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Compliance & Legal
Legal Research
Court opinions, regulatory guidance, and enforcement actions. AI-summarized.
Financial Compliance
SEC, OCC, FDIC, Fed, FINRA, CFPB, FASB, and state banking regulators. One feed.
Insurance Compliance
State commissioner bulletins, NAIC model laws, and DOI enforcement actions.
Environmental Compliance
EPA enforcement, state environmental agencies, PFAS regulatory updates.
Data Privacy
State AG privacy enforcement, FTC actions, CPPA rulemaking, and HIPAA enforcement.
Tax Compliance
IRS guidance changes and state tax department bulletins.
AML Compliance
FinCEN, OCC, FDIC, Fed, FATF, and banking regulator enforcement.
Labor & Employment
NLRB decisions, EEOC guidance, DOL wage updates, and 50-state labor law changes.
Immigration Law
USCIS policy changes, visa bulletin updates, CBP processing changes.
Industry
Pharma & Life Sciences
FDA warning letters, drug approvals, ICH guidelines, EMA updates, and DEA scheduling.
Energy & Utilities
FERC orders, state PUC decisions, and energy regulatory changes.
Cybersecurity
CISA KEV catalog, ICS-CERT, NSA advisories, NIST CSF, and FedRAMP updates.
Healthcare Compliance
CMS transmittals, OIG work plan, HIPAA enforcement, and Medicaid updates.
Trade & Procurement
Recent changes
Texas Insurance Commissioner Bulletins - 2024
The Texas Department of Insurance has published its 2024 Commissioner Bulletins, providing guidance on various insurance-related matters. These bulletins cover topics such as data calls, hurricane response, and legislative updates, affecting insurers operating within the state.
Texas Insurance Commissioner Bulletins 2023
The Texas Department of Insurance has published its 2023 Commissioner Bulletins, covering a range of regulatory topics including data calls, legislative updates, and operational requirements for insurers. These bulletins provide guidance on specific reporting obligations and legislative changes impacting the insurance industry in Texas.
Wales Visitor Levy Costs Deduction Limit Regulations
The Welsh Government has published regulations establishing a limit on the deduction of costs associated with the Wales visitor levy. These regulations specify the maximum amount of expenditure that can be offset against the levy, impacting businesses liable for the tax.
Police Pension Scheme Scotland Amendment
The UK Government has amended the Police Pension Scheme for Scotland, with changes taking effect on April 1st, 2026. These amendments will impact pension provisions for police officers in Scotland.
Non-Domestic Rating High-Value Multiplier Regulations 2026
The UK government has enacted the Non-Domestic Rating High-Value Multiplier Regulations 2026, which will take effect on January 1, 2026. These regulations amend the non-domestic rating system, impacting businesses with high-value properties.
Court Dismisses IMM's Challenge to FERC's Ruling on PJM Meeting Access
The U.S. Court of Appeals for the D.C. Circuit dismissed a challenge brought by IMM against the Federal Energy Regulatory Commission's (FERC) ruling concerning access to PJM meetings. The court's decision upholds FERC's original determination.
Court Denies CenturyTel Review of NLRB Decision on Information Request
The U.S. Court of Appeals for the District of Columbia Circuit denied CenturyTel's petition for review of a National Labor Relations Board (NLRB) decision. The NLRB had found CenturyTel violated the National Labor Relations Act by failing to provide requested information to the International Brotherhood of Electrical Workers Local Union 768 regarding non-union technicians working within the union's jurisdiction.
Court finds FERC erred on capacity auction revision under FPA
The DC Circuit Court of Appeals found that the Federal Energy Regulatory Commission (FERC) erred in its reasoning for denying a review of a capacity auction revision. The court granted the petition for review, remanding the case for further consideration.
TSA Cybersecurity Authority Upheld
The U.S. Court of Appeals for the D.C. Circuit upheld the Transportation Security Administration's (TSA) authority to issue cybersecurity directives for airport operators. The court denied a petition for review filed by the Spokane Airport Board, affirming the TSA's regulatory power in this area.
Court Reviews FERC's TAPS Pipeline Tariff Ratemaking Authority
The U.S. Court of Appeals for the D.C. Circuit reviewed the Federal Energy Regulatory Commission's (FERC) ratemaking authority concerning the Trans Alaska Pipeline System (TAPS) tariffs. The court denied petitions from Petro Star Inc. and ConocoPhillips Alaska, upholding FERC's existing Quality Bank formula for valuing crude oil components.
Allen v. Allen - Case Opinion
The California Courts of Appeal have made available the opinion for the case Allen v. Allen, docket number B338855. This update provides access to the court's decision in this specific legal matter.
Semaan v. Mosier - Civil Appeal
This document provides details for the civil appeal case Semaan v. Mosier filed in the 4th District Court of Appeal in California. The case involves a dispute between the named parties, and further details are available through the provided URL.
Grant v. Chapman University - Case Filing
A new case, Grant v. Chapman University (case G064266), was filed on June 10, 2024. This filing initiates a legal proceeding in the California appellate courts.
Ohio man charged for threatening to kill Vice President
Ohio man charged for threatening to kill Vice President
Sex offender convicted of child exploitation, AI-generated abuse material
Sex offender convicted of child exploitation, AI-generated abuse material
Nigerian national sentenced over 8 years for inheritance fraud scheme
Nigerian national sentenced over 8 years for inheritance fraud scheme
Two defendants sentenced for illegal weapons export to South Sudan
Two defendants sentenced for illegal weapons export to South Sudan
P. v. Gomez - Published Opinion
The 4th District Court of Appeal has published an opinion in the case of P. v. Gomez. This document details the court's ruling and reasoning in this specific legal matter.
Conservatorship of A.B. - Published Opinion
The 1st District Court of Appeal has published an opinion in the conservatorship case of A.B. This published opinion clarifies legal precedent regarding conservatorships within California's appellate system.
Parsonage v. Wal-Mart Associates - Employment Law
The California Court of Appeal has issued an opinion in the case of Parsonage v. Wal-Mart Associates. This appellate decision addresses employment law issues, potentially impacting how wage and hour disputes are handled in California.
Esparza v. Super Ct. - Case Details
This document provides case details for Esparza v. Super Ct. The filing is from the California Courts and is dated February 5, 2026. It pertains to a specific court case and does not introduce new regulations or enforcement actions.
Bartholomew v. Parking Concepts, Inc. - Published Opinion
The California Court of Appeal published an opinion in Bartholomew v. Parking Concepts, Inc. This decision addresses legal principles relevant to employment and civil procedure within the state. The publication provides clarity on specific legal interpretations for employers and legal professionals.
FINRA Interpretive Letters on Rule Application
FINRA has published interpretive letters providing guidance on the application of specific FINRA rules under various circumstances. These letters clarify staff views on rules related to communications with the public, account transfers, and registration categories.
FINRA FAQs on Compliance, Advertising, AML, and Trade Reporting
FINRA has published a collection of Frequently Asked Questions (FAQs) covering various compliance topics, including customer assistance in investigations, 529 Savings Plans, accounts at other broker-dealers, advertising, alternative display facilities, anti-money laundering, arbitration, blue sheets, books and records, breakpoints, broker-dealer registration, recruitment disclosures, BrokerCheck, business continuity planning, and CRD.
FINRA Exemptive Letters List
FINRA has published a list of its exemptive letters, including those related to TRACE ATS Reporting, Municipal Securities, and Initial Public Offerings (IPOs). These letters provide guidance to industry professionals on FINRA's decision-making rationale for specific situations.
FINRA Proposes New Trade Reporting Facility Fees Rule
FINRA has proposed a new rule, FINRA Rule 7660B, to establish fees for FINRA members who do not use the FINRA/NYSE Trade Reporting Facility but purchase specified services. This proposal is open for public comment.
FINRA proposes rule changes for underwriting and private placements
FINRA has proposed rule changes to amend Rules 5110 and 5123 concerning underwriting terms and private placements. The proposed changes aim to clarify valuation methods for underwriting compensation, introduce new exemptions, and expand existing exemptions for certain investors.
FINRA Proposes New Outside Activities Rule, Deletes Old Ones
FINRA has filed a proposed rule change with the SEC to adopt a new Rule 3290 concerning outside activities requirements for registered persons and to delete existing Rules 3270 and 3280. The proposed changes aim to enhance member review of activities with heightened risks while reducing unnecessary burdens.
FINRA Proposes Intraday Margin Standards Replacing Day Trading Rules
FINRA has proposed a rule change to replace its current day trading margin provisions with intraday margin standards. This proposal, SR-FINRA-2025-017, would amend FINRA Rule 4210 and eliminate existing day trading margin requirements. The SEC is currently reviewing the proposal.
FINRA proposes rule change on bona fide market making exception
FINRA has proposed a rule change (SR-FINRA-2025-016) to amend FINRA Rule 6830 concerning data reporting under the Consolidated Audit Trail (CAT). The change aims to align reporting requirements with amendments to the CAT NMS Plan regarding the bona fide market making exception under SEC Regulation SHO.
FINRA Amends Annual Reports Extension Policy
FINRA has amended its Annual Reports Extension of Time Request Policy, updating the information required from firms and their auditors. The updated policy, effective December 29, 2025, streamlines the extension process by modifying auditor representation requirements and shifting certain representations to the firm's Principal Financial Officer.
FINRA Final Statements for Broker-Dealers and Investment Advisers
FINRA has made Final Statements available for broker-dealers and investment adviser firms regarding renewal fees for 2026. Firms must review their statements, reconcile any discrepancies, and remit additional payments by January 23, 2026.
FINRA Seeks Comment on Rule Revisions for Investor Protection
FINRA is seeking public comment on proposed rule revisions aimed at enhancing member firms' ability to protect senior investors from financial exploitation and all investors from fraud. The proposed amendments focus on customer account information and temporary delays for suspected fraud, with a comment deadline of March 9, 2026.
FINRA Trade Reporting Enhancements for Fractional Share Transactions
FINRA is reminding firms of upcoming trade reporting enhancements for fractional share transactions, effective February 23, 2026. Members will be required to report fractional share quantities up to six digits after the decimal in a new field.
FINRA Guidance on Negative Consent for Bulk Customer Account Transfers
FINRA has issued guidance to reduce burdens for broker-dealers regarding the use of negative consent for bulk customer account transfers. This notice eliminates the requirement for firms to submit draft letters to FINRA for review and approval, consolidating existing guidance and providing effective practices.
ICO Guidance on Subject Access Requests
The UK Information Commissioner's Office (ICO) has published guidance on subject access requests (SARs) under GDPR. The guidance is aimed at large businesses in the public, private, and third sectors, with resources also available for small businesses.
ICO Guidance on Individual Rights and GDPR
The UK's Information Commissioner's Office (ICO) has updated its guidance on individual rights under GDPR. This update is in anticipation of the Data (Use and Access) Act 2025 and indicates that further changes may occur. The guidance is primarily aimed at large businesses.
ICO Guidance on Lawful Basis for Personal Data Processing
The UK's Information Commissioner's Office (ICO) has updated its guidance on the lawful basis for processing personal data. This guidance is under review due to upcoming legislation, the Data (Use and Access) Act 2025, and may be subject to change.
UK GDPR: Controllers and Processors Definitions and Responsibilities
The UK's Information Commissioner's Office (ICO) has updated its guidance on definitions and responsibilities for data controllers and processors under UK GDPR. This update is in anticipation of the Data (Use and Access) Act 2025 and is suitable for large businesses, with resources also available for small businesses.
ICO Guidance on UK GDPR International Data Transfers
The UK's Information Commissioner's Office (ICO) has published updated guidance on international transfers of personal data under UK GDPR. The guidance consolidates information on adequacy regulations, appropriate safeguards, transfer risk assessments, and exceptions for restricted transfers.
MHRA Medical Devices Exceptional Use Authorisations List Updated
The UK's MHRA has updated its list of medical devices granted exceptional use authorisations. This guidance document provides transparency on manufacturers and devices that have received exemptions, including those whose authorisations have expired or been cancelled.
MHRA: Stop using non-sterile alcohol-free wipes due to infection risk
The MHRA and UKHSA are advising the public not to use four specific non-sterile alcohol-free wipe products due to contamination with Burkholderia stabilis bacteria. These products have been withdrawn from sale, but may still be in homes, and are linked to 59 cases, including one death.
MHRA: Quetiapine Oral Suspension Recalled Due to Incorrect Active Ingredient
The MHRA has issued a recall for all batches of quetiapine oral suspension manufactured by Eaststone Limited due to an incorrect amount of the active ingredient, potentially leading to overdose. Approximately 166 bottles manufactured between October 2025 and January 2026 are affected. Patients are advised not to stop medication without consulting a healthcare professional.
MHRA Updates GLP-1 Guidance on Pancreatitis Risk
The MHRA has updated product information regarding the small risk of severe acute pancreatitis associated with GLP-1 medications. Healthcare professionals and patients are reminded to be alert to symptoms, and the MHRA is investigating genetic factors influencing this risk.
MHRA Updates Semaglutide Guidance on NAION Risk
The MHRA has updated its guidance for semaglutide prescribers and patients regarding the very rare risk of non-arteritic anterior ischemic optic neuropathy (NAION). The update alerts healthcare professionals and patients to the symptoms and advises immediate medical attention if vision changes occur. This guidance follows three reports of NAION associated with semaglutide since 2018.
FTC Sending $22.8 Million to Consumers for Deceptive Real Estate Schemes
The FTC is returning nearly $23 million to 1,659 consumers who were defrauded by deceptive real estate schemes, specifically Sanctuary Belize and Kanantik. This second distribution includes checks averaging $16,462 for Sanctuary Belize investors and $6,346.39 for Kanantik investors.
FTC Settlement with Express Scripts to Lower Drug Costs
The FTC has secured a settlement with Express Scripts, Inc. (ESI), a major pharmacy benefit manager, requiring significant changes to its business practices. These changes are projected to lower drug costs for patients by up to $7 billion over 10 years and increase revenue for community pharmacies.
FTC ANPRM on Rental Housing Fees Submitted to OMB
The FTC has submitted a draft Advance Notice of Proposed Rulemaking (ANPRM) concerning fees in the rental housing market to the Office of Management and Budget (OMB) for review. This action signals the agency's intent to potentially create new rules to address deceptive or unfair fees charged to renters.
FTC Draft Rulemaking on Negative Option Plans Submitted for Review
The FTC has submitted a draft Advance Notice of Proposed Rulemaking (ANPRM) concerning its Negative Option Rule to the Office of Management and Budget (OMB) for review. This action indicates the agency is considering potential revisions or new regulations related to negative option plans, which are common in subscription services.
FTC Warns 42 Law Firms on Anticompetitive DEI Hiring Practices
The FTC has issued warning letters to 42 law firms regarding potentially anticompetitive employment practices related to Diversity, Equity, and Inclusion (DEI) hiring. The firms, which participated in the Mansfield Certification program, are cautioned that coordinating on candidate pools or sharing pay information may violate antitrust laws.
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