Regulatory Agency Updates | Week of July 20 to July 27

 
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CFPB
 
 
 
 
 
 
 
 

Enforcement Document: Prime Choice Funding, Inc. Stipulation... | 07/24/2020

Enforcement Document: Sovereign Lending Group, Inc. Consent order... | 07/24/2020

Press release: CFPB Announces Plan to Issue ANPR on Consumer-Authorized Access to Fin... | 07/24/2020

Enforcement Action: Prime Choice Funding, Inc.... | 07/24/2020

Press release: Consumer Financial Protection Bureau Settles with Mortgage Companies t... | 07/24/2020

Enforcement Document: Sovereign Lending Group, Inc. Stipulation... | 07/24/2020

Report: Bureau Symposium: Consumer Access to Financial Records, a summary of t... | 07/24/2020

Blog: What to consider when sharing your financial data... | 07/24/2020

Enforcement Document: Prime Choice Funding, Inc. Consent order... | 07/24/2020

Enforcement Action: Sovereign Lending Group, Inc.... | 07/24/2020

 
 
 
CFTC
 
 
 
 
 
 

Final Rule: Post-Trade Name Give-Up on Swap Execution Facilities... | 07/24/2020

Final Rule: Exemption From the Swap Clearing Requirement for Certain Affiliated En... | 07/22/2020

News: CFTC Announces Whistleblower Awards Totaling More Than $1 Million... | 07/21/2020

Enforcement: No. 20-WB-07... | 07/21/2020

Notice: Agency Information Collection Activities: Notice of Intent To Extend C... | 07/20/2020

News: CFTC Orders Florida Company to Pay $75,000 for Registration Violations... | 07/20/2020

Enforcement: Order: Southwest Group, LLC... | 07/20/2020

 
 
 
DOJ
 
 
 
 

Notice: Agency Information Collection Activities; Proposed eCollection eCommen... | 07/27/2020

Notice: Agency Information Collection Activities; Proposed eCollection, eComme... | 07/24/2020

Notice: Agency Information Collection Activities; Proposed eCollection, eComme... | 07/24/2020

Notice: Agency Information Collection Activities; Proposed eCollection, eComme... | 07/24/2020

Notice: Agency Information Collection Activities; Proposed eCollection, eComme... | 07/24/2020

Notice: Agency Information Collection Activities; Proposed eCollection; eComme... | 07/24/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen... | 07/24/2020

Notice: Agency Information Collection Activities; Proposed eCollection, eComme... | 07/24/2020

Agency Update: Furthering the Promise of Equal Access to Health Care... | 07/23/2020

Notice: Charter Renewal for the Task Force on Research on Violence Against Ame... | 07/21/2020

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 07/22/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 07/21/2020

 
 
 
EBSA
 
 
 
 

News: U.S. Department of Labor Obtains Injunction Enjoining Fleet Owners Ins... | 07/22/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Continuation of the National Emergency With Respect to Mali... | 07/24/2020

Presidential Document: Continuation of the National Emergency With Respect to Transnational C... | 07/23/2020

Presidential Document: Death of John Lewis... | 07/23/2020

Presidential Document: Excluding Illegal Aliens From the Apportionment Base Following the 202... | 07/23/2020

Presidential Document: Captive Nations Week, 2020... | 07/22/2020

 
 
 
FDIC
 
 
 
 

Notice: Request for Information on Standard Setting and Voluntary Certificatio... | 07/24/2020

Final Rule: Notice of Rescission of the Guidance on Supervisory Concerns and Expec... | 07/24/2020

Notice: Proposed Agency Information Collection Activities; Comment Request... | 07/22/2020

Final Rule: Federal Interest Rate Authority... | 07/22/2020

 
 
 
FINRA
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): Gelber Securities, LLC AWCs (Letters of Acceptance, Waiver, and Consen... | 07/24/2020

AWCs (Letters of Acceptance, Waiver, and Consent): The Enterprise Securities Company AWCs (Letters of Acceptance, Waiver,... | 07/24/2020

Complaints: TRAVIS SCOTT HUGHES Complaints... | 07/23/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Canaccord Genuity LLC AWCs (Letters of Acceptance, Waiver, and Consent... | 07/23/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Bryant Edwin Caveness AWCs (Letters of Acceptance, Waiver, and Consent... | 07/22/2020

AWCs (Letters of Acceptance, Waiver, and Consent): BMO Capital Markets Corp. AWCs (Letters of Acceptance, Waiver, and Con... | 07/22/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Merrill Lynch, Pierce, Fenner & Smith Inc. AWCs (Letters of Acceptance... | 07/22/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Virtu Americas LLC (f/k/a KCG Americas LLC) AWCs (Letters of Acceptanc... | 07/21/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Two Sigma Securities, LLC ("Two Sigma" or the "Firm") AWCs (Letters of... | 07/21/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Concorde Investment Services, LLC Kimberlee Elizabeth Levy AWCs (Lette... | 07/21/2020

 
 
 
FRS
 
 
 
 

Press Release: Federal Register notice (PDF) - Federal Reserve Board finalizes rule t... | 07/24/2020

Consumer Affairs Letters: SR 20-17 / CA 20-12 Federal Financial Institutions Examination Council... | 07/24/2020

Press Release: Federal Reserve Board finalizes rule that implements technical, clarif... | 07/24/2020

Press Release: Commercial Paper Funding Facility Term Sheet (PDF) - Federal Reserve B... | 07/23/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies... | 07/23/2020

Press Release: Federal Reserve Board announces expansion of counterparties in the Ter... | 07/23/2020

Press Release: Term Asset-Backed Securities Loan Facility (PDF) - Federal Reserve Boa... | 07/23/2020

Notice: Proposed Agency Information Collection Activities; Comment Request... | 07/22/2020

Notice: Agency Information Collection Activities: Announcement of Board Approv... | 07/21/2020

Notice: Proposed Agency Information Collection Activities; Comment Request... | 07/21/2020

 
 
 
FTC
 
 
 
 
 
 
 
 

Event: Working Together to Serve Diverse Communities: A Virtual Resource Fair... | 07/25/2020

Event: Working Together to Serve Diverse Communities: A Virtual Resource Fair... | 07/25/2020

Consumer Alert: Suboxone Settlement Products: Suboxone film... | 07/25/2020

News: Indivior, Inc. to Pay $10 Million to Consumers, Settling FTC Charges t... | 07/24/2020

News: Scammers Who Used Robocalls to Target Cash-Strapped Consumers Banned f... | 07/24/2020

Enforcement: Competition
Complaint (60.24 KB)
Joint Motion for Entry of Stipulated ... | 07/24/2020

Proposed Rule: Trade Regulation Rule on Care Labeling of Textile Wearing Apparel and ... | 07/23/2020

Notice: Elanco Animal Health and Bayer Animal Health; Analysis of Agreement Co... | 07/21/2020

News: FTC Testifies Before Congress on Efforts to Combat COVID-19-related Sc... | 07/21/2020

Agency Update: Consumer Protection
FTC Testifies Before Congress on Efforts to Combat... | 07/21/2020

 
 
 
INT-FATF
 
 
 
 

Publication: FATF Webinar on Money Laundering and the Illegal Wildlife Trade... | 07/24/2020

Publication: Career Opportunities: Training Specialists... | 07/22/2020

 
 
 
INT-FSB
 
 
 
 

Agency Update: Public responses to consultation on Addressing the regulatory, supervi... | 07/24/2020

Agency Update: Public responses to consultation on Addressing the regulatory, supervi... | 07/24/2020

Agency Update: Public responses to consultation on Addressing the regulatory, supervi... | 07/24/2020

Agency Update: Public responses to consultation on Addressing the regulatory, supervi... | 07/24/2020

Agency Update: Public responses to consultation on Addressing the regulatory, supervi... | 07/24/2020

Agency Update: Public responses to consultation on Addressing the regulatory, supervi... | 07/24/2020

Agency Update: Public responses to consultation on Addressing the regulatory, supervi... | 07/24/2020

Agency Update: Public responses to consultation on Addressing the regulatory, supervi... | 07/24/2020

Agency Update: Public responses to consultation on Addressing the regulatory, supervi... | 07/24/2020

Agency Update: Public responses to consultation on Addressing the regulatory, supervi... | 07/24/2020

 
 
 
NCUA
 
 
 
 

Notice: Agency Information Collection Activities: Proposed Collection; Comment... | 07/24/2020

Notice: Submission for OMB Review; Comment Request... | 07/21/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of ... | 07/27/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of ... | 07/27/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of ... | 07/27/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of ... | 07/21/2020

 
 
 
OCC
 
 
 
 

Proposed Rule: National Banks and Federal Savings Associations as Lenders... | 07/22/2020

Notice: Proposed Agency Information Collection Activities; Comment Request... | 07/22/2020

News Release: News Release 2020-98... | 07/22/2020

News Release: News Release 2020-97... | 07/20/2020

 
 
 
OFAC
 
 
 
 

Financial Sanction: Venezuela-related Designations... | 07/23/2020

Notice: Notice of OFAC Sanctions Action... | 07/22/2020

Notice: Notice of OFAC Sanctions Actions... | 07/22/2020

Notice: Notice of OFAC Sanctions Actions... | 07/22/2020

Financial Sanction: Issuance of Amended Ukraine-/Russia-related Frequently Asked Questions... | 07/22/2020

Financial Sanction: Issuance of Executive Order 13936 "The President's Executive Order on ... | 07/20/2020

 
 
 
SEC
 
 
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and I... | 07/27/2020

Notice: Proposed Collection; Comment Request... | 07/27/2020

Notice: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and... | 07/27/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of ... | 07/27/2020

Notice: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of ... | 07/27/2020

Notice: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Noti... | 07/27/2020

Notice: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and I... | 07/27/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of ... | 07/27/2020

Final Rule: Securities Offering Reform for Closed-End Investment Companies; Correc... | 07/27/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of ... | 07/27/2020

 
 
 
TREAS
 
 
 
 

News: U.S. Department of the Treasury... | 07/23/2020

Notice: Debt Management Advisory Committee Meeting... | 07/20/2020

Notice: List of Countries Requiring Cooperation With an International Boycott... | 07/20/2020

News: U.S. Department of the Treasury... | 07/20/2020

 
 
 
UK-BOE
 
 
 
 

Minutes: Minutes of the RTGS renewal programme external advisory body - June 20... | 07/24/2020

Minutes: Minutes of the RTGS renewal programme external advisory body - June 20... | 07/24/2020

Minutes: Minutes of the Wholesale Distribution Steering Group - June 2020... | 07/23/2020

Minutes: Minutes of the Wholesale Distribution Steering Group - June 2020 -- Mi... | 07/23/2020

Minutes: Minutes of the Meeting of the Court of Directors held on 19 May 2020... | 07/22/2020

Minutes: Minutes of the Meeting of the Court of Directors held on 19 May 2020 -... | 07/22/2020

Minutes: Minutes of the Working Group on Sterling Risk-Free Reference Rates - M... | 07/21/2020

Minutes: Minutes of the Working Group on Sterling Risk-Free Reference Rates - M... | 07/21/2020

Treasury Select Committee: Jonathan Hall Treasury Select Committee appointment hearing (15:30) an... | 07/20/2020

Agency Update: Jonathan Hall's CV and questionnaire for the Treasury Select Committee... | 07/20/2020

 
 
 
UK-CMA
 
 
 
 

Press Release: CMA final decision on air traffic control charges... | 07/23/2020

News Story: How should competition policy react to coronavirus?... | 07/21/2020

 
 
 
UK-FCA
 
 
 
 
 
 

News: FCA launches enhanced Financial Services Register to protect consumers... | 07/27/2020

News: UK Bond Centre... | 07/24/2020

Publication: Coronavirus (Covid-19) premium finance (no 2) instrument 2020... | 07/24/2020

Publication: Coronavirus and customers in temporary financial difficulty: updated g... | 07/24/2020

Publication: Coronavirus and customers in temporary financial difficulty: draft upd... | 07/24/2020

News: Blackbird Financial Services / Blackbird FS (clone of EEA authorised f... | 07/24/2020

Policy and guidance Guidance consultations: Coronavirus and customers in temporary financial difficulty: draft upd... | 07/24/2020

News: Statement on updated guidance for insurance and premium finance firms... | 07/24/2020

News: Money Sense Market... | 07/24/2020

News: TD Global Finance / TDG Finance (Clone of an EEA authorised firm)... | 07/24/2020

 
 
 
UK-HMT
 
 
 
 
 
 
 
 
 
 

Guidance: Preston guidance: July 2020... | 07/24/2020

News Story: Scotland, Wales and Northern Ireland receive additional coronavirus fu... | 07/24/2020

Official Statistics: Help to Buy: ISA Scheme Quarterly Statistics: December 2015 to 31 Marc... | 07/23/2020

Open Consultation: 2025 UK Border Strategy Public Consultation... | 07/22/2020

Html Publication: 2025 UK Border Strategy Public Consultation... | 07/22/2020

Press Release: UK Government launches consultation on 2025 Border Strategy... | 07/22/2020

Policy Paper: Amending the transitional period for third country benchmarks in the U... | 07/22/2020

News Story: Government sets out draft agenda for a 21st century tax system... | 07/21/2020

Open Consultation: Carbon Emissions Tax... | 07/21/2020

News Story: Chancellor launches Comprehensive Spending Review... | 07/21/2020

 
 
 
UK-LSB
 
 
 
 

News: Coronavirus Insights Series 2: Life After Lockdown.... | 07/22/2020

 
 
 
UK-PRA
 
 
 
 

Policy statement: Asset encumbrance... | 07/27/2020

Policy statement: Asset encumbrance - Policy Statement 18/20... | 07/27/2020

Consultation paper: Simplified Obligations for recovery planning... | 07/23/2020

Report: Enforcement Decision Making Committee: 2019/20 Report... | 07/23/2020

Consultation paper: Simplified Obligations for recovery planning - Consultation Paper 10/2... | 07/23/2020

Policy statement: Responses to Occasional Consultation Paper 3/20 - Chapter 8: Securitis... | 07/22/2020

Consultation paper: Non-systemic UK banks: The Prudential Regulation Authority's approach ... | 07/22/2020

Consultation paper: Non-systemic UK banks: The Prudential Regulation Authority's approach ... | 07/22/2020

Consultation paper: Responses to Occasional Consultation Paper 3/20 - Chapter 8: Securitis... | 07/22/2020

Consultation paper: Complaints against the regulators (the Bank of England, the FCA and th... | 07/21/2020

 
 
 
VA
 
 
 
 

Notice: Veterans and Community Oversight and Engagement Board, Notice of Meeti... | 07/27/2020

Proposed Rule: Educational Assistance for Certain Former Members of the Armed Forces... | 07/27/2020

Notice: Veterans' Advisory Committee on Rehabilitation, Notice of Meeting... | 07/24/2020

Notice: Privacy Act of 1974; System of Records... | 07/24/2020

Notice: Advisory Committee: VA National Academic Affiliations Council, Notice ... | 07/24/2020

Notice: Agency Information Collection Activity: VR&E Longitudinal Study Survey... | 07/24/2020

Notice: Privacy Act of 1974; System of Records... | 07/24/2020

Notice: Agency Information Collection Activity: Generic Clearance for the Coll... | 07/23/2020

 
 
 
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