements