Regulatory Agency Updates | Week of Aug 24 to Aug 31

Enforcement Report Aug 24 -31 feat img

Enforcement Report Aug 24 - 31

 
 
CA-CANLII
 
 
 
 

Agency Update: Nunavut Mining Regulations, SOR/2014-69 [Modified on Aug 10, 2020]... | 08/27/2020

 
 
 
CA-OPC
 
 
 
 

News: Announcement: Commissioner writes to parliamentary committees on priva... | 08/28/2020

 
 
 
CFPB
 
 
 
 
 
 
 
 

Notice: Consumer Advisory Board Meeting... | 08/31/2020

Notice: Credit Union Advisory Council Meeting... | 08/31/2020

Notice: Community Bank Advisory Council Meeting... | 08/31/2020

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati... | 08/28/2020

Proposed Rule: Qualified Mortgage Definition Under the Truth in Lending Act (Regulati... | 08/28/2020

Blog: Bureau adopts new procedures for external peer review of important res... | 08/28/2020

Proposed Rule: CARD Act Rules Review Pursuant to the Regulatory Flexibility Act; Requ... | 08/28/2020

Press release: New CFPB Guide for Intermediaries to Assist Non-Filers to Access their... | 08/27/2020

Report: An updated review of the new and revised data points in HMDA: Further ... | 08/27/2020

Press release: Consumer Financial Protection Bureau Issues Analysis of HMDA Data Poin... | 08/27/2020

 
 
 
CFTC
 
 
 
 
 
 

Notice: Renewal of the Agricultural Advisory Committee... | 08/31/2020

News: CFTC Charges Multiple Individuals and Entities in $28 Million Ponzi Sc... | 08/28/2020

Enforcement: Complaint: Dennis Jali, et al.... | 08/28/2020

Agency Update: 20-22... | 08/27/2020

Proposed Rule: Regulatory Flexibility Agenda... | 08/26/2020

News: CFTC Adds More Than 20 Unregistered Foreign Entities to RED List... | 08/24/2020

 
 
 
DOJ
 
 
 
 

Notice: Notice of Lodging of Proposed First Modification of The Consent Decree... | 08/31/2020

Agency Update: COVID-19 Put Domestic Violence Victims at Greater Risk; Coalitions Nat... | 08/27/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen... | 08/27/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Comprehensive E... | 08/27/2020

Notice: Agency Information Collection Activities; Proposed eCollection; eComme... | 08/27/2020

Agency Update: Furthering the Promise: The ADA Mediation Program... | 08/26/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen... | 08/25/2020

Agency Update: Fox News Op-ED: Fighting race discrimination and seeking justice... | 08/24/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen... | 08/24/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen... | 08/24/2020

 
 
 
DOL
 
 
 
 

Final Rule: Promoting Regulatory Openness Through Good Guidance (PRO Good Guidance... | 08/28/2020

Notice: Senior Executive Service; Appointment of Members to the Performance Re... | 08/28/2020

Notice: Agency Information Collection Activities; Comment Request; Department ... | 08/26/2020

Proposed Rule: Semiannual Agenda of Regulations... | 08/26/2020

 
 
 
EBSA
 
 
 
 

Notice: 201st Meeting of the Advisory Council on Employee Welfare and Pension ... | 08/28/2020

Proposed Rule: Hearing on Improving Investment Advice for Workers & Retirees... | 08/25/2020

News: Federal Court Sentences Southern California Chiropractor After U.S. De... | 08/25/2020

News: U.S. Department of Labor Obtains Consent Judgment Ordering Connecticut... | 08/25/2020

News: U.S. Department of Labor Obtains Default Judgment To Restore $65,842 t... | 08/25/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Women's Equality Day, 2020... | 08/28/2020

Presidential Document: Targeting Opportunity Zones and Other Distressed Communities for Feder... | 08/27/2020

 
 
 
FDIC
 
 
 
 

Final Rule: Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall... | 08/31/2020

 
 
 
FINRA
 
 
 
 

Complaints: Rani Soto Complaints... | 08/28/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Narinder Kaur Singh AWCs (Letters of Acceptance, Waiver, and Consent)... | 08/28/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Buckman, Buckman & Reid, Inc. AWCs (Letters of Acceptance, Waiver, and... | 08/28/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Wells Fargo Advisors, LLC n/k/a Wells Fargo Clearing Services, LLC AWC... | 08/28/2020

AWCs (Letters of Acceptance, Waiver, and Consent): James Michael Rapisarda AWCs (Letters of Acceptance, Waiver, and Conse... | 08/28/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Jesse T. Kovacs AWCs (Letters of Acceptance, Waiver, and Consent)... | 08/26/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Barclays Capital Inc. AWCs (Letters of Acceptance, Waiver, and Consent... | 08/25/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Jose A. Yniguez AWCs (Letters of Acceptance, Waiver, and Consent)... | 08/25/2020

Complaints: Lynn Dale Cawthorne Complaints... | 08/25/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Charles D. Burchard AWCs (Letters of Acceptance, Waiver, and Consent)... | 08/24/2020

 
 
 
FRS
 
 
 
 
 
 

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba... | 08/31/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba... | 08/31/2020

Notice: Notice of Proposals To Engage in or To Acquire Companies Engaged in Pe... | 08/31/2020

Press Release: Federal Open Market Committee announces approval of updates to its Sta... | 08/27/2020

Speech: New Economic Challenges and the Fed's Monetary Policy Review - Chair J... | 08/27/2020

Speech: The Pandemic's Effect on the Economy and Banking - Governor Michelle W... | 08/26/2020

Press Release: Federal Register notice: Regulatory Capital Rule and Total Loss-Absorb... | 08/26/2020

Press Release: Attachment (PDF) - Federal Reserve Board announces approval of the app... | 08/26/2020

Press Release: Federal Register notice: Regulatory Capital Rule: Revised Transition o... | 08/26/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies... | 08/26/2020

 
 
 
FTC
 
 
 
 
 
 

Notice: Arko Holdings Ltd. and Empire Petroleum Partners, LLC; Analysis of Con... | 08/31/2020

News: Cmr. Chopra meets with the Drycleaning & Laundry Institute... | 08/28/2020

News: International Competition Network 2020 Virtual Annual Conference... | 08/27/2020

News: FTC Announces that its September Data Portability Workshop will be Hel... | 08/27/2020

Enforcement Order: Notice of Appearance Filed by Counsel for Respondent Juul Labs, Inc. (... | 08/26/2020

News: FTC Approves Final Order Imposing Conditions on Casino Operators Eldor... | 08/26/2020

Complaint: Complaint Eldorado Resorts and Caesars Entertainment, In the Matter of... | 08/26/2020

News: Most Telemarketer Fees to Access the FTC's National Do Not Call Regist... | 08/26/2020

Letter: Letter to Commenter Enger (28.82 KB) Eldorado Resorts and Caesars Ente... | 08/26/2020

Enforcement Order: Decision and Order (131.84 KB) Eldorado Resorts and Caesars Entertainm... | 08/26/2020

 
 
 
INT-FSB
 
 
 
 

Agency Update: Key Attributes Assessment Methodology for the Insurance Sector -- note... | 08/25/2020

Agency Update: Key Attributes Assessment Methodology for the Insurance Sector -- Key ... | 08/25/2020

News: FSB publishes Key Attributes Assessment Methodology for the Insurance ... | 08/25/2020

Agency Update: Key Attributes Assessment Methodology for the Insurance Sector... | 08/25/2020

Agency Update: Key Attributes Assessment Methodology for the Insurance Sector -- PDF... | 08/25/2020

Agency Update: FSB Financial Statements: 2019/2020... | 08/24/2020

Agency Update: FSB Financial Statements: 2019/2020 -- PDF... | 08/24/2020

 
 
 
NCUA
 
 
 
 

Notice: Request for Comment Regarding National Credit Union Administration Ove... | 08/31/2020

Proposed Rule: Fees Paid by Federal Credit Unions... | 08/31/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of ... | 08/31/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of ... | 08/25/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of ... | 08/24/2020

 
 
 
OCC
 
 
 
 

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub... | 08/28/2020

Comment: Loans in Areas Having Special Flood Hazards; Interagency Questions and... | 08/28/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub... | 08/28/2020

News Release: NR 2020-112 Acting Comptroller of the Currency Hosts Access to Capital... | 08/28/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub... | 08/27/2020

Comment: Margin and Capital Requirements for Covered Swap Entities; Public Subm... | 08/27/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub... | 08/27/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub... | 08/27/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub... | 08/27/2020

Comment: Margin and Capital Requirements for Covered Swap Entities; Public Subm... | 08/27/2020

 
 
 
OFAC
 
 
 
 

Notice: Notice of OFAC Sanctions Actions... | 08/28/2020

Notice: Notice of OFAC Sanctions Actions... | 08/28/2020

Press Release: Kingpin Act Designations, Designations Removals, and Designation Updat... | 08/25/2020

Notice: Notice of OFAC Sanctions Actions... | 08/25/2020

Financial Sanction: Kingpin Act Designations, Designations Removals, and Designation Updat... | 08/25/2020

Press Release: Kingpin Act Designations, Designations Removals, and Designation Updat... | 08/25/2020

Notice: Notice of OFAC Sanctions Actions... | 08/24/2020

 
 
 
RHS
 
 
 
 

Notice: Notice of Request for Revision of a Currently Approved Information Col... | 08/31/2020

 
 
 
SEC
 
 
 
 
 
 
 
 

Final Rule: Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall... | 08/31/2020

Final Rule: Financial Disclosures About Guarantors and Issuers of Guaranteed Secur... | 08/31/2020

Notice: Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice ... | 08/31/2020

Notice: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and ... | 08/31/2020

Final Rule: Amendments to Financial Disclosures About Acquired and Disposed Busine... | 08/31/2020

Notice: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing an... | 08/31/2020

Notice: Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Prop... | 08/31/2020

Notice: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and O... | 08/31/2020

Notice: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing a... | 08/31/2020

Notice: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and O... | 08/31/2020

 
 
 
TREAS
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 08/31/2020

Notice: Open Meeting of the Federal Advisory Committee on Insurance... | 08/31/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 08/31/2020

News: U.S. Department of the Treasury... | 08/28/2020

News: U.S. Department of the Treasury... | 08/28/2020

News: U.S. Department of the Treasury... | 08/27/2020

News: U.S. Department of the Treasury... | 08/26/2020

Proposed Rule: Semiannual Agenda... | 08/26/2020

News: U.S. Department of the Treasury... | 08/25/2020

News: U.S. Department of the Treasury... | 08/25/2020

 
 
 
UK-BOE
 
 
 
 

News: Sam Woods =E2=80=93 Regulatory Roadmap Opening Keynotes (10:00)... | 08/28/2020

News: Treasury Committee =E2=80=93 Oral evidence: Economic impact of coronavirus (14... | 08/28/2020

News: The central bank balance sheet as a policy tool: past, present and fut... | 08/28/2020

 
 
 
UK-FCA
 
 
 
 

News: Lepus Marketing Limited / The PPI Team... | 08/28/2020

News: Bondexpert.co.uk... | 08/28/2020

News: regulatedfixedratebonds.co.uk... | 08/28/2020

News: Guarantor Loans / Guarantorloansuk Ltd (clone of authorised firm)... | 08/28/2020

News: Traderschain... | 08/28/2020

News: Wirecard has announced that it is winding-down its business... | 08/28/2020

News: support@4ex7.com... | 08/28/2020

News: FX Profit Broker / FXPB (clone of authorised firm)... | 08/28/2020

News: Easy Fixed Rates... | 08/28/2020

News: Elkwood Financial Services (clone of EEA authorised firm)... | 08/28/2020

 
 
 
UK-HMT
 
 
 
 

News Story: Over 64 million meals claimed for as Eat Out to Help Out enters fourth... | 08/25/2020

Press Release: UK Government supports the income of over 510,000 people across Wales... | 08/24/2020

 
 
 
UK-ICO
 
 
 
 

News: Annual survey gives insight into people's information rights views... | 08/27/2020

Decision Notice: London South Bank University... | 08/24/2020

 
 
 
UK-PRA
 
 
 
 

Statement: Update to the temporary approach to VAR back-testing exceptions to mit... | 08/27/2020

Statement: PRA statement on Covid-19: IFRS 9 and capital requirements - Guidance ... | 08/26/2020

 
 
 
VA
 
 
 
 

Notice: Solicitation of Nomination for Appointment to the Advisory Committee o... | 08/31/2020

Final Rule: Provider-Based Requirements... | 08/28/2020

Notice: Advisory Committee on Homeless Veterans; Notice of Meeting... | 08/28/2020

Notice: Special Medical Advisory Group; Notice of Meeting... | 08/27/2020

Notice: Disruption of Mail Service... | 08/27/2020

Notice: Agency Information Collection Activity Under OMB Review: Conflicting I... | 08/26/2020

Notice: Agency Information Collection Activity Under OMB Review: State Approvi... | 08/26/2020

Notice: Advisory Committee on Women Veterans, Notice of Meeting, Amended... | 08/25/2020

Notice: Privacy Act of 1974; System of Records... | 08/25/2020

Notice: Privacy Act of 1974; Matching Program... | 08/24/2020

 

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