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

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FINRA enforcements decreased 70% over the past 30 days

-

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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26 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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97 new Proposed and Final Rules were published in the past 7 days

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2774 new docs in pro.compliance.ai within the last 7 days

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Enforcement action change
 
  This week - ending Nov 28, 2021
  Most recent 90 days - Aug 30, 2021 - Nov 28, 2021
  Previous 90 days - May 31, 2021 - Aug 29, 2021
 

CFTC
74%

    40 docs
 
  23 docs
 

OFAC
14%

    48 docs
 
  42 docs
 

SEC
13%

     
376 docs
 
  332 docs
 

OCC
-18%

    9 docs
 
  11 docs
 

FINRA
-24%

    107 docs
 
  140 docs
 

FTC
-62%

    113 docs
 
  296 docs
 

FDIC
-75%

    8 docs
 
  32 docs
 

CFPB
N/A

    12 docs
 
  4 docs
 

HUD
N/A

    4 docs
 
  3 docs
 

TREAS
N/A

    4 docs
 
  5 docs
 

NYSE
N/A

    2 docs
 
  11 docs
 

DOJ
N/A

    1 doc
 
  21 docs
 

NYSE Arca
N/A

    1 doc
 
  3 docs
 

FINCEN
N/A

     
 
  1 doc
 
See full report     See further insights

This week's documents

SEC 21 Enforcement Documents
$0.0 in Fines
Title: Upright Financial Corp. and David Yow Shang Chiueh
Doc Type: Enforcement
Published: 11/24/2021
Violation: -
Penalty: -
Title: Final Judgment - Kuhnash - Kevin R. Kuhnash and Jason P. Jimerson
Doc Type: Enforcement
Published: 11/24/2021
Violation: -
Penalty: -

See all 21 Documents
FINRA 5 Enforcement Documents
$0.0 in Fines
Title: Traderfield Securities, Inc. Mario Divita AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 11/24/2021
Violation: -
Penalty: -
Title: Daniel Della Rosa Complaints
Doc Type: Complaints
Published: 11/23/2021
Violation: -
Penalty: -

See all 5 Documents
See more agencies

 

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