Automatically monitor regulatory updates to map to your internal policies, procesures and controls. Learn More
-

1558 Enforcement Actions in the U.S. over past 30 days

-

FTC enforcements decreased 55% over the past 30 days

-

SEC issued enforcements: $37,812,859 over the past 30 days

-

50 Final Rules go into effect in the next 7 days

-

49 Mortgage Lending docs published in the last 7 days

-

1670 docs with extracted obligations from the last 7 days

-

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

-

11906 new docs in pro.compliance.ai within the last 7 days

-

Considering RCM Solutions?  Here’s an RFP to get started.

-

CFPB
CFPB published 6 updates: 1 Press Release , 2 Blog , 1 Statement , 2 Notice
Publication of FY 2020 Service Contract Inventory
Notice 10/02/2023
The law requires companies to delete disputed unverified information from consumer reports
Blog 09/29/2023
Four million complaints: More than just a milestone
Blog 09/29/2023
Agency Information Collection Activities: Comment Request
Notice 09/28/2023
Statement of CFPB Director Rohit Chopra on Mortgage Market Activity and Trends
Statement 09/27/2023
CFPB Mortgage Report Finds Jumps in Closing Costs and Denials for Insufficient Income, Growing Proportion of Cash-Out Refinances
Press Release 09/27/2023
See all
CFTC
Concurring Statement of CFTC Commissioner Christy Goldsmith Romero on CFTC v. Goldman Sachs Over and Over Again
Statement 09/29/2023
Statement of Commissioner Christy Goldsmith Romero in Support of Enforcement Case Against JPMorgan Chase for Violating Reporting & Supervision Rules Designed...
Statement 09/29/2023
Statement of Commissioner Kristin N. Johnson on Mitigating the Systemic Risks of Swap Data Reporting Compliance Failures and Enhancing the Effectiveness of E...
Statement 09/29/2023
CFTC Orders Goldman Sachs to Pay $3 Million for Supervision Failures and Material Omissions in a Letter to the CFTC's Division of Enforcement
Press Release 09/29/2023
CFTC Orders Three Financial Institutions to Pay Over $50 Million for Swap Reporting Failures and Other Violations
Press Release 09/29/2023
Statement of Commissioner Christy Goldsmith Romero on the Importance of Retail Customer Protections and Anti-Money Laundering in Precious Metals Markets and ...
Statement 09/29/2023
CFTC Charges Four Individuals and a Seychelles Company with Operating a Fraudulent Digital Assets Trading Scheme and Misappropriation
Press Release 09/29/2023
Foreign Trading Platform Charged with Failure to Register and Supervise Its Anti-Money Laundering Procedures
Press Release 09/29/2023
Dissenting Statement of Commissioner Caroline D. Pham Regarding the Filing of Administrative Complaints for Enforcement Actions
Statement 09/29/2023
CFTC Charges Eight Entities for Fraudulently Claiming CFTC Registration
Press Release 09/29/2023
See all
DOJ
DOJ published 49 updates: 3 Speech , 34 Press Release , 3 Blog , 9 Notice
Agency Information Collection Activities; Proposed eCollection eComments Requested; National Firearms Act (NFA)-Special Occupational Taxes (SOT)
Notice 10/02/2023
Cigna Group to Pay $172 Million to Resolve False Claims Act Allegations
Press Release 09/30/2023
Corn Milling Company Pleads Guilty to Making False Statements in Safety and Environmental Records Following Mill Explosion
Press Release 09/29/2023
Waco Oil and Gas Reaches Agreement with U.S. and State of West Virginia to pay $825,000 Fine and Restore Creeks and Wetlands
Press Release 09/29/2023
South Carolina Physician and Nephrology Practice Agree to Pay Over $585,000 to Settle Laboratory Kickback Allegations
Press Release 09/29/2023
SMC Systems Inc. to Pay $2.35 Million to Resolve Allegations of False Statements Relating to Energy Star Program
Press Release 09/29/2023
IRS Consultant Charged with Disclosing Tax Return Information to News Organizations
Press Release 09/29/2023
Justice Department Secures Agreement in Sexual Harassment Lawsuit Against California Property Manager and Owners
Press Release 09/29/2023
Real Estate Executive Pleads Guilty to Multi-Year Conspiracy to Falsify Financial Statements
Press Release 09/29/2023
Justice Department Sues Colorado for Violating the Americans with Disabilities Act
Press Release 09/29/2023
See all
DOL
DOL published 8 updates: 8 Notice
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Department of Labor Generic Clearance for the Collection of Feedback on...
Notice 10/02/2023
Efforts by Certain Foreign Countries To Eliminate the Worst Forms of Child Labor; Identify Child Labor, Forced Labor, and Forced or Indentured Child Labor in...
Notice 09/29/2023
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Formaldehyde Standard
Notice 09/29/2023
Advisory Committee on Veterans' Employment, Training and Employer Outreach (ACVETEO): Meeting
Notice 09/25/2023
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Request for Information on Earnings, Dual Benefits, Dependents and Thir...
Notice 09/25/2023
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Access to Employee Exposure and Medical Records
Notice 09/25/2023
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Medical Travel Refund Request Form
Notice 09/25/2023
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Administration of the Longshore and Harbor Workers' Compensation Act
Notice 09/25/2023
See all
EBSA
EBSA published 8 updates: 2 Proposed Rule , 3 News , 3 Notice
Exemption From Certain Prohibited Transaction Restrictions Involving the Mitsubishi UFJ Trust and Banking Corporation Located in New York, NY
Notice 10/02/2023
Exemption From Certain Prohibited Transaction Restrictions Involving the Occidental Petroleum Corporation Savings Plan and the Anadarko Employee Savings Plan...
Notice 10/02/2023
219th Meeting of the Advisory Council on Employee Welfare and Pension Benefit Plans; Notice of Teleconference Meeting
Notice 10/02/2023
US Department of Labor reaches settlement with United of Omaha Life Insurance Co. to reform its evidence of insurability practices
News 09/29/2023
Federal court orders Louisville technology services provider, retirement savings plan to repay $575K to plan participants
News 09/28/2023
Requirements Related to the Mental Health Parity and Addiction Equity Act; Extension of Comment Period
Proposed Rule 09/28/2023
Flying Food Group will reimburse health plan participants more than $134K for diagnostic deductibles, tobacco surcharges, after federal investigation
News 09/26/2023
Federal Independent Dispute Resolution (IDR) Process Administrative Fee and Certified IDR Entity Fee Ranges
Proposed Rule 09/26/2023
See all
EOP
EOP published 10 updates: 10 Agency Update
Restoring Healthy and Abundant Salmon, Steelhead, and Other Native Fish Populations in the Columbia River Basin
Agency Update 10/02/2023
Gold Star Mother's and Family's Day, 2023
Agency Update 09/29/2023
National Public Lands Day, 2023
Agency Update 09/28/2023
National Hunting and Fishing Day, 2023
Agency Update 09/28/2023
Asian American and Native American Pacific Islander-Serving Institutions Week, 2023
Agency Update 09/28/2023
National Historically Black Colleges and Universities Week, 2023
Agency Update 09/28/2023
Presidential Determination on Major Drug Transit or Major Drug Illicit Countries for Fiscal Year 2024
Agency Update 09/27/2023
Presidential Determination and Certification With Respect to the Child Soldiers Prevention Act of 2008
Agency Update 09/27/2023
Delegation of Authority Under Section 404(c) of the Child Soldiers Prevention Act of 2008
Agency Update 09/27/2023
Ensuring the People of East Palestine Are Protected Now and in the Future
Agency Update 09/26/2023
See all
FDIC
FDIC Makes Public August Enforcement Actions
Press Release 09/29/2023
FDIC Assesses Civil Money Penalty Against Shinhan Bank America, New York, NY -- Order to Pay Civil Money Penalty
Press Release 09/29/2023
FDIC Assesses Civil Money Penalty Against Shinhan Bank America, New York, NY
Press Release 09/29/2023
FDIC-20-0155k Shinhan Bank America
Civil Money Penalty 09/29/2023
FIL-52-2023 - Information Technology Risk Examination (InTREx) Procedures
Financial Institution Letter 09/29/2023
Notice of Open Meeting of the FDIC Advisory Committee on Economic Inclusion
Notice 09/29/2023
Proposed Agency Information Collection Activities; Comment Request
Notice 09/28/2023
Notice to All Interested Parties of Intent To Terminate Receiverships
Notice 09/27/2023
The FDIC Announces Memorandum of Understanding with Korea Deposit Insurance Corporation, Formalizing Information Sharing and Cooperation Related to Resolutio...
Press Release 09/26/2023
Agency Information Collection Activities: Proposed Collection Renewal; Comment Request
Notice 09/25/2023
See all
FFIEC
FFIEC published 1 updates: 1 Notice
Submission for OMB Review; Comment Request
Notice 09/29/2023
See all
FINCEN
FINCEN published 6 updates: 1 Proposed Rule , 4 News , 1 Enforcement
FinCEN Announces $15 Million Civil Money Penalty Against Shinhan Bank America for Violations of the Bank Secrecy Act
News 09/29/2023
In the Matter of Shinhan Bank America
Enforcement 09/29/2023
FinCEN to Issue Notices Requesting Comment on Beneficial Ownership Forms: 30-Day Paperwork Reduction Act Notices for the Beneficial Ownership Information Rep...
News 09/28/2023
FinCEN to Issue Notices Requesting Comment on Beneficial Ownership Forms: 30-Day Paperwork Reduction Act Notices for the Beneficial Ownership Information Rep...
News 09/28/2023
Beneficial Ownership Information Reporting Deadline Extension for Reporting Companies Created or Registered in 2024
Proposed Rule 09/28/2023
FinCEN issues a Notice of Proposed Rulemaking to extend the deadline for certain companies to file their beneficial ownership information reports
News 09/27/2023
See all
FINRA
FINRA published 13 updates: 1 Complaint , 1 Enforcement Decision , 2 News , 1 Notice , 8 Enforcement
Santander US Capital Markets LLC, formerly known as Santander Investment Securities Inc. AWCs (Letters of Acceptance, Waiver, and Consent)
Enforcement 09/29/2023
Damian M. Baird Complaints
Complaint 09/29/2023
SEC, MSRB, FINRA to Hold Virtual Compliance Outreach Program
News 09/29/2023
Maxim Group LLC AWCs (Letters of Acceptance, Waiver, and Consent)
Enforcement 09/29/2023
Cody Robert Roos AWCs (Letters of Acceptance, Waiver, and Consent)
Enforcement 09/28/2023
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Declaration of Effectiveness of the Fingerprint Plan of the Financial Industry ...
Notice 09/28/2023
Jean A St. Pierre AWCs (Letters of Acceptance, Waiver, and Consent)
Enforcement 09/27/2023
Alan Paul Donenfeld AWCs (Letters of Acceptance, Waiver, and Consent)
Enforcement 09/27/2023
Megurditch Patatian NAC Decisions
Enforcement Decision 09/27/2023
Citigroup Global Markets Inc. AWCs (Letters of Acceptance, Waiver, and Consent)
Enforcement 09/26/2023
See all
FRS
FRS published 13 updates: 1 Prohibition Order , 1 Press Release , 11 Notice
Notice of Proposals To Engage in or To Acquire Companies Engaged in Permissible Nonbanking Activities
Notice 10/02/2023
Federal Reserve Board issues enforcement action with former employee of VisionBank of Iowa
Press Release 09/28/2023
Proposed Agency Information Collection Activities; Comment Request
Notice 09/28/2023
Agency Information Collection Activities: Announcement of Board Approval Under Delegated Authority and Submission to OMB
Notice 09/28/2023
Proposed Agency Information Collection Activities; Comment Request
Notice 09/28/2023
Proposed Agency Information Collection Activities; Comment Request
Notice 09/28/2023
Proposed Agency Information Collection Activities; Comment Request
Notice 09/28/2023
Proposed Agency Information Collection Activities; Comment Request
Notice 09/28/2023
Proposed Agency Information Collection Activities; Comment Request
Notice 09/28/2023
Proposed Agency Information Collection Activities; Comment Request
Notice 09/28/2023
See all
FTC
PrivacyCon 2024
Event 10/02/2023
Public Workshop on DOJ/FTC Merger Guidelines
Event 10/02/2023
Sixteenth Annual Microeconomics Conference
Event 10/02/2023
Federal Trade Commission Partners with Latin American Countries to Combat Fraud
Press Release 09/29/2023
FTC Joins with CFPB in Filing Amicus Brief Urging Reversal of Decision Misinterpreting FCRA's Requirement to Remove Disputed, Unverified Credit Information
Press Release 09/29/2023
Multilateral Memorandum of Understanding on Enforcement Cooperation Authorities (English Version) (1.46 MB)
Memorandum of Understanding 09/29/2023
Memoranda de Entendimiento Multilateral Sobre la Cooperacion en Materia de Cumplimento Normativo (en Espanol) (1.42 MB)
Memorandum of Understanding 09/29/2023
FTC Acts to Stop Online Business Coaching Scheme Lurn From Deceiving Consumers About Money-Making Potential
Press Release 09/28/2023
FTC Approves Horseracing Integrity and Safety Authority's Proposed Enforcement Rule Modification, Publishes Proposed Budget
Press Release 09/28/2023
FTC and DOJ Announce Additional Workshops on the 2023 Draft Merger Guidelines
Press Release 09/27/2023
See all
HUD
HUD published 22 updates: 11 Press Release , 10 Notice , 1 Enforcement
30-Day Notice of Proposed Information Collection: Ginnie Mae Multiclass Securities Program Documents, OMB Control No.: 2503-0030
Notice 10/02/2023
HUD Awards $10.5 Million to Hispanic-Serving Institutions for Housing Research Centers
Press Release 09/29/2023
HUD No. 23-224 HUD Awards $10.5 Million to Hispanic Serving Institutions for Housing Research Centers
Press Release 09/29/2023
HUD otorga $10.5 millones a instituciones que prestan servicios a hispanos para centros de investigación de vivienda
Press Release 09/29/2023
2023-10 - Implementation Guidance: Sections 102 and 104 of the Housing Opportunity Through Modernization Act of 2016 (HOTMA)
Notice 09/29/2023
60-Day Notice of Proposed Information Collection: Assessing CDBG-DR and Disaster Recovery Outcomes of Renter Households, OMB Control No.: 2528-NEW
Notice 09/29/2023
30-Day Notice of Proposed Information Collection: Manufactured Home Construction and Safety Standards Act Reporting Requirements, OMB Control No.: 2502-0253
Notice 09/29/2023
HUD No. 23-223 HUD Reaches Settlements with Nevada/California Housing Providers, Resolving Allegations of Discrimination Against Survivors Protected Under th...
Press Release 09/28/2023
HUD No. 23-221 HUD Clarifies Civil Rights Protections Against Housing Discrimination on the Basis of Shared Ancestry or Ethnic Characteristics
Press Release 09/28/2023
HUD No. 23-222 HUD Announces Manufactured Housing Consensus Committee Appointments
Press Release 09/28/2023
See all
NCUA
NCUA published 2 updates: 1 Rule , 1 Notice
Renewal of Agency Information Collections for Comments Request: Proposed Collections
Notice 09/29/2023
Financial Innovation: Loan Participations, Eligible Obligations, and Notes of Liquidating Credit Unions
Rule 09/29/2023
See all
NYSE
NYSE published 1 updates: 1 Notice
Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE American LLC; NYSE Arca, Inc.; NYSE Chicago, Inc.; Notice of Designation of a Longer Period ...
Notice 09/26/2023
See all
OCC
OCC published 6 updates: 1 Bulletin , 4 News , 1 Notice
NR 2023-110 OCC Announces Executive Director for Office of Minority and Women Inclusion
News 09/29/2023
NR 2023-109 OCC Releases Bank Supervision Operating Plan for Fiscal Year 2024
News 09/28/2023
Proposed Agency Information Collection Activities; Comment Request
Notice 09/28/2023
OCC 2023-30 Lease Financing : Revised Comptroller's Handbook Booklet and Rescissions
Bulletin 09/27/2023
NR 2023-108 OCC Reports Mortgage Performance for Second Quarter of 2023
News 09/27/2023
NR 2023-107 OCC Hosts Workshop for Bank Directors and Senior Management in Sioux Falls
News 09/26/2023
See all
OFAC
OFAC published 5 updates: 3 Rule , 2 Notice
Publication of Russian Harmful Foreign Activities Sanctions Regulations Web General Licenses 55A and 72
Rule 09/29/2023
Notice of OFAC Sanctions Actions
Notice 09/28/2023
Notice of OFAC Sanctions Action
Notice 09/28/2023
Publication of Venezuela Sanctions Regulations Web General License 42
Rule 09/26/2023
Publication of Determination Pursuant to Section 1(a)(i) of Executive Order 14014
Rule 09/25/2023
See all
SEC
Sunshine Act Meetings
Notice 10/02/2023
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt an Alternative to the Minimum $4 Price Requiremen...
Notice 10/02/2023
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To...
Notice 10/02/2023
Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule
Notice 10/02/2023
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change To Amend Equity 4, Rules 3301A and 3301B To Establish New “Contra Mi...
Notice 10/02/2023
Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2614(f) of the ...
Notice 10/02/2023
Self-Regulatory Organizations; MIAX PEARL LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule
Notice 10/02/2023
Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Renumber the MIA...
Notice 10/02/2023
Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule C...
Notice 10/02/2023
Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by...
Notice 10/02/2023
See all
TREAS
TREAS published 30 updates: 11 Press Release , 9 Blog , 2 Statement , 2 Agency Update , 6 Notice
Statement by Secretary of the Treasury Janet L. Yellen
Blog 10/01/2023
FACT SHEET: The Impact of Climate Change on American Household Finances
Press Release 09/29/2023
U.S. Department of the Treasury Releases Report on Climate Change and Household Finances
Press Release 09/29/2023
U.S. Department of the Treasury Releases Report on Climate Change and Household Finances
Blog 09/29/2023
FACT SHEET: The Impact of Climate Change on American Household Finances
Blog 09/29/2023
Joint Statement on the U.S.-UK Financial Regulatory Working Group
Blog 09/29/2023
Remarks by Secretary of the Treasury Janet L. Yellen on the Economy in Savannah, Georgia
Blog 09/29/2023
Biden-Harris Administration Outlines Strategies to Invest in High-Quality Workforce Development
Press Release 09/29/2023
Joint Statement on the U.S.-UK Financial Regulatory Working Group
Press Release 09/29/2023
Remarks by Secretary of the Treasury Janet L. Yellen on the Economy in Savannah, Georgia
Statement 09/29/2023
See all
VA
VA published 10 updates: 1 Proposed Rule , 9 Notice
Voluntary Service National Advisory Committee, Notice of Meeting
Notice 10/02/2023
Enhanced-Use Lease of U.S. Department of Veterans Affairs Real Property for the Development of Permanent Supportive Housing at the Greater Los Angeles Health...
Notice 09/29/2023
Agency Information Collection Activity: Residency Verification Report-Veterans and Survivors
Notice 09/29/2023
Agency Information Collection Activity Under OMB Review: Statement of Person Claiming to Have Stood in Relation of Parent (VA Form 21P-524)
Notice 09/29/2023
Agency Information Collection Activity: Dependents' Application for VA Education Benefits
Notice 09/29/2023
Agency Information Collection Activity Under OMB Review: Financial Status Report
Notice 09/29/2023
Agency Information Collection Activity Under OMB Review: Veteran/Servicemember's Supplemental Application for Assistance in Acquiring Specially Adapted Housing
Notice 09/28/2023
Agency Information Collection Activity: Program of Comprehensive Assistance for Family Caregivers (PCAFC)
Notice 09/27/2023
Agency Information Collection Activity: VA Financial Services Center (VA-FSC) Vendor File Request Form
Notice 09/25/2023
Expanded Burial Benefits
Proposed Rule 09/25/2023
See all
 
X