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

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FINRA enforcements decreased 70% over the past 30 days
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SEC issued enforcements: $289,563,885 over the past 30 days
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161 Final Rules go into effect in the next 30 days
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65 Mortgage Lending docs published in the last 7 days

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1460 docs with 2637 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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5953 new docs in pro.compliance.ai within the last 7 days

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All Courses > Regulatory Insights

Regulatory Insights

Regulatory Insights gives you a graphical view of document and enforcement trends across agencies and time periods. Check Regulatory Insights to understand trends in enforcement activities, rule publication, and regulations so that you can focus your attention on the right agencies, document types, and legislation today, and reallocate your resources to address areas that you expect will require additional scrutiny in the future.

Insights Widget Details

Regulatory Activities: Synthesizes data to help you understand the volume and velocity of key document types published by agencies over multiple time periods.

Features:

  • View data over your preferred time period: This Quarter (most recent 90 days), Last Quarter (prior 90 days), This Year (most recent 365 days), Last Year (prior 365 days)
  • Select to view either All Agencies within the platform or just “My Agencies”, which you have selected in your Default Filters
  • Hover over the graph to view document count
  • Click on the graph to review all documents represented within a specific agency / document type in the standard Search view.

Final & Proposed Rules: Presents a summary of final and proposed rules published by agencies over your preferred time period to help you plan resources.

Features:

  • View data over your preferred time period: This Quarter (most recent 90 days), Last
    Quarter (prior 90 days), This Year (most recent 365 days), Last Year (prior 365 days)
  • Select to view either All Agencies within the platform or just “My Agencies”, which you
    have selected in your Default Filters
  • Hover over the graph to view document count
  • Click on the graph to review all documents represented within a specific agency / document type in the standard Search view

Enforcement Actions: Past 12 Months: Helps you focus on the most active agencies by providing a 12 month snapshot of enforcement documents published by all agencies or just the agencies you follow..

Features:

  • View data over your preferred time period: This Quarter (most recent 90 days), Last
    Quarter (prior 90 days), This Year (most recent 365 days), Last Year (prior 365 days)
  • Select to view either All Agencies within the platform or just “My Agencies”, which you have selected in your Default Filters
  • Hover over the graph to view document count
  • Click on the graph to review all documents represented within a specific agency / document type in the standard Search view.

 

Financial Agency Trends: Track final rules and enforcements related to named regulations or a selected acts over an extended period of time to understand the impact of this critical legislation.

Features:

  • See an aggregated view of all rules and enforcements published by your default agencies or all agencies with respect to your selected regulation or act.
  • Hover to view document counts.
  • Click on the graph to see documents included in the standard Search view.

Enforcement Action Explorer: Check on the types of enforcements published by your agencies over specific time periods.

Features:

  • View data over your preferred time period: This Quarter (most recent 90 days), Last
    Quarter (prior 90 days), This Year (most recent 365 days), Last Year (prior 365 days)
  • Select to view either All Agencies within the platform or just “My Agencies”, which you have selected in your Default Filters
  • View types of enforcement documents published
  • Hover over the graph to view document count
  • Click on the graph to review all documents represented within a specific agency / document type in the standard Search view.

Regulations Related to Policies: If you add your own organization’s policies to Assurance AI, you can review relationships between your organization’s policies and regulations published by agencies you follow over specific time periods. The report is designed to help you identify current and emerging regulations that are likely to impact your policies.

Features:

  • View data over your preferred time period: This Quarter (most recent 90 days), Last
    Quarter (prior 90 days), This Year (most recent 365 days), Last Year (prior 365 days)
  • Hover over the graph to view document count
  • Click on the graph to review all documents represented within a specific agency / document type in the standard Search view.

Regulations Updates Related to Policies: If you add your own organization’s policies to Assurance AI, you can review relationships between your organization’s policies and regulations published by agencies you follow over time. The report is designed to help you identify trends in the pace of regulations related to your policies.

Features:

  • View data over your preferred time period: This Quarter (most recent 90 days), Last
    Quarter (prior 90 days), This Year (most recent 365 days), Last Year (prior 365 days)
  • Hover over the graph to view document count
  • Click on the graph to review all documents represented within a specific agency / document type in the standard Search view.

Customizing Insights

You can drag and drop any of these widgets to rearrange the order of the widgets to your preferences.

To add or remove any of the widgets, click on the “Customize” dropdown list at the top left of the screen, and click the checkmark next to the widget’s name.

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