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

FINRA enforcements decreased 70% over the past 30 days
SEC issued enforcements: $289,563,885 over the past 30 days
161 Final Rules go into effect in the next 30 days

65 Mortgage Lending docs published in the last 7 days

1460 docs with 2637 extracted obligations from the last 7 days

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


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

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All Courses > Default Filter Configuration

Default Filter Configuration

Hone in on content that is critical to your business by using  Default Filters. Narrow your content funnel by selecting three types of filters: Topics, Regulatory Sources (includes Agencies and Jurisdictions), News & Premium Content, and Document Types.

Topics: Take advantage of Compliance.ai’s combination of Expert-in-the-Loop and Machine Learning assessments to concentrate your searches on documents that match key financial service industry topics. For added convenience, leverage Compliance.ai’s Concepts to search for documents related to critical facets of financial product, operational, risk and compliance.

Default Filters Concepts

Regulatory Sources: Follow specific agencies in the jurisdictions where you do business.

Note: Remember to Add a Jurisdiction if you do business internationally and check for Other US Sources if you don’t see specific agencies you follow in the default US Agencies list. If you can’t find a regulator or jurisdiction you follow, you can always request new sources by clicking “Request More Info” and submitting a suggestion or contacting us at support@compliance.ai. Compliance.ai is committed to providing the documents you need. We follow hundreds of sources and add dozens more every month.

Regulatory Sources Default Filter

News & Premium Content: Review documents published by news & premium content providers to receive broader coverage of the themes and trends you care about most. If you would like us to follow additional News & Premium Content Sources, click “Request More Info” and submit a suggestion or contact us at support@www.compliance.ai.

News and Premium Content Default Filter

Document Types: Surface only the document types that are most relevant to your areas of responsibility at a high-level (e.g., follow all types of Enforcement documents) or a very granular level (e.g., follow all types of Letters & Comments except Comment and Response to reduce noise) as needed.


DF Doc Types


We’re always adding new sources, so you can also easily opt in to follow potential future document types by selecting “Follow new document types” within any document type category. If you are following all documents within a category, this is pre-selected for you, but you can choose to follow new document types within any category.

Follow new document types DF


You can find detailed information on document types on Compliance.ai’s corporate website:

Document type definitions: Category (Document Type) Definitions

Determine relevance of document types by jurisdiction: Compliance.ai Jurisdictions