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

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Enforcement action change
 
  This week - ending Jan 26, 2025
  Most recent 90 days - Oct 28, 2024 - Jan 26, 2025
  Previous 90 days - Jul 29, 2024 - Oct 27, 2024
 

CFPB
50%

    24 docs
 
  16 docs
 

FRS
6%

    17 docs
 
  16 docs
 

DOJ
3%

    31 docs
 
  30 docs
 

FTC
-6%

    249 docs
 
  265 docs
 

OFAC
-9%

    29 docs
 
  32 docs
 

FINRA
-17%

    150 docs
 
  181 docs
 

SEC
-31%

    309 docs
 
   
445 docs
 

FDIC
-33%

    14 docs
 
  21 docs
 

OCC
-55%

    17 docs
 
  38 docs
 

CFTC
-80%

    12 docs
 
  59 docs
 

NCUA
N/A

    9 docs
 
  5 docs
 

HUD
N/A

    4 docs
 
  6 docs
 

FINCEN
N/A

     
 
  2 docs
 
See full report     See further insights

This week's documents

DOJ 4 Enforcement Documents
$0.0 in Fines
Title: Consent Decree - United States v Tracy Stapula and Marc Morin
Doc Type: Consent Order
Published: 01/22/2025
Violation: -
Penalty: -
Title: Complaint - United States v Tracy Stapula and Marc Morin
Doc Type: Complaint
Published: 01/22/2025
Violation: -
Penalty: -

See all 4 Documents
FTC 12 Enforcement Documents
$0.0 in Fines
Title: Respondents' Opposition to Complaint Counsel's Application for Review of Witness Caps in the Scheduling Order -- Caremark Rx, Zinc Health Services, et al., In the Matter of (Insulin)
Doc Type: Complaint
Published: 01/23/2025
Violation: -
Penalty: -
Title: Petition to Reopen and Set Aside Order -- Enbridge and Spectra Energy
Doc Type: Enforcement Order
Published: 01/22/2025
Violation: -
Penalty: -

See all 12 Documents
FINRA 11 Enforcement Documents
$0.0 in Fines
Title: Donald P. McCarthy AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 01/24/2025
Violation: -
Penalty: -
Title: Carlton Perry Fletcher AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 01/24/2025
Violation: -
Penalty: -

See all 11 Documents
SEC 15 Enforcement Documents
$0.0 in Fines
Title: Michael A. Gramins
Doc Type: Enforcement Order
Published: 01/24/2025
Violation: -
Penalty: -
Title: SEC Complaint -- Alexander C. Beckman and Valerie H. Lau
Doc Type: Complaint
Published: 01/24/2025
Violation: -
Penalty: -

See all 15 Documents
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