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

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Agency Report June 28 - July 05

CFPB
CFPB published 65 updates: 1 Complaint, 1 Judgement, 6 Blog, 46 Comment, 2 Notice, 6 Press Release, 2 Rule, 1 Supervisory Guidance
Comment submitted by Odette Williamson on behalf of NCLC; Public Submission; NCLC
Comment 07/02/2021
Comment submitted by Odette Williamson on behalf of NCLC; Public Submission; NCLC
Comment 07/02/2021
Comment submitted by Joseph Reed on behalf of NCRC; Public Submission; NCRC
Comment 07/02/2021
Comment submitted by Andrew Morris on behalf of NAFCU; Public Submission; NAFCU
Comment 07/02/2021
Comment submitted by Melissa Stegman on behalf of CRL; Public Submission; CRL
Comment 07/02/2021
Comment submitted by Rocio Baeza on behalf of CyberSecurityBase; Public Subm...
Comment 07/02/2021
Comment submitted by Nichole Seabron on behalf of NASCUS; Public Submission; NASCUS
Comment 07/02/2021
Comment submitted by Pam Dixon on behalf of WPF; Public Submission; WPF
Comment 07/02/2021
comment submitted by Rina Wulfing on behalf of Wise US; Public Submission; Wise US
Comment 07/02/2021
comment submitted by Rina Wulfing on behalf of Wise US; Public Submission; Wise US
Comment 07/02/2021
CFTC
CFTC published 3 updates: 1 Enforcement, 1 News, 1 Notice
Complaint: Ross Baldwin, et al.
Enforcement 07/01/2021
CFTC Charges Three Individuals and Three Florida Companies with Fraud in Mult...
News 07/01/2021
Market Risk Advisory Committee
Notice 06/28/2021
DOJ
DOJ published 4 updates: 1 Agency Update, 3 Notice
Agency Information Collection Activities; Proposed eCollection eComments Requ...
Notice 07/02/2021
Working Together to Reduce Gender-Based Violence Here and Around the World
Agency Update 07/01/2021
Agency Information Collection Activities; Proposed eCollection eComments Requ...
Notice 06/28/2021
Agency Information Collection Activities; Proposed Collection Comments Reques...
Notice 06/28/2021
DOL
DOL published 3 updates: 3 Notice
Agency Information Collection Activities; Submission for OMB Review; Comment ...
Notice 07/01/2021
Agency Information Collection Activities; Submission for OMB Review; Comment ...
Notice 07/01/2021
Agency Information Collection Activities; Submission for OMB Review; Comment ...
Notice 07/01/2021
FDIC
FDIC published 7 updates: 2 Financial Institution Letter, 2 Event, 1 Notice, 2 Press Release
FDIC Issues List of Banks Examined for CRA Compliance -- July 2021 List of Ba...
Press Release 07/02/2021
FDIC Issues List of Banks Examined for CRA Compliance
Press Release 07/02/2021
FDIC Advisory Committee on Community Banking; Notice of Meeting
Notice 07/02/2021
FDIC, OCC, and FRB-Richmond Host Interagency Banker Roundtable: Updates to CR...
Event 07/01/2021
FIL-46-2021 - Interagency Statement on the Issuance of the Anti-Money Launder...
Financial Institution Letter 06/30/2021
FIL-47-2021 - Updated FFIEC IT Examination Handbook - Architecture, Infrastru...
Financial Institution Letter 06/30/2021
FDIC, FRB-SF, and OCC=E2=80=AFHost=E2=80=AFHawaii Community Development Forum - Supporting Co...
Event 06/28/2021
FFIEC
FFIEC published 1 updates: 1 News
Media Contacts:
News 06/30/2021
FHA
FHA published 0 updates:
FINCEN
FINCEN published 4 updates: 4 News
Financial Action Task Force Identifies Jurisdictions with Anti-Money Launderi...
News 07/01/2021
FinCEN Completes Assessment on the Use of No-Action Letters
News 06/30/2021
Message from the FinCEN Director: 180-Day Update on AML Act Implementation
News 06/30/2021
FinCEN Issues First National AML/CFT Priorities and Accompanying Statements
News 06/30/2021
FINRA
FINRA published 16 updates: 1 Proposed Rule, 1 Complaint, 1 Decision, 11 Enforcement, 2 Notice
Sanctuary Securities, Inc., (formerly known as David A. Noyes & Company) AWCs...
Enforcement 07/01/2021
Fernando Luis Monllor Arzola AWCs (Letters of Acceptance, Waiver, and Consent)
Enforcement 07/01/2021
Gary M. Bowman AWCs (Letters of Acceptance, Waiver, and Consent)
Enforcement 07/01/2021
Lawrence Moskowitz AWCs (Letters of Acceptance, Waiver, and Consent)
Enforcement 07/01/2021
Stuart L. Pearl AWCs (Letters of Acceptance, Waiver, and Consent)
Enforcement 07/01/2021
Juan M. Ceja AWCs (Letters of Acceptance, Waiver, and Consent)
Enforcement 07/01/2021
Christopher G. Orlando AWCs (Letters of Acceptance, Waiver, and Consent)
Enforcement 06/30/2021
Michael Thomas Carl AWCs (Letters of Acceptance, Waiver, and Consent)
Enforcement 06/30/2021
Robinhood Financial LLC AWCs (Letters of Acceptance, Waiver, and Consent)
Enforcement 06/30/2021
Special Notice - 6/30/21 FINRA Requests Comment on Effective Methods to Educa...
Notice 06/30/2021
FRS
FRS published 12 updates: 2 SR Letter, 1 Proposed Rule, 5 Notice, 3 Press Release, 1 Speech
Change in Bank Control Notices; Acquisitions of Shares of a Bank or Bank Hold...
Notice 07/02/2021
Change in Bank Control Notices; Acquisitions of Shares of a Bank or Bank Hold...
Notice 07/02/2021
Federal Reserve Board issues enforcement action with First Vision Bank
Press Release 07/01/2021
Federal Reserve announces it will soon release new tool to help community ban...
Press Release 07/01/2021
Change in Bank Control Notices; Acquisitions of Shares of a Bank or Bank Hold...
Notice 07/01/2021
First Vision Bank, Tullahoma, Tennessee
Press Release 06/30/2021
SR 21-10 Interagency Statement on the Issuance of the Anti-Money Laundering/C...
SR Letter 06/30/2021
SR 21-11 FFIEC Architecture, Infrastructure, and Operations Examination Handbook
SR Letter 06/30/2021
Change in Bank Control Notices; Acquisitions of Shares of a Bank or Bank Hold...
Notice 06/30/2021
Debit Card Interchange Fees and Routing
Proposed Rule 06/30/2021
FTC
FTC published 21 updates: 1 Proposed Rule, 3 Complaint, 2 Consent Order, 2 Enforcement, 3 Event, 10 News
Operators of Business Opportunity Scheme That Falsely Promised Big Earnings w...
News 07/02/2021
FTC Charges Broadcom with Illegal Monopolization and Orders the Semiconductor...
News 07/02/2021
Regulatory Review Schedule
Proposed Rule 07/02/2021
Open Commission Meeting - July 1, 2021
Event 07/01/2021
FTC Votes to Update Rulemaking Procedures, Sets Stage for Stronger Deterrence...
News 07/01/2021
FTC Issues Rule to Deter Rampant Made in USA Fraud
News 07/01/2021
FTC Rescinds 2015 Policy that Limited Its Enforcement Ability Under the FTC Act
News 07/01/2021
FTC Authorizes Investigations into Key Enforcement Priorities
News 07/01/2021
[Proposed] Stipulated Order for Permanent Injunction and Civil Penalty Judgme...
Enforcement 07/01/2021
Complaint for Civil Penalties, Permanent Injunction, and Other Equitable Reli...
Complaint 07/01/2021
Fannie
Fannie published 3 updates: 3 News
Lender Letter LL-2021-07 - COVID-19 Payment Deferral and Fannie Mae Flex Modi...
News 06/30/2021
FAQs for Revised Qualified Mortgage Eligibility
News 06/30/2021
Updated AUS specifications and supporting documents published
News 06/29/2021
Freddie
Freddie published 1 updates: 1 Bulletin
Bulletin 2021-24 COVID-19 and Other Servicing Updates
Bulletin 06/30/2021
HUD
HUD published 10 updates: 2 Mortgagee Letter, 5 Notice, 2 Press Release, 1 Rule
Notice of Regulatory Waiver Requests Granted for the First Quarter of Calenda...
Notice 07/02/2021
60-Day Notice of Proposed Information Collection: Request for Prepayment of S...
Notice 07/02/2021
Statutorily Mandated Designation of Difficult Development Areas and Qualified...
Notice 07/02/2021
60-Day Notice of Proposed Information Collection: FHA Catalyst: Multifamily A...
Notice 07/02/2021
Restoring Affirmatively Furthering Fair Housing Definitions and Certifications
Rule 07/01/2021
2021-17 Revisions to Property and Appraisal Quality Control Review Requirements
Mortgagee Letter 06/30/2021
30-Day Notice of Proposed Information Collection: Application for Roster Pers...
Notice 06/30/2021
National Homeownership Month FACT SHEET: Secretary Fudge Prioritizes Access t...
Press Release 06/29/2021
2021-16 Extension of the End Date for COVID-19 Multisubject: Updated Temporar...
Mortgagee Letter 06/29/2021
HUD No. 21-109 HUD Approves Agreement Between Massachusetts Housing Provider ...
Press Release 06/28/2021
NCUA
NCUA published 2 updates: 2 Rule
Transition to the Current Expected Credit Loss Methodology
Rule 07/01/2021
Capitalization of Interest in Connection With Loan Workouts and Modifications
Rule 06/30/2021
NYSE
NYSE published 18 updates: 17 Agency Update, 1 Notice
Proposal to adopt on a permanent basis the pilot program for Market-Wide Circ...
Agency Update 07/02/2021
INNOVATOR ETFS TRUST (QTJL, XBJL, XTJL, XDJL, BALT)
Agency Update 07/01/2021
PACER FUNDS TRUST (PSCJ, PSMJ, PSFJ)
Agency Update 07/01/2021
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Refor...
Agency Update 07/01/2021
Proposal to amend the NYSE Arca Equities Fees and Charges to (1) eliminate an...
Agency Update 07/01/2021
Proposal to amend its Schedule of Fees and Rebates to modify the requirements...
Agency Update 07/01/2021
Proposal to modify the NYSE Arca Options Fee Schedule regarding incentive pro...
Agency Update 07/01/2021
Proposal to reformat the Basic rates section of the NYSE Arca Equities Fees a...
Agency Update 07/01/2021
Proposal to amend its Price List to modify the requirements to qualify for Su...
Agency Update 06/30/2021
Proposal to list and trade the shares of the NYDIG Bitcoin ETF under NYSE Arc...
Agency Update 06/30/2021
OCC
OCC published 64 updates: 2 Bulletin, 59 Comment, 3 News Release
Data Coalition Initiative; Public Submission; Data Coalition Initiative
Comment 07/02/2021
National Association of State Credit Union Supervisors (NASCUS); Public Submi...
Comment 07/02/2021
Consumer Reports; Public Submission; Consumer Reports
Comment 07/02/2021
Seth Mackinnon; Public Submission; NA
Comment 07/02/2021
Online Lenders Alliance; Public Submission; Online Lenders Alliance
Comment 07/02/2021
National Fair Housing Alliance; Public Submission; National Fair Housing Alliance
Comment 07/02/2021
XBRL US; Public Submission; XBRL US
Comment 07/02/2021
National Community Reinvestment Coalition (NCRC); Public Submission; National...
Comment 07/02/2021
TransUnion; Public Submission; TransUnion
Comment 07/02/2021
Oportun; Public Submission; Oportun
Comment 07/02/2021
OFAC
OFAC published 4 updates: 3 Financial Sanction, 1 Notice
Burma-related Designations; Iran-related Designations Removals; Non-prolifera...
Financial Sanction 07/02/2021
Removal of the International Criminal Court-Related Sanctions Regulations
Financial Sanction 07/02/2021
Notice of OFAC Sanctions Actions
Notice 07/01/2021
Counter Terrorism Designation; Belarus Designation Update
Financial Sanction 06/28/2021
RHS
RHS published 1 updates: 1 Notice
OneRD Annual Notice of Guarantee Fee Rates, Periodic Retention Fee Rates, Loa...
Notice 07/02/2021
SEC
SEC published 75 updates: 40 Enforcement, 2 News, 25 Notice, 7 Press Release, 1 Speech
Judgment as to Noe Corrales Reyes - Gerardo de Nicol=C3=A1s et al.
Enforcement 07/02/2021
Judgment as to Gerardo de Nicol=C3=A1s Guti=C3=A9rrez, - Gerardo de Nicol=C3=A1s et al.
Enforcement 07/02/2021
Judgment as to Ram=C3=B3n Lafarga B=C3=A1tiz - Gerardo de Nicol=C3=A1s et al.
Enforcement 07/02/2021
Judgment as to Carlos Javier Moctezuma Velasco, - Gerardo de Nicol=C3=A1s et al.
Enforcement 07/02/2021
SEC Complaint - Gerardo de Nicol=C3=A1s et al.
Enforcement 07/02/2021
Gerardo de Nicol=C3=A1s et al.
Enforcement 07/02/2021
Judgment - Roger Nils-Jonas Karlsson
Enforcement 07/02/2021
Roger Nils-Jonas Karlsson
Enforcement 07/02/2021
SEC Complaint - Lambert Vander Tuig, Ben Schactschneider, Capital Development...
Enforcement 07/02/2021
Lambert Vander Tuig, Ben Schactschneider, Capital Development Resources f/k/a...
Enforcement 07/02/2021
TREAS
TREAS published 10 updates: 1 Proposed Rule, 2 Notice, 4 Press Release, 3 Statement
Remarks by Acting Under Secretary of International Affairs at the U.S. Depart...
Statement 07/02/2021
Treasury Sanctions Senior Officials and Family Members Connected to Burma's Military
Press Release 07/02/2021
Privacy Act of 1974; System of Records
Notice 07/02/2021
Patient Protection and Affordable Care Act; Updating Payment Parameters, Sect...
Proposed Rule 07/01/2021
Treasury Statement Following IMF Article IV Consultation
Statement 07/01/2021
Treasury's Federal Insurance Office Releases Study of Small Insurer Competiti...
Press Release 06/30/2021
VA
VA published 11 updates: 1 Circular, 10 Notice
Agency Information Collection Activity: VHA Homeless Programs-Project CHALENG...
Notice 07/02/2021
Agency Information Collection Activity: Student Beneficiary Report-Restored E...
Notice 07/01/2021
Agency Information Collection Activity: Interest Rate Reduction Refinancing L...
Notice 06/30/2021
Agency Information Collection Activity: uSPEQ=C2=AE Consumer Experience Survey (Re...
Notice 06/30/2021
Agency Information Collection Activity: Interest Rate Reduction Refinancing L...
Notice 06/30/2021
Agency Information Collection Activity Under OMB Review: Contract for Trainin...
Notice 06/30/2021
Circular 26-20-10 Change 2 - Updated Lender Guidance for Borrowers Affected F...
Circular 06/29/2021
Agency Information Collection Activity Under OMB Review: On-the-Job Training ...
Notice 06/28/2021
Agency Information Collection Activity Under OMB Review: Application for Conversion
Notice 06/28/2021
Agency Information Collection Activity Under OMB Review: Enrollment Certification
Notice 06/28/2021
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