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 > Insights

Insights

Insights gives you a graphical view of document and enforcement trends across agencies and time periods. Check 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.

Regulatory Activity

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

Final & Proposed Rules

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:

  • 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 12 Months

Enforcement Action Violations: Review a summary of enforcements published over 18 months by type of violation and agency to gain an understanding of risk factors.

Features:

  • Heat map highlighting the distribution of enforcement violations by agency.
  • Select to view either All Agencies or just “My Agencies”, which you have selected in your Default Filters.

Enforcement Actions Violations

Financial Agency Trends: Dodd-Frank Act: Track final rules and enforcements related to Dodd-Frank 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 key agencies including: CFPB, FDIC, SEC, FRS, and OCC related to the Dodd-Frank Act.
  • Hover to view document counts.
  • Click on the graph to see documents included in the standard Search view.

Financial Agency Trends

Enforcement Action Explorer: Check enforcement actions published by agencies you follow over the past 7 days and compare against longer-term Insight widgets to get a sense of change in pace and velocity.

Features:

  • Review enforcement action volume from agencies you follow over the previous 7 days.
  • Hover to view document counts.
  • Click on the graph to see documents included in the standard Search view.

 

Enforcement Explorer Graph

Customizing Insights

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

Customizing Insights

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

Customize Dropdown