Weekly Agency Update (July 16 - July 23)

SEC

News | Published 07/18/2018 
Washington D.C., July 18, 2018 - The Securities and Exchange Commission today announced it has voted to adopt amendments to Regulation ATS to enhance operational transparency and regulatory oversight of alternative trading systems(ATSs) that trade stocks listed on a national securities exchange... Read More
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Proposed Rule | Published 07/17/2018 | Comments Close 09/17/2018
The OCC, Board, FDIC, SEC, and CFTC (individually, an "Agency," and collectively, the "Agencies") are requesting comment on a proposal that would amend the regulations implementing section 13 of the Bank Holding Company Act (BHC Act). Section 13... Read More
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Notice | Published 07/17/2018
Pursuant to the authority contained in Section 512 of the Employee Retirement Income Security Act of 1974 (ERISA), 29 U.S.C. 1142, the 192nd meeting of the Advisory Council on Employee Welfare and Pension Benefit Plans (also known as the ERISA... Read More
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Agency Update | Published 07/19/2018
To: Subject: Regulatory Bulletin NYSE Arca RB-18-109 NYSE RB-18-52 NYSE American RB-18-94 NYSE National RB-18-43 July 16, 2018 NYSE ARCA, INC. ETP HOLDERS NEW YORK STOCK EXCHANGE LLC MEMBERS AND MEMBER ORGANIZATIONS NYSE AMERICAN L... Read More
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Proposed Rule | Published 07/17/2018 | Comments Close 09/17/2018
The OCC, Board, FDIC, SEC, and CFTC (individually, an "Agency," and collectively, the "Agencies") are requesting comment on a proposal that would amend the regulations implementing section 13 of the Bank Holding Company Act (BHC Act). Section 13... Read More
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News | Published 07/23/2018
​Thursday, July 26 9:30 AM ET Counselor to the Secretary Justin Muzinich Nomination Hearing to be Deputy Secretary of the U.S. Treasury Department U.S. Senate Committee on Finance Washington, D.C... Read More
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Notice | Published 07/19/2018 | Comments Close 09/17/2018
As part of its continuing effort to reduce paperwork and respondent burden, FinCEN invites comment on a renewal without change to a currently approved information collection contained in 31 CFR 1022.380 and the Registration of Money Services Business... Read More
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News | Published 07/18/2018
This Lender Letter provides reminders and updates related to our disaster policies... Read More
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Notice | Published 07/19/2018
The U.S. Department of the Treasury's Office of Foreign Assets Control (OFAC) is publishing the names of one or more persons that have been placed on OFAC's Specially Designated Nationals and Blocked Persons List based on OFAC's determination that on... Read More
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DOJ

Notice | Published 07/23/2018 | Comments Close 09/21/2018
The Department of Justice (DOJ), Office of Justice Programs, Bureau of Justice Statistics, will be submitting the following information collection request to the Office of Management and Budget (OMB) for review and approval in accordance with the Pap... Read More
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News | Published 07/18/2018
July 18, 2018 - Read our latest Industry Letter for reminders related to servicing mortgages impacted by eligible disasters... Read More
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EOP

Presidential Document | Published 07/23/2018
On July 24, 2011, by Executive Order 13581, the President declared a national emergency with respect to transnational criminal organizations pursuant to the International Emergency Economic Powers Act (50 U.S.C. 1701-1706) to deal with the unusual an... Read More
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News | Published 07/18/2018
WASHINGTON, D.C. — Bureau of Consumer Financial Protection (Bureau) Acting Director Mick Mulvaney today announced he has selected Paul Watkins to lead the Bureau’s new Office of Innovation... Read More
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FRS

Proposed Rule | Published 07/17/2018 | Comments Close 09/17/2018
The OCC, Board, FDIC, SEC, and CFTC (individually, an "Agency," and collectively, the "Agencies") are requesting comment on a proposal that would amend the regulations implementing section 13 of the Bank Holding Company Act (BHC Act). Section 13... Read More
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Enforcement | Published 07/20/2018
BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Scottsdale Capital Advisors Corporation Scottsdale, AZ, John Joseph Hurry Paradise Valley, AZ, Timothy Brian... Read More
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OCC

Proposed Rule | Published 07/17/2018 | Comments Close 09/17/2018
The OCC, Board, FDIC, SEC, and CFTC (individually, an "Agency," and collectively, the "Agencies") are requesting comment on a proposal that would amend the regulations implementing section 13 of the Bank Holding Company Act (BHC Act). Section 13... Read More
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VA

Notice | Published 07/23/2018 | Comments Close 08/22/2018
In compliance with the Paperwork Reduction Act (PRA) of 1995, this notice announces that the Veterans Health Administration, Department of Veterans Affairs, will submit the collection of information abstracted below to the Office of Management and Bu... Read More
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FTC

Enforcement | Published 07/17/2018 
The FTC is mailing 88,799 checks totaling more than $19.7 million to drivers for Uber Technologies Inc. According to the FTC, Uber exaggerated the yearly and hourly income drivers could make in certain cities and states and misled prospective drivers about the terms of its vehicle financing options... Read More
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