Regulatory Agency Updates | Week of Aug 10 to Aug 17

Enforcement Report Aug 10 - 17 feat img

Enforcement Report Aug 10 - 17

 
 
CFPB
 
 
 
 

Comment: Treatment of Certain COVID-19 Related Loss Mitigation Options Under th... | 08/14/2020

Comment: Treatment of Certain COVID-19 Related Loss Mitigation Options Under th... | 08/14/2020

Comment: Treatment of Certain COVID-19 Related Loss Mitigation Options Under th... | 08/14/2020

Comment: Treatment of Certain COVID-19 Related Loss Mitigation Options Under th... | 08/13/2020

Comment: Treatment of Certain COVID-19 Related Loss Mitigation Options Under th... | 08/13/2020

Comment: Treatment of Certain COVID-19 Related Loss Mitigation Options Under th... | 08/12/2020

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati... | 08/11/2020

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati... | 08/11/2020

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati... | 08/11/2020

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati... | 08/11/2020

 
 
 
CFTC
 
 
 
 

Enforcement: Order: Interactive Brokers... | 08/10/2020

News: CFTC Orders Interactive Brokers LLC to Pay More Than $12 Million for A... | 08/10/2020

 
 
 
DOJ
 
 
 
 

Proposed Rule: Registration Requirements Under the Sex Offender Registration and Noti... | 08/13/2020

Notice: Agency Information Collection Activities; Proposed Collection Comments... | 08/13/2020

Notice: Agency Information Collection Activities; Proposed Collection Comments... | 08/13/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Comprehensive E... | 08/12/2020

Notice: Notice of Lodging Proposed Consent Decree... | 08/12/2020

Notice: Agency Information Collection Activities; Proposed eCollection, eComme... | 08/10/2020

Notice: Agency Information Collection Activities; Proposed eCollection, eComme... | 08/10/2020

Notice: Agency Information Collection Activities; Proposed eCollection, eComme... | 08/10/2020

Notice: Agency Information Collection Activities; Proposed eCollection, eComme... | 08/10/2020

Notice: Agency Information Collection Activities; Proposed eCollection, eComme... | 08/10/2020

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 08/14/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 08/14/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 08/14/2020

Notice: Meeting of the Labor Advisory Committee for Trade Negotiations and Tra... | 08/10/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 08/10/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 08/10/2020

 
 
 
EBSA
 
 
 
 

News: Court Sentences Former Union Health Plan Trustee and Vice President To... | 08/13/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Adjusting Imports of Aluminum Into the United States... | 08/14/2020

Presidential Document: Continuation of the National Emergency With Respect to Export Control ... | 08/14/2020

Presidential Document: Fighting the Spread of COVID-19 by Providing Assistance to Renters and... | 08/14/2020

Presidential Document: Combating Public Health Emergencies and Strengthening National Securit... | 08/14/2020

Presidential Document: Continued Student Loan Payment Relief During the COVID-19 Pandemic... | 08/13/2020

Presidential Document: Deferring Payroll Tax Obligations in Light of the Ongoing COVID-19 Dis... | 08/13/2020

Presidential Document: Extension of the Use of the National Guard To Respond to COVID-19 and ... | 08/12/2020

Presidential Document: Extension of the Use of the National Guard To Respond to COVID-19 and ... | 08/12/2020

Presidential Document: Extension of the Use of the National Guard To Respond to COVID-19 and ... | 08/12/2020

Presidential Document: Addressing the Threat Posed by TikTok, and Taking Additional Steps To ... | 08/11/2020

 
 
 
FFIEC
 
 
 
 

Notice: Appraisal Subcommittee; Order Extending Commercial Real Estate Transac... | 08/13/2020

 
 
 
FINCEN
 
 
 
 

Notice: Agency Information Collection Activities; Proposed Renewal; Comment Re... | 08/13/2020

Notice: Agency Information Collection Activities; Proposed Renewal; Comment Re... | 08/13/2020

Notice: Agency Information Collection Activities; Proposed Renewal; Comment Re... | 08/10/2020

Final Rule: Financial Crimes Enforcement Network; Repeal of Special Measure Involv... | 08/10/2020

Final Rule: Financial Crimes Enforcement Network; Withdrawal of the Notice of Find... | 08/10/2020

 
 
 
FINRA
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): Clifton Hideki Roberts AWCs (Letters of Acceptance, Waiver, and Consen... | 08/14/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Network 1 Financial Securities Inc. AWCs (Letters of Acceptance, Waive... | 08/14/2020

Notices: Regulatory Notice 20-28 Update to Security Futures Risk Disclosure Sta... | 08/14/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Luke C. Nelson AWCs (Letters of Acceptance, Waiver, and Consent)... | 08/13/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Andrew M. Arthur AWCs (Letters of Acceptance, Waiver, and Consent)... | 08/13/2020

AWCs (Letters of Acceptance, Waiver, and Consent): BGC Financial, L.P. AWCs (Letters of Acceptance, Waiver, and Consent)... | 08/13/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Michael Erwin AWCs (Letters of Acceptance, Waiver, and Consent)... | 08/13/2020

Notices: Regulatory Notice 20-27 FINRA Alerts Firms to Use of Fake FINRA Domain... | 08/12/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Richard Denecker AWCs (Letters of Acceptance, Waiver, and Consent)... | 08/12/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Yvonne M. Nirelli AWCs (Letters of Acceptance, Waiver, and Consent)... | 08/12/2020

 
 
 
FRS
 
 
 
 
 
 

SR Letter: SR 20-20 Updated Fingerprinting Process Related to Applications Review... | 08/14/2020

Speech: An Update on Digital Currencies - Governor Lael Brainard... | 08/13/2020

SR Letter: SR 20-19 Joint Statement on Enforcement of Bank Secrecy Act/Anti-Money... | 08/13/2020

Press Release: Federal Reserve highlights research and experimentation undertaken to ... | 08/13/2020

Press Release: Joint Statement on Enforcement of Bank Secrecy Act/Anti-money Launderi... | 08/13/2020

Press Release: Federal banking agencies issue joint statement on enforcement of Bank ... | 08/13/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba... | 08/12/2020

Press Release: Term sheet: Municipal Liquidity Facility (PDF) - Federal Reserve Board... | 08/11/2020

Notice: Notice of Proposals To Engage in or To Acquire Companies Engaged in Pe... | 08/11/2020

Press Release: Federal Reserve Board announces revised pricing for its Municipal Liqu... | 08/11/2020

 
 
 
FTC
 
 
 
 
 
 
 
 

Final Rule: Contact Lens Rule... | 08/17/2020

Enforcement Order: Decision and Order (116.42 KB) Tri Star Energy and Hollingsworth Oil, ... | 08/14/2020

News: FTC Approves Final Order Imposing Conditions on Tri Star Energy, LLC's... | 08/14/2020

News: FTC Staff Issue Perspective Paper on Video Game Loot Boxes Workshop... | 08/14/2020

Blog: The hearing may be virtual, but the rules are the same... | 08/14/2020

News: FTC Sends Letters Warning 20 More Marketers to Stop Making Unsupported... | 08/14/2020

Complaint: Complaint (49.24 KB) Tri Star Energy and Hollingsworth Oil, In the Mat... | 08/14/2020

News: FTC Adds Charges Against Auto Marketer For Deceptive "Prize" Mailers... | 08/13/2020

Event: POSTPONED - 2nd Marketing Science-FTC Conference on Marketing and Cons... | 08/11/2020

Event: POSTPONED - 2nd Marketing Science-FTC Conference on Marketing and Cons... | 08/11/2020

 
 
 
Fannie
 
 
 
 

Industry Guidance: Lender Letter LL-2020-12 - New Adverse Market Refinance Fee... | 08/12/2020

 
 
 
Freddie
 
 
 
 

Bulletin: Bulletin 2020-32 Adverse Market Refinance Fee... | 08/12/2020

 
 
 
INT-EC
 
 
 
 

News: July-August issue of newsletter is out!... | 08/12/2020

News: July-August issue of newsletter is out!... | 08/12/2020

 
 
 
INT-FSB
 
 
 
 

Agency Update: FSB Continuity of Access to FMIs for firms in resolution: streamlined ... | 08/14/2020

News: FSB publishes questionnaire on continuity of access to FMIs for firms ... | 08/14/2020

Agency Update: FSB Continuity of Access to FMIs for firms in resolution: streamlined ... | 08/14/2020

News: Central Banking interview on the FSB's too-big-to-fail evaluation... | 08/12/2020

Agency Update: Public responses to consultation on Guidance on financial resources to... | 08/10/2020

Agency Update: Public responses to consultation on Guidance on financial resources to... | 08/10/2020

Agency Update: Public responses to consultation on Guidance on financial resources to... | 08/10/2020

Agency Update: Public responses to consultation on Guidance on financial resources to... | 08/10/2020

Agency Update: Public responses to consultation on Guidance on financial resources to... | 08/10/2020

Agency Update: Public responses to consultation on Guidance on financial resources to... | 08/10/2020

 
 
 
INT-IOSCO
 
 
 
 

Final Rule: FR07/2020 Liquidity Provision in the Secondary Markets for Equity Secu... | 08/11/2020

Media Release: IOSCO examines the evolution of liquidity provision in equity securiti... | 08/11/2020

 
 
 
INT-TWG
 
 
 
 

News: Publication of Wolfsberg Group statement on Developing an Effective AM... | 08/12/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of ... | 08/12/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Order Gran... | 08/12/2020

 
 
 
OCC
 
 
 
 
 
 

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub... | 08/14/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub... | 08/14/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub... | 08/14/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub... | 08/14/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub... | 08/13/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub... | 08/13/2020

Notice: Agency Information Collection Activities: Information Collection Renew... | 08/13/2020

Notice: Minority Depository Institutions Advisory Committee... | 08/13/2020

Final Rule: Collective Investment Funds: Prior Notice Period for Withdrawals... | 08/13/2020

Bulletin: OCC 2020-74 Collective Investment Funds: Prior Notice Period for Withd... | 08/13/2020

 
 
 
OFAC
 
 
 
 

Notice: Notice of OFAC Sanctions Action... | 08/12/2020

Notice: Notice of OFAC Sanctions Action... | 08/12/2020

Final Rule: Adjustment of Applicable Schedule Amount... | 08/11/2020

Notice: Notice of OFAC Sanctions Actions... | 08/11/2020

Notice: Notice of OFAC Sanctions Actions... | 08/11/2020

Financial Sanction: Settlement Agreement between the U.S. Department of the Treasury's Off... | 08/11/2020

Financial Sanction: Issuance of new Sudan Program and Darfur Sanctions Guidance and a rela... | 08/11/2020

Financial Sanction: Amendment of the definition of the term "Applicable Schedule Amount" w... | 08/10/2020

 
 
 
SEC
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and I... | 08/14/2020

Notice: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Fil... | 08/14/2020

Notice: Sunshine Act Meetings... | 08/14/2020

Notice: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and I... | 08/14/2020

Notice: Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filin... | 08/14/2020

Enforcement: Milan K. Patel, Esq.... | 08/14/2020

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designat... | 08/14/2020

Notice: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and I... | 08/14/2020

Notice: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Fili... | 08/14/2020

Notice: Self-Regulatory Organizations; The Options Clearing Corporation; Notic... | 08/14/2020

 
 
 
TREAS
 
 
 
 

News: U.S. Department of the Treasury... | 08/14/2020

News: U.S. Department of the Treasury... | 08/14/2020

News: U.S. Department of the Treasury... | 08/12/2020

News: U.S. Department of the Treasury... | 08/11/2020

 
 
 
UK-BOE
 
 
 
 
 
 

Working Paper: Does bonus cap curb risk taking? An experimental study of relative per... | 08/14/2020

Working Paper: Does bonus cap curb risk taking? An experimental study of relative per... | 08/14/2020

Minutes: Fourth meeting of the PRA and FCA's joint Climate Financial Risk Forum... | 08/14/2020

Working Paper: Does quantitative easing boost bank lending to the real economy or cau... | 08/14/2020

Working Paper: Does quantitative easing boost bank lending to the real economy or cau... | 08/14/2020

Agency Update: Consolidated Market Notice: Asset Purchase Facility: Gilt Purchases... | 08/13/2020

Weekly report: Bank of England Weekly Report 12 August 2020 -- Further details about ... | 08/13/2020

Weekly report: Bank of England Weekly Report 12 August 2020 -- View and download hist... | 08/13/2020

Weekly report: Bank of England Weekly Report 12 August 2020 -- Changes to the Bank's ... | 08/13/2020

Minutes: Minutes of the Post-Trade Task Force meeting - July 2020... | 08/13/2020

 
 
 
UK-CMA
 
 
 
 

News Story: Provisional conclusions issued in CMA funerals market investigation... | 08/13/2020

 
 
 
UK-FCA
 
 
 
 
 
 

News: Credit and Loan Management Limited (Clone of FCA authorised firm)... | 08/17/2020

News: Thierry Rochelle Private Equity (clone of an EEA authorised firm)... | 08/17/2020

News: Saga Services Limited (clone of FCA authorised firm)... | 08/17/2020

News: COFINANCIAL... | 08/14/2020

News: Best Bonds Now... | 08/14/2020

News: UK Bond Finder... | 08/14/2020

Publication: FCA response to letter from IICSA... | 08/14/2020

News: Oakfort Recovery... | 08/14/2020

News: Integral Asset Management (clone of authorised firm)... | 08/14/2020

News: Trade FXX... | 08/14/2020

 
 
 
UK-HMT
 
 
 
 

News Story: Millions of self employed to benefit from second stage of support sche... | 08/17/2020

News Story: Million of self employed to benefit from second stage of support schem... | 08/17/2020

Guidance: Country and regional analysis guidance 2020... | 08/10/2020

 
 
 
UK-ICO
 
 
 
 

Monetary penalties: Koypo Laboratories Ltd -- Koypo Laboratories Ltd... | 08/12/2020

Agency Update: Koypo Laboratories Ltd... | 08/12/2020

 
 
 
UK-PRA
 
 
 
 

Letter: Letter from Mel Beaman 'Building societies sourcebook - fixed rate len... | 08/11/2020

Letter: Letter from Mel Beaman 'Building societies sourcebook - fixed rate len... | 08/11/2020

 
 
 
VA
 
 
 
 

Notice: Agency Information Collection Activity: Expanded Access to Non-VA Care... | 08/14/2020

Notice: IHS/THP Reimbursement Agreements Program-AI/AN Veterans Care Coordinat... | 08/12/2020

Notice: Veterans' Family, Caregiver, and Survivor Advisory Committee, Notice o... | 08/11/2020

Notice: Advisory Committee on Disability Compensation; Notice of Meeting... | 08/11/2020

 

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