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 > Document Tools Overview

Compliance News

Enforcement Explorer

Document Tools Overview

Once the Compliance.ai platform brings your search results to light, when you find a document of interest, select the document and watch the right panel (document tools) reveal the critical meta-data including a summary, key dates, docket IDs and related CFRs where applicable, and document labels added by you and your colleagues related to that specific document.

News provides relevant news items published by the agencies you follow, as well as mainstream news stories from publications you’ve indicated interest in your defaults.

Enforcement Explorer allows you to drill into enforcement actions issued and gives a graphical representation of relevant, recent documents. You also have a special search capability which allows you to search on attributes specific to enforcements, such as details about the violation, the respondents, and the penalty if applicable.

From the Search Results, you can select one, many or all documents using the checkbox and perform the following actions for all selected documents:

  • Add to a folder for later review or to share with colleagues
  • Send an email notifying other colleagues of the document or documents
  • Open PDFs and print
  • Download the document meta-data in CSV or Excel format or download HTML or PDF version of the documents.
  • Add workflows to documents on the fly
  • Or, compare the text within two related documents for changes (see Changes / Diffing in the Training Center)

The right panel provides expansive access to robust meta data and tools to help assess regulatory content per document, including:

  • Changes/Diffing, if you are reviewing a document that’s in a docket that includes multiple documents
  • Expert Connection when we have suggestions for Compliance.ai partners who can provide additional context to help guide you through the regulatory change;
  • Auto Summary, which provides a short summary of longer regulatory documents,
  • Related Documents when our system has identified related regulations, official versions in other languages, or even premium content that is directly connected to the document in view;
  • Tasks if you are a Team Edition user
  • Annotations, which allows you and your colleagues to highlight and take notes
  • As well as Obligations, which calls out obligatory language on regulatory documents.

For a more detailed understanding of our document metadata, workflow tools, and annotation capabilities, use the hyperlinks above to navigate to the relevant courses in the Training Center.