Regulatory Agency Updates | Week of July 22 to July 29

Regulatory Agency Updates | Week of July 22 - July 29

 
 
CFPB
 
 
 
 
 
 

Notice: Agency Information Collection Activities: Submission for OMB Review; C... | 07/29/2019

News: Consumer Financial Protection Bureau Releases Qualified Mortgage ANPR... | 07/25/2019

News: La cantidad de estafas con el n=C3=BAmero o beneficios del Seguro Social es... | 07/25/2019

News: CFPB and the New York Attorney General Settle with Debt Collection Gro... | 07/25/2019

News: Scams involving your Social Security number and benefits are on the ri... | 07/24/2019

Enforcement Document: Equifax, Inc. Complaint... | 07/22/2019

Notice: Agency Information Collection Activities: Submission for OMB Review; C... | 07/22/2019

News: Statement by Kathy Kraninger at CFPB/FTC Equifax Settlement Press Conf... | 07/22/2019

Enforcement Action: Equifax, Inc.... | 07/22/2019

Enforcement Document: Equifax, Inc. Stipulated order... | 07/22/2019

 
 
 
CFTC
 
 
 
 
 
 

Proposed Rule: Customer Margin Rules Relating to Security Futures... | 07/26/2019

Notice: Agency Information Collection Activities: Notice of Intent To Renew Co... | 07/26/2019

News: Ninth Circuit Rules in Favor of CFTC in Fraud Case Against Monex Depos... | 07/26/2019

News: In CFTC Actions, Two Former Precious Metals Traders Admit To Engaging ... | 07/25/2019

Proposed Rule: Certain Swap Data Repository and Data Reporting Requirements; Extensio... | 07/25/2019

Notice: Agency Information Collection Activities: Notice of Intent To Renew Co... | 07/24/2019

Proposed Rule: Exemption From Derivatives Clearing Organization Registration... | 07/23/2019

Notice: Agency Information Collection Activities: Notice of Intent To Renew Co... | 07/23/2019

Final Rule: Revisions to Prohibitions and Restrictions on Proprietary Trading and ... | 07/22/2019

Notice: Agency Information Collection Activities: Notice of Intent To Renew Co... | 07/22/2019

 
 
 
DOJ
 
 
 
 

Notice: Notice of Lodging of Proposed Consent Decree and Release of Draft Rest... | 07/26/2019

Notice: Notice of Lodging of Proposed Amended Consent Decree Under The Compreh... | 07/26/2019

Notice: Agency Information Collection Activities: New Information Collection I... | 07/25/2019

Notice: Drug Enforcement Administration Bulk Manufacturer of Controlled Substa... | 07/24/2019

Notice: Agency Information Collection Activities; Proposed eCollection eCommen... | 07/23/2019

Notice: Agency Information Collection Activities; Proposed Collection; Comment... | 07/23/2019

Notice: Notice of Filing of Proposed Settlement Agreement Regarding Environmen... | 07/23/2019

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 07/29/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 07/29/2019

 
 
 
EOP
 
 
 
 

Presidential Document: Presidential Determination Pursuant to Section 303 of the Defense Prod... | 07/25/2019

Presidential Document: Presidential Determination Pursuant to Section 303 of the Defense Prod... | 07/25/2019

Presidential Document: Presidential Determination Pursuant to Section 303 of the Defense Prod... | 07/25/2019

Presidential Document: Presidential Determination Pursuant to Section 303 of the Defense Prod... | 07/25/2019

Presidential Document: Captive Nations Week, 2019... | 07/25/2019

Presidential Document: 50th Anniversary Observance of the Apollo 11 Lunar Landing... | 07/25/2019

Presidential Document: Presidential Determination Pursuant to Section 303 of the Defense Prod... | 07/25/2019

Presidential Document: Presidential Determination Pursuant to Section 303 of the Defense Prod... | 07/25/2019

Presidential Document: Continuation of the National Emergency With Respect to Transnational C... | 07/23/2019

Presidential Document: Death of John Paul Stevens... | 07/22/2019

 
 
 
FDIC
 
 
 
 
 
 

News: Regulatory Relief
Supervisory Practices Regarding Depository Instituti... | 07/26/2019

News: Regulatory Relief
Supervisory Practices Regarding Depository Instituti... | 07/26/2019

Proposed Rule: Regulatory Capital Rules: Treatment of Land Development Loans for the ... | 07/23/2019

Notice: Privacy Act of 1974; System of Records... | 07/22/2019

Final Rule: Revisions to Prohibitions and Restrictions on Proprietary Trading and ... | 07/22/2019

Final Rule: Regulatory Capital Rule: Simplifications to the Capital Rule Pursuant ... | 07/22/2019

News: Bank Secrecy Act... | 07/22/2019

News: Interagency Webinar... | 07/22/2019

Final Rule: Joint Ownership Deposit Accounts... | 07/22/2019

 
 
 
FINCEN
 
 
 
 

News: Federal Bank Regulatory Agencies and FinCEN Improve Transparency of Ri... | 07/22/2019

 
 
 
FINRA
 
 
 
 

Enforcement: Michael Thomas Lee... | 07/26/2019

Enforcement: Richard O. White... | 07/26/2019

Enforcement: Louis Mark Miller... | 07/26/2019

Enforcement: Michael P. Spolar... | 07/26/2019

Enforcement: Alpine Securities Corporation... | 07/25/2019

Enforcement: Emie Garcia... | 07/25/2019

Enforcement: Aaron Williams... | 07/25/2019

Enforcement: Stephen Michael Whiting... | 07/25/2019

Enforcement: Robert F. Montes... | 07/24/2019

Enforcement: Brian Gregory DiJulio... | 07/23/2019

 
 
 
FRS
 
 
 
 
 
 

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies... | 07/29/2019

News: Royal Bank of Canada (PDF) - Agencies complete resolution plan evaluat... | 07/26/2019

News: List of 82 foreign banks (PDF) - Agencies complete resolution plan eva... | 07/26/2019

News: Lloyds Banking Group plc (PDF) - Agencies complete resolution plan eva... | 07/26/2019

News: Template Letter to Foreign Banks that Filed Resolution Plans in Decemb... | 07/26/2019

News: Banco Santander, S.A. (PDF) - Agencies complete resolution plan evalua... | 07/26/2019

News: BNP Paribas (PDF) - Agencies complete resolution plan evaluations and ... | 07/26/2019

News: List of 15 domestic banks (PDF) - Agencies complete resolution plan ev... | 07/26/2019

News: Template Letter to Barclays, Credit Suisse, Deutsche Bank, and UBS (PD... | 07/26/2019

News: Banco Bilbao Vizcaya Argentaria, S.A. (PDF) - Agencies complete resolu... | 07/26/2019

 
 
 
FTC
 
 
 
 

Enforcement: Cases and Proceedings... | 07/25/2019

Proposed Rule: Request for Public Comment on the Federal Trade Commission's Implement... | 07/25/2019

Enforcement: Cambridge Analytica, LLC, In the Matter of... | 07/24/2019

Enforcement: Facebook, Inc., In the Matter of... | 07/24/2019

Enforcement: Facebook, Inc., In the Matter of... | 07/24/2019

News: Persuading on Paper: Written Advocacy to the FTC=E2=80=99s Bureau of Competiti... | 07/23/2019

Enforcement: Equifax, Inc.... | 07/23/2019

Enforcement: Quaker Chemical Corporation and Global Houghton Ltd., In the Matter of... | 07/23/2019

Enforcement: Equifax Data Breach Settlement... | 07/23/2019

Enforcement: Acuerdo resolutorio del incidente de seguridad de datos de Equifax... | 07/23/2019

 
 
 
INT-BIS
 
 
 
 

Agency Update: Monetary policy spillovers, capital controls and exchange rate flexibi... | 07/25/2019

News: Basel Committee and IOSCO agree to one-year extension of the final imp... | 07/23/2019

 
 
 
INT-EBA
 
 
 
 

News: EBA publishes clarifications to the fourth set of issues raised by its... | 07/26/2019

News: The EBA calls for communication to credit institutions about the relev... | 07/24/2019

News: EBA publishes its roadmap on IFRS 9 deliverables and launches IFRS 9 b... | 07/23/2019

News: EBA updates on monitoring of CET1 capital instruments... | 07/22/2019

 
 
 
INT-IOSCO
 
 
 
 

Final Rule: FR11/2019 Margin requirements for non-centrally cleared derivatives... | 07/23/2019

 
 
 
NCUA
 
 
 
 

Notice: Agency Information Collection Activities: Proposed Collection; Comment... | 07/29/2019

Notice: Agency Information Collection Activities: Proposed Collection; Comment... | 07/29/2019

Proposed Rule: Exceptions to Employment Restrictions Under Section 205(d) of the Fede... | 07/29/2019

Final Rule: Fidelity Bonds... | 07/24/2019

Final Rule: Real Estate Appraisals... | 07/24/2019

 
 
 
OCC
 
 
 
 
 
 

Notice: Agency Information Collection Activities: Information Collection Revis... | 07/29/2019

Notice: Agency Information Collection Activities: Information Collection Renew... | 07/29/2019

Notice: Agency Information Collection Activities: Information Collection Renew... | 07/29/2019

Notice: Agency Information Collection Activities: Information Collection Renew... | 07/26/2019

Notice: Agency Information Collection Activities: Information Collection Renew... | 07/26/2019

Bulletin: Description: Revised and Updated Booklets and Rescissions... | 07/25/2019

News: OCC Announces Executive Assignments... | 07/24/2019

Bulletin: Description: Fraud Risk Management Principles... | 07/24/2019

Proposed Rule: Regulatory Capital Rules: Treatment of Land Development Loans for the ... | 07/23/2019

Bulletin: Description: Lending Standards for Asset Dissipation Underwriting... | 07/23/2019

 
 
 
OFAC
 
 
 
 
 
 

Financial Sanction: Issuance of Amended Venezuela-related General License... | 07/26/2019

Financial Sanction: Issuance of Executive Order Blocking Property and Suspending Entry of ... | 07/26/2019

Financial Sanction: Venezuela-related Designations... | 07/25/2019

Notice: Notice of OFAC Sanctions Actions... | 07/23/2019

Final Rule: Global Terrorism Sanctions Regulations; Transnational Criminal Organiz... | 07/23/2019

Press Release: Publication of Iran-related Civil Aviation Industry Advisory -- Treasu... | 07/23/2019

Financial Sanction: Publication of Iran-related Civil Aviation Industry Advisory... | 07/23/2019

Financial Sanction: Amendments to the Global Terrorism Sanctions Regulations (GTSR); Trans... | 07/22/2019

Notice: Notice of OFAC Sanctions Action... | 07/22/2019

Financial Sanction: Iran-related Designations... | 07/22/2019

 
 
 
RHS
 
 
 
 

Notice: Notice of Request for Extension of a Currently Approved Information Co... | 07/26/2019

Final Rule: Single Family Housing Guaranteed Loan Program... | 07/22/2019

 
 
 
SEC
 
 
 
 
 
 

Notice: Zacks Investment Management, Inc. and Zacks Trust... | 07/29/2019

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Granting Acc... | 07/29/2019

Notice: The Guardian Insurance & Annuity Company, Inc., et al.... | 07/29/2019

Notice: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and I... | 07/29/2019

Notice: Zacks Investment Management, Inc. and Zacks Trust... | 07/29/2019

Notice: Self-Regulatory Organizations; The Options Clearing Corporation; Notic... | 07/29/2019

Notice: PFS Funds and Castle Investment Management, LLC.; Notice of Applicatio... | 07/29/2019

Notice: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of ... | 07/29/2019

Enforcement: House of BODS Fitness, Inc., Reef Oil & Gas Income & Development Fund ... | 07/26/2019

Enforcement: William Harper Minor, Jr.... | 07/26/2019

 
 
 
TREAS
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 07/29/2019

Notice: Multiemployer Pension Plan Application To Reduce Benefits... | 07/26/2019

Notice: Multiemployer Pension Plan Application To Reduce Benefits... | 07/26/2019

Notice: Open Meeting of the Advisory Committee on Risk-Sharing Mechanisms... | 07/25/2019

Notice: Renewal of the Charter of the Federal Advisory Committee on Insurance... | 07/25/2019

Agency Update: U.S. Department of the Treasury... | 07/25/2019

Agency Update: U.S. Department of the Treasury... | 07/23/2019

 
 
 
UK-BOE
 
 
 
 
 
 

News: Annual analysis of revisions to money, credit and effective interest r... | 07/29/2019

Agency Update: Annual analysis of revisions to money, credit and effective interest r... | 07/29/2019

Agency Update: Annual analysis of revisions to money, credit and effective interest r... | 07/29/2019

Agency Update: Bank of England Weekly Report 24 July 2019... | 07/25/2019

News: Minutes of the Wholesale Distribution Steering Group - June 2019... | 07/25/2019

News: Out and proud - a note-worthy cause - speech by Sarah Breeden... | 07/25/2019

Weekly report: Bank of England Weekly Report 24 July 2019 -- Weekly Report... | 07/25/2019

Weekly report: Bank of England Weekly Report 24 July 2019 -- View and download histor... | 07/25/2019

Weekly report: Bank of England Weekly Report 24 July 2019 -- Further details about th... | 07/25/2019

Weekly report: Bank of England Weekly Report 24 July 2019 -- Sign up to receive email... | 07/25/2019

 
 
 
UK-CMA
 
 
 
 

Press Release: Drug firms accused of illegal market sharing in supply of antibiotic... | 07/25/2019

News Story: Bauer's takeover of radio businesses raises competition concerns... | 07/24/2019

 
 
 
UK-FCA
 
 
 
 
 
 
 
 

Consultations Consultation papers: CP19/24: Recovering the costs of OPBAS: feedback on CP19/13 and consul... | 07/29/2019

Consultations Consultation papers: CP19/24: Recovering the costs of OPBAS: feedback on CP19/13 and consul... | 07/29/2019

News: Dunn & Miller Corporate Partners... | 07/29/2019

News: FCA calls for consumers to think back, then act as PPI deadline closes... | 07/29/2019

News: Optimising the Senior Managers and Certification Regime: Policy Statem... | 07/26/2019

Policy statements: PS19/20: Optimising the Senior Managers & Certification Regime and fee... | 07/26/2019

Handbook: Handbook Notice 68... | 07/26/2019

Policy statements: PS19/20: Optimising the Senior Managers & Certification Regime and fee... | 07/26/2019

Corporate documents: Independent investigation protocol: London Capital & Finance Plc... | 07/25/2019

News: Marc Finance (clone of firm)... | 07/25/2019

 
 
 
UK-HMT
 
 
 
 
 
 

Transparency: HMT exceptions to cross-government moratoria on spending: Q4 January -... | 07/29/2019

Transparency: HMT spend greater than =C2=A325,000: February 2019... | 07/26/2019

Policy Paper: National Insurance Fund Investment Account 2018 to 2019... | 07/26/2019

Policy Paper: Public Works Loan Board Report and Accounts 2018 to 2019... | 07/26/2019

Transparency: HMT spend greater than =C2=A325,000: March 2019... | 07/26/2019

Transparency: HMT spend greater than =C2=A325,000: January 2019... | 07/26/2019

Transparency: Government Major Projects Portfolio - Accounting Officer Assessments M... | 07/25/2019

Official Statistics: Help to Buy ISA scheme Quarterly Statistics: December 2015 to March 20... | 07/25/2019

News Story: Stronger protections for the environment move closer as landmark Bill ... | 07/23/2019

Consultation Outcome: Plastic packaging tax... | 07/23/2019

 
 
 
UK-ICO
 
 
 
 

News: ICO selects first participants for data protection Sandbox... | 07/29/2019

News: AI Auditing Framework blog: Trade-offs... | 07/25/2019

 
 
 
UK-PRA
 
 
 
 

Consultation paper: UK withdrawal from the EU: Changes following extension of Article 50 -... | 07/25/2019

Consultation paper: UK withdrawal from the EU: Changes following extension of Article 50 -... | 07/25/2019

Consultation paper: UK withdrawal from the EU: Changes following extension of Article 50 -... | 07/25/2019

Consultation paper: UK withdrawal from the EU: Changes following extension of Article 50 -... | 07/25/2019

Consultation paper: UK withdrawal from the EU: Changes following extension of Article 50 -... | 07/25/2019

Consultation paper: UK withdrawal from the EU: Changes following extension of Article 50... | 07/25/2019

Consultation paper: UK withdrawal from the EU: Changes following extension of Article 50 -... | 07/25/2019

Consultation paper: UK withdrawal from the EU: Changes following extension of Article 50 -... | 07/25/2019

Consultation paper: UK withdrawal from the EU: Changes following extension of Article 50 -... | 07/25/2019

Consultation paper: UK withdrawal from the EU: Changes following extension of Article 50 -... | 07/25/2019

 
 
 
VA
 
 
 
 

Proposed Rule: Center for Innovation for Care and Payment... | 07/29/2019

Notice: Agency Information Collection Activity Under OMB Review: Authorization... | 07/29/2019

Notice: Agency Information Collection Activity Under OMB Review: Disability Be... | 07/29/2019

Notice: Advisory Committee on Disability Compensation, Notice of Meeting... | 07/29/2019

Notice: Agency Information Collection Activity: Application for Accreditation ... | 07/25/2019

Notice: Rehabilitation Research and Development Service Scientific Merit Revie... | 07/25/2019

Notice: Agency Information Collection Activity under OMB Review: Airborne Haza... | 07/25/2019

Notice: Agency Information Collection Activity: Application for Accreditation ... | 07/25/2019

Notice: Advisory Committee on Homeless Veterans; Notice of Meeting... | 07/25/2019

Notice: Advisory Committee on Women Veterans, Notice of Meeting... | 07/23/2019

 

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