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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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Enforcement action change
 
  This week - ending Feb 06, 2022
  Most recent 90 days - Nov 08, 2021 - Feb 06, 2022
  Previous 90 days - Aug 09, 2021 - Nov 07, 2021
 

FINRA
21%

    148 docs
 
  122 docs
 

OFAC
12%

    54 docs
 
  48 docs
 

FDIC
-11%

    16 docs
 
  18 docs
 

FTC
-43%

    119 docs
 
  210 docs
 

SEC
-51%

    206 docs
 
   
417 docs
 

DOJ
-70%

    6 docs
 
  20 docs
 

OCC
N/A

    5 docs
 
  18 docs
 

TREAS
N/A

    5 docs
 
  6 docs
 

CFPB
N/A

    2 docs
 
  15 docs
 

FINCEN
N/A

    1 doc
 
  1 doc
 

CFTC
N/A

     
 
  51 docs
 

HUD
N/A

     
 
  4 docs
 

NYSE
N/A

     
 
  3 docs
 

NYSE Arca
N/A

     
 
  1 doc
 
See full report     See further insights

This week's documents

FINRA 7 Enforcement Documents
$0.0 in Fines
Title: Michael G. Mancinelli AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 02/04/2022
Violation: -
Penalty: -
Title: Lynn Cooper Faust AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 02/04/2022
Violation: -
Penalty: -

See all 7 Documents
OFAC 2 Enforcement Documents
$0.0 in Fines
Title: Counter Terrorism Designation
Doc Type: Financial Sanction
Published: 02/03/2022
Violation: -
Penalty: -
Title: Issuance of Counter Terrorism-related Frequently Asked Questions
Doc Type: Financial Sanction
Published: 02/02/2022
Violation: -
Penalty: -

See all 2 Documents
FTC 5 Enforcement Documents
$0.0 in Fines
Title: Notice of Appearance by Counsel Supporting the Complaint (2 MB) Nvidia/Arm, In the Matter of (Administrative)
Doc Type: Complaint
Published: 02/03/2022
Violation: -
Penalty: -
Title: Notice of Appearance by Counsel Supporting the Complaint (2.01 MB) Nvidia/Arm, In the Matter of (Administrative)
Doc Type: Complaint
Published: 02/03/2022
Violation: -
Penalty: -

See all 5 Documents
SEC 6 Enforcement Documents
$0.0 in Fines
Title: SEC Complaint - Safeguard Metals LLC and Jeffrey S. Santulan
Doc Type: Enforcement
Published: 02/02/2022
Violation: -
Penalty: -
Title: Safeguard Metals LLC and Jeffrey S. Santulan
Doc Type: Enforcement
Published: 02/02/2022
Violation: -
Penalty: -

See all 6 Documents
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