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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Considering RCM Solutions?  Here's an RFP to get started.
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All Courses > Enforcement Explorer

Regulatory Change Management Tool

Enforcement Regtech Solution

Enforcement Explorer

The Enforcement Explorer helps you stay abreast of enforcement documents issued by your default agencies. We extract key information from enforcements, including respondents, details on violations, and penalties, so that you can understand what’s occurring with your peer group without having to drill into each document. The enforcement graph also gives you a handy overview of the most active agencies over the previous months.

Features:

  • Review the enforcements graph to see the number of enforcement documents and penalties issued by the agencies you follow over the most recent month.
  • Search within this view or simply access the page to see today’s enforcement document.
  • Search by enforcement-specific data fields including: respondent, violation, and penalty amount.
  • Select a document to access document meta-data and the PDF via the Details right pane.
  • Access additional right pane tools for the document including: Expert Connections, Related DocumentsTasks (Team Edition only), Annotations and Obligations.
  • Select multiple documents to leverage cross-document tools located above the document list including: Add to Folder, Email, Print, Export via CSV, HTML or PDF, Change/Diffing, and Add to Workflows.

Enforcement Explorer: View

Enforcement Explorer

Enforcement Explorer: View

Enforcement Explorer Search