Category (Document Type)

Category Type allows users to filter based on a particular or specified set of Document Types. Please note, the Category Type in Compliance.ai's Search API is sensitive to capitalization.

 

Category Type Description
Proposed Rule Draft of a regulation.
Final Rule Final regulation. Individuals and companies must be in compliance with this.
Notice Notices may include requests for comments on proposed rules, upcoming meetings, changes to rules, etc.
Presidential Document Documents published by the president. May include Executive Orders, Memos, and others.
Agency Update This is a catch-all for documents from agencies. This category excludes sub-categories of Enforcement or News.
SRO Update These documents are from SROs (NYSE and FINRA are Self-Regulatory Organizations)
Enforcement Enforcement Actions, or related documents, taken by the federal government against an entity. An individual or company did something wrong, and the enforcement actions tells them the penalty and requirements to correct the issue.
Enforcement Document One enforcement document. Several documents may be associated with one action.
Enforcement Action One enforcement action. Several enforcement documents may be associated with one action.
Enforcement Metadata Metadata associated with Enforcements. For example, you may find metadata on a table of 2017 enforcements that provides respondent and penalty. We associate this with the relevant Enforcement when possible.
News What an agency calls “news,” which may include press releases, speeches, events, and blogs.
Mainstream News News from mainstream (non-agency) sources. We provide short summaries from RSS feeds, and link users to external articles.
Whitepaper Articles on Lexology are usually white papers (authoritative report on an issue) published by law firms.
Regulatory Agenda Item One item (document) from the regulatory agenda.
Unified Regulatory Agenda List of all items published in one issue of the Regulatory Agenda.
US Code US Code document
US Code Navigation Navigation page for US code. This may be a Title, Chapter, or Sub-Chapter, for example.
State Code State regulatory or statutory code
State Code Navigation Navigation page for state code document. This may be a Title, Chapter, or Sub-Chapter, for example.
US Public Law US Public Law
US Public Law Navigation Navigation page for US Public Law, organized by the Legislative Session in which the law was published.
Announcement News documents related to enforcements.
Bulletin Documents categorized by the publisher (usually a federal agency) as "Bulletin."
Report Documents categorized by the publisher (usually a federal agency) as "Report."
Guidance Documents categorized by the publisher (usually a federal agency) as "Guidance."
SR Letter Supervision and Regulatory Letters published by the Board of Governors of the Federal Reserve System
Comment Comments submitted by the public on documents like proposed rules and notices.
Consultation paper Are the formal documents (Proposed Rules and notice for comments) by which the PRA sets out draft proposals and invite comments on them from the public, they carry a deadline for the submission of comments.
Discussion paper Discussion papers are used to stimulate debate on issues about which the PRA is considering making rules or setting out expectations. They use the responses to help formulate their policies. This is a previous step to a CP
Policy statement “Policy statement“ When issued by the PRA (PS): Policy statements set out the PRA’s feedback on consultation responses (comments), together with the PRA’s policy line. The PRA will only issue feedback when it deems it appropriate.
Policy statement When issued by the FCA. This is the text of the Regulation that goes in the handbook. A PS follows a CP once the consultation period is over and we have considered the responses. In a PS the FCA publishes its response to the answers they received to the original CP questions and set out our rules.
Supervisory statement Supervisory statements set flexible frameworks for firms, incorporating new and existing expectations. They focus on the PRA’s expectations and are aimed at facilitating firm and supervisory judgment in determining whether they meet those expectations. They do not set absolute requirements – these are contained in rules.
Statement of policy Statements of policy are the formal documents in which the PRA details its policies on a particular matter.