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

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FTC enforcements decreased 55% over the past 30 days

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

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50 Final Rules go into effect in the next 7 days

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49 Mortgage Lending docs published in the last 7 days

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1670 docs with extracted obligations from the last 7 days

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

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Agency Report May 03-10

 
 
CAN-CANLII
 
 
 
 

Act: CAIdeprecated – Loi de 2021 sur les op=C3=A9rations au port de Montr=C3=A9al, LC… | 05/05/2021

Act: CAIdeprecated – Port of Montreal Operations Act, 2021, SC 2021, c 6… | 05/05/2021

 
 
 
CFPB
 
 
 
 
 
 

Comment: Comment from Anonymous; Public Submission; NA… | 05/07/2021

Comment: Comment from ACA International; Public Submission; ACA International… | 05/07/2021

Comment: Comment submitted by Nathan Willner; Public Submission; NA… | 05/07/2021

Comment: Comment from Bush, Adrienne; Public Submission; NA… | 05/07/2021

Comment: Comment from National Association of Chapter 13 Trustees; Public Submi… | 05/07/2021

Comment: Comment from Urban Institute; Public Submission; Urban Institute… | 05/07/2021

Comment: Comment from Tropical Financial Credit Union; Public Submission; Tropi… | 05/07/2021

Comment: Comment from Curran, Kimberly; Public Submission; NA… | 05/07/2021

Comment: Comment from M, Barbara; Public Submission; NA… | 05/07/2021

Comment: Comment from C.N.A. Foreclosure Services, Inc. ; Public Submission; C…. | 05/07/2021

 
 
 
DOJ
 
 
 
 

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Water Act… | 05/07/2021

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 05/05/2021

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 05/03/2021

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 05/03/2021

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 05/03/2021

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 05/03/2021

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 05/03/2021

 
 
 
EBSA
 
 
 
 

Supervisory Guidance: Health and Other Employee Benefit Plans… | 05/03/2021

 
 
 
EOP
 
 
 
 

Presidential Document: Missing and Murdered Indigenous Persons Awareness Day, 2021… | 05/07/2021

Presidential Document: 60th Anniversary of the Freedom Rides, 2021… | 05/07/2021

Presidential Document: Emergency Presidential Determination on Refugee Admissions for Fiscal … | 05/07/2021

Presidential Document: Older Americans Month, 2021… | 05/06/2021

Presidential Document: Suspension of Entry as Nonimmigrants of Certain Additional Persons Who… | 05/06/2021

Presidential Document: Loyalty Day, 2021… | 05/05/2021

Presidential Document: Law Day, U.S.A., 2021… | 05/05/2021

Presidential Document: Public Service Recognition Week, 2021… | 05/05/2021

Presidential Document: National Teacher Appreciation Day and National Teacher Appreciation We… | 05/05/2021

Presidential Document: National Physical Fitness and Sports Month, 2021… | 05/05/2021

 
 
 
FDIC
 
 
 
 

Proposed Rule: False Advertising, Misrepresentation of Insured Status, and Misuse of … | 05/10/2021

Proposed Rule: Tax Allocation Agreements… | 05/10/2021

Press Release: FDIC Announces Meeting of Advisory Committee on Economic Inclusion… | 05/06/2021

Press Release: FDIC Issues List of Banks Examined for CRA Compliance — May 2021 List… | 05/04/2021

Press Release: FDIC Issues List of Banks Examined for CRA Compliance… | 05/04/2021

Notice: FDIC System Resolution Advisory Committee; Notice of Charter Renewal… | 05/03/2021

 
 
 
FFIEC
 
 
 
 

Notice: Appraisal Subcommittee Notice of Meeting… | 05/04/2021

 
 
 
FINCEN
 
 
 
 

Comment: FINCEN-2021-0005 Mailed in comment… | 05/07/2021

Comment: FINCEN-2021-0005- Mailed Comment- Santa Ynez Band of Chumash Indians 4… | 05/07/2021

Comment: Comment on FR Doc # 2021-06922; Public Submission; Bank of China New Y… | 05/07/2021

Comment: Comment on FR Doc # 2021-06922; Public Submission; NA… | 05/07/2021

Comment: Comment on FR Doc # 2021-06922; Public Submission; NA… | 05/07/2021

Comment: Comment on FR Doc # 2021-06922; Public Submission; Nexsen Pruet, PLLC… | 05/07/2021

Comment: Comment on FR Doc # 2021-06922; Public Submission; Signatory Wall & Ce… | 05/07/2021

Comment: Comment on FR Doc # 2021-06922; Public Submission; NA… | 05/07/2021

Comment: Comment on FR Doc # 2021-06922; Public Submission; NA… | 05/07/2021

Comment: FINCEN-2021-0005-Emailed Comment- House of Representatives Committee f… | 05/07/2021

 
 
 
FINRA
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): Cantor Fitzgerald & Co. AWCs (Letters of Acceptance, Waiver, and Conse… | 05/06/2021

Speech: Statement Before the Financial Services Committee U.S. House of Repres… | 05/06/2021

AWCs (Letters of Acceptance, Waiver, and Consent): UnionBanc Investment Services, LLC AWCs (Letters of Acceptance, Waiver… | 05/05/2021

Complaints: JASON LUNN DIPAOLA Complaints… | 05/03/2021

 
 
 
FRS
 
 
 
 
 
 

Proposed Rule: Tax Allocation Agreements… | 05/10/2021

Press Release: Board Memo: Proposed Amendments to Regulation II (Debit Card Interchan… | 05/07/2021

Press Release: Federal Register notice: Debit Card Interchange Fees and Routing (PDF)… | 05/07/2021

Press Release: Federal Reserve Board invites public comment on proposed changes to Re… | 05/07/2021

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 05/07/2021

Notice: Proposed Agency Information Collection Activities; Comment Request… | 05/07/2021

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 05/06/2021

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 05/06/2021

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 05/06/2021

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 05/06/2021

 
 
 
FTC
 
 
 
 
 
 

News: FTC Finalizes Settlement with Photo App Developer Related to Misuse of… | 05/07/2021

Speech: Remarks of Commissioner Christine S. Wilson for the U.S. Chamber of Co… | 05/06/2021

News: FTC Report to Congress Examines Anti-Competitive Repair Restrictions, … | 05/06/2021

Speech: The Sword of Damocles: The Slender of Thread of Expanded Antitrust Con… | 05/06/2021

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 05/06/2021

Motion: Administrative Law Judge’s Order Granting Respondents’ Motion In Limin… | 05/05/2021

News: FTC Sends More than $273,500 in Refunds to People Who Lost Money to St… | 05/05/2021

Enforcement Order: Notice of Appearance Filed By Counsel for Third Party Reynolds America… | 05/05/2021

News: FTC Acting Chairwoman Slaughter Announces New Appointments to Agency L… | 05/05/2021

Enforcement Order: Notice of Appearance Filed By Counsel for Third Party ITG Brands, LLC … | 05/04/2021

 
 
 
Fannie
 
 
 
 

News: Lender Letter LL-2021-10 – Introduction of the RefiNow Option… | 05/05/2021

Industry Guidance: Announcement SEL-2021-04 – Selling Guide Updates… | 05/05/2021

 
 
 
Freddie
 
 
 
 

Bulletin: Bulletin 2021-16 Selling… | 05/05/2021

Bulletin: Bulletin 2021-17 Introducing Freddie Mac Refi Possible=E2=84=A0… | 05/05/2021

 
 
 
INT-BIS
 
 
 
 

Press Release: BIS Innovation Hub and Bank of Italy invite global innovators to take … | 05/06/2021

Press Release: BCBS, CPMI and IOSCO survey clients and non-bank intermediaries on mar… | 05/05/2021

 
 
 
INT-EBA
 
 
 
 

News: The EBA consults on its proposals for a central AML/CFT database… | 05/06/2021

News: The EBA consults on its proposals for a central AML/CFT database… | 05/06/2021

News: EBA launches discussion on NPL data templates… | 05/04/2021

News: EBA launches discussion on NPL data templates… | 05/04/2021

News: The European Banking Authority publishes report on mystery shopping ac… | 05/03/2021

News: ESA=E2=80=99s Joint Board of Appeal dismissed appeal by Societatea de Asigurar… | 05/03/2021

 
 
 
INT-EC
 
 
 
 
 
 
 
 
 
 

Report: COMMISSION STAFF WORKING DOCUMENT EVALUATION of the Horizontal Block E… | 05/08/2021

Regulation (EU): Regulamento de Execu=C3=A7=C3=A3o (UE) 2021/744 da Comiss=C3=A3o de 6 de maio de 2021… | 05/07/2021

Regulation (EU): Kommissionens gennemf=C3=B8relsesforordning (EU) 2021/744 af 6. maj 2021 om… | 05/07/2021

Regulation (EU): R=C3=A8glement d’ex=C3=A9cution (UE) 2021/744 de la Commission du 6 mai 2021 arr… | 05/07/2021

Regulation (EU): Regolamento di esecuzione (UE) 2021/744 della Commissione del 6 maggio… | 05/07/2021

Regulation (EU): Durchf=C3=BChrungsverordnung (EU) 2021/744 der Kommission vom 6. Mai 2021 z… | 05/07/2021

Regulation (EU): Reglamento de Ejecuci=C3=B3n (UE) 2021/744 de la Comisi=C3=B3n de 6 de mayo de 2… | 05/07/2021

Regulation (EU): Commission Implementing Regulation (EU) 2021/744 of 6 May 2021 laying … | 05/07/2021

Regulation (EU): Regulamento de Execu=C3=A7=C3=A3o (UE) 2021/745 da Comiss=C3=A3o de 6 de maio de 2021… | 05/07/2021

Regulation (EU): Kommissionens gennemf=C3=B8relsesforordning (EU) 2021/745 af 6. maj 2021 om… | 05/07/2021

 
 
 
INT-FSB
 
 
 
 

News: FSB Americas group discusses global and regional vulnerabilities and C… | 05/04/2021

 
 
 
INT-IOSCO
 
 
 
 

Speeches: Proposal for a corporate sustainability reporting directive. The way f… | 05/06/2021

Media Release: IOSCO reviews implementation of Recommendations and Standards on BCPs … | 05/06/2021

Final Rule: FR03/2021 Thematic Review on Business Continuity Plans with respect to… | 05/06/2021

Media Release: BCBS, CPMI and IOSCO survey clients and non-bank intermediaries on mar… | 05/05/2021

 
 
 
NYSE
 
 
 
 

Agency Update: Proposal to continue offering certain connectivity services that have … | 05/07/2021

Agency Update: Proposal to continue offering certain connectivity services that have … | 05/07/2021

Agency Update: Proposal to continue offering certain connectivity services that have … | 05/07/2021

Agency Update: Proposal to continue offering certain connectivity services that have … | 05/07/2021

Agency Update: Proposal to continue offering certain connectivity services that have … | 05/07/2021

Agency Update: UPDATE TO STANDARDS OF CONDUCT FOR THE SAFETY AND WELFARE OF PERSONS O… | 05/07/2021

Agency Update: UPDATE TO STANDARDS OF CONDUCT FOR THE SAFETY AND WELFARE OF PERSONS O… | 05/07/2021

Agency Update: Proposed Rule Change to List and Trade Shares of the Following under N… | 05/06/2021

Agency Update: WISDOMTREE ALTERNATIVE INCOME FUND… | 05/06/2021

Agency Update: Order Granting Approval of a Proposed Rule Change, as Modified by Amen… | 05/05/2021

 
 
 
OCC
 
 
 
 

Proposed Rule: Tax Allocation Agreements… | 05/10/2021

News Release: NR 2021-51 Michael J. Hsu to Become Acting Comptroller of the Currency… | 05/07/2021

News Release: NR 2021-50 OCC Releases CRA Evaluations for 15 National Banks and Fede… | 05/04/2021

 
 
 
OFAC
 
 
 
 

Notice: Notice of OFAC Sanctions Actions… | 05/07/2021

Notice: Notice of OFAC Sanctions Actions… | 05/07/2021

Financial Sanction: Publication of Frequently Asked Question related to Luokung Technology… | 05/06/2021

Notice: Notice of OFAC Sanctions Actions… | 05/03/2021

 
 
 
SEC
 
 
 
 

Enforcement: David N. Osegueda, et al…. | 05/07/2021

Enforcement: Mancera, et al…. | 05/07/2021

Enforcement: Reliance Financial Advisors, LLC, Timothy S. Dembski and Walter F. Gre… | 05/07/2021

Enforcement: Corbyn W. Jones, Esq…. | 05/07/2021

Enforcement: Apotheca Biosciences, Inc…. | 05/07/2021

Enforcement: BioHemp International, Inc…. | 05/07/2021

Notice: Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Fil… | 05/07/2021

Notice: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of … | 05/07/2021

Notice: Trinity Capital, Inc…. | 05/07/2021

Notice: Self-Regulatory Organizations; MIAX Emerald, LLC: Notice of Filing and… | 05/07/2021

 
 
 
TREAS
 
 
 
 

Press Release: Treasury Announces Additional $21.6 Billion in Emergency Rental Assist… | 05/07/2021

Press Release: Secretary Yellen Announces Intention to Appoint Michael J. Hsu as Firs… | 05/07/2021

Notice: Agency Information Collection Activities; Proposed Collection; Comment… | 05/07/2021

Press Release: More than 1.1 million additional Economic Impact Payments disbursed un… | 05/05/2021

Press Release: Quarterly Refunding Statement of Deputy Assistant Secretary for Federa… | 05/05/2021

Press Release: Minutes of the Meeting of the Treasury Borrowing Advisory Committee Ma… | 05/05/2021

Press Release: Report to the Secretary of the Treasury from the Treasury Borrowing Ad… | 05/05/2021

Notice: Mandatory Survey of Foreign Ownership of U.S. Securities… | 05/05/2021

Press Release: Economy Statement by Catherine Wolfram, Acting Assistant Secretary for… | 05/03/2021

Statement: Statement by Charles Moravec, Temporary Alternate Governor for the Uni… | 05/03/2021

 
 
 
UK-BOE
 
 
 
 
 
 
 
 

Agency Update: Jon Cunliffe: Speech at the Law Society’s online Property Section Conv… | 05/07/2021

Agency Update: Jon Hall: Speech at Cardiff Business School “Building Financial Market… | 05/07/2021

Agency Update: Sarah Breeden: Bank of England Speech in conjunction with the Universi… | 05/07/2021

Agency Update: Andy Haldane: Institute for History and Policy and University of South… | 05/07/2021

Agency Update: Gertjan Vlieghe: Panellist at the Kings Business School and Qatar Cent… | 05/07/2021

News: Gertjan Vlieghe: Panellist at the Kings Business School and Qatar Cent… | 05/07/2021

Agency Update: Statement on the progress of the Working Group on Productive Finance -… | 05/07/2021

Agency Update: Statement on the progress of the Working Group on Productive Finance -… | 05/07/2021

Agency Update: Statement on the progress of the Working Group on Productive Finance -… | 05/07/2021

Agency Update: Statement on the progress of the Working Group on Productive Finance -… | 05/07/2021

 
 
 
UK-FCA
 
 
 
 
 
 

Feedback statements: FS21/8: Feedback to consultation paper on liquidity mismatch in author… | 05/07/2021

Consultation papers: CP21/12: A new authorised fund regime for investing in long term asset… | 05/07/2021

Corporate documents: Regulatory Initiatives Grid dashboard – May 2021 — Download the Regul… | 05/07/2021

Corporate documents: Regulatory Initiatives Grid dashboard – May 2021… | 05/07/2021

Corporate documents: Regulatory Initiatives Grid — View the latest Regulatory Initiatives … | 05/07/2021

Publication: Financial Services Regulatory Initiatives Forum – Minutes: April 2021… | 05/07/2021

Publication: CP21/12: A new authorised fund regime for investing in long term asset… | 05/07/2021

Publication: Regulatory Initiatives Grid – May 2021… | 05/07/2021

Publication: FS21/8: Feedback to consultation paper on liquidity mismatch in author… | 05/07/2021

Publication: Final Notice 2021: East Anglia Cars Ltd… | 05/06/2021

 
 
 
UK-ICO
 
 
 
 

News: Work on updating the ICO=E2=80=99s Journalism code continues… | 05/07/2021

News: Five things we learned from DPPC 2021… | 05/06/2021

News: Data Protection Practitioner=E2=80=99s Conference 2021… | 05/05/2021

Decision Notice: Witherley Parish Council… | 05/04/2021

Decision Notice: Department for Infrastructure (Northern Ireland)… | 05/04/2021

Decision Notice: Three Rivers District Council… | 05/04/2021

Statement: Digital Regulatory Cooperation Forum’s response to DCMS on the future … | 05/04/2021

 
 
 
UK-PRA
 
 
 
 

PRA Regulatory Digest: PRA Regulatory Digest – April 2021… | 05/04/2021

 
 
 
VA
 
 
 
 

Notice: Privacy Act of 1974; Matching Program… | 05/07/2021

Final Rule: Adopting Standards for Laboratory Requirements… | 05/07/2021

Notice: Solicitation of Nominations for Appointment to the Sexual Assault/Sexu… | 05/06/2021

Notice: Agency Information Collection Activity: Application for Approval of a … | 05/06/2021

Notice: Solicitation of Nominations for Appointment to the Advisory Committee … | 05/05/2021

Notice: Agency Information Collection Activity under OMB Review: Fiduciary Agr… | 05/05/2021

Notice: Solicitation of Nominations for Appointment to the Veterans and Commun… | 05/04/2021

Notice: Agency Information Collection Activity Under OMB Review: Claim for Rei… | 05/03/2021

Notice: Agency Information Collection Activity Under OMB Review: Financial Cou… | 05/03/2021

Notice: Agency Information Collection Activity under OMB Review: Supporting St… | 05/03/2021

 

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