Regulatory Agency Updates | Week of June 08 to June 15

Enforcement Report June 08-15 feat.

Enforcement Report June 08-15

 
 
CA-OSFI
 
 
 
 

Letter: Le point sur le calendrier de mise en oeuvre des relev=C3=A9s r=C3=A9glementaire... | 06/08/2020

Letter: Updates to the 2020 regulatory return implementation deadlines... | 06/08/2020

 
 
 
CFPB
 
 
 
 

Notice: Agency Information Collection Activities: Comment Request... | 06/15/2020

Blog: It's not too late to fill out the FAFSA: Here's what you need to know... | 06/10/2020

Blog: New resource in the fight against elder financial fraud... | 06/10/2020

Press release: CFPB Releases Tool to Help Communities Prevent and Respond to Elder Fr... | 06/10/2020

Notice: Agency Information Collection Activities: Comment Request... | 06/10/2020

Notice: Notice of Availability of Revised Consumer Information Publication... | 06/09/2020

Blog: Taskforce on Federal Consumer Financial Law charting a path ahead... | 06/08/2020

 
 
 
CFTC
 
 
 
 
 
 

Final Rule: Derivatives Clearing Organization General Provisions and Core Principl... | 06/12/2020

Proposed Rule: Bankruptcy Regulations... | 06/12/2020

Proposed Rule: Exemption From Registration for Certain Foreign Persons Acting as Comm... | 06/12/2020

Enforcement: Consent Order: Brett G. Hartshorn... | 06/11/2020

News: CFTC Charges Unregistered Commodity Pool Operator and Its Chief Execut... | 06/11/2020

Enforcement: Complaint: Lighthouse Futures, et al... | 06/11/2020

News: CFTC Charges Companies and Individual with Forex Fraud and Registratio... | 06/11/2020

News: CFTC Charges Forex Trading Firm and Its Principal with Fraud and Misap... | 06/11/2020

News: Federal Court Orders Trading Advisor to Pay $890,000 for Defrauding Ch... | 06/11/2020

Enforcement: Complaint: Simply Gains... | 06/11/2020

 
 
 
DOJ
 
 
 
 

Notice: Notice of Lodging of Proposed Consent Decree Under The Comprehensive E... | 06/15/2020

Notice: Agency Information Collection Activities: Request Reinstatement of a P... | 06/12/2020

Notice: Agency Information Collection Activities; Proposed eCollection; eComme... | 06/11/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Air Act... | 06/09/2020

Notice: Antitrust Division... | 06/08/2020

Agency Update: Virtual FOIA Training for Agency FOIA Professionals =E2=80=93 June Courses Now... | 06/08/2020

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 06/09/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Blocking Property of Certain Persons Associated With the International... | 06/15/2020

Presidential Document: Continuation of the National Emergency With Respect to the Actions and... | 06/12/2020

Presidential Document: Delegation of Authorities Under the National Defense Authorization Act... | 06/12/2020

Notice: Designation of Three Areas as High Intensity Drug Trafficking Areas... | 06/11/2020

Presidential Document: Modifying the Northeast Canyons and Seamounts Marine National Monument... | 06/11/2020

Presidential Document: Protecting United States Investors From Significant Risks From Chinese... | 06/09/2020

 
 
 
FDIC
 
 
 
 

Press Release: FDIC Issues Annual Report on Efforts to Preserve and Promote Minority ... | 06/10/2020

Notice: Notice to All Interested Parties of Intent To Terminate Receivership... | 06/08/2020

Notice: Notice to All Interested Parties of Intent To Terminate Receiverships... | 06/08/2020

 
 
 
FINCEN
 
 
 
 

Notice: Agency Information Collection Activities: Proposed Renewal; Comment Re... | 06/10/2020

 
 
 
FINRA
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): Two Sigma Securities, LLC AWCs (Letters of Acceptance, Waiver, and Con... | 06/12/2020

Complaints: Adam James Makkai Complaints... | 06/12/2020

AWCs (Letters of Acceptance, Waiver, and Consent): David Austin AWCs (Letters of Acceptance, Waiver, and Consent)... | 06/11/2020

AWCs (Letters of Acceptance, Waiver, and Consent): John W. Loofbourrow AWCs (Letters of Acceptance, Waiver, and Consent)... | 06/11/2020

Notices: Regulatory Notice 20-17 FINRA Revises Rule 4530 Problem Codes for Repo... | 06/10/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Bradley Scott Kyburz AWCs (Letters of Acceptance, Waiver, and Consent)... | 06/10/2020

AWCs (Letters of Acceptance, Waiver, and Consent): SagePoint Financial, Inc. AWCs (Letters of Acceptance, Waiver, and Con... | 06/10/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Dee Dee Brooks AWCs (Letters of Acceptance, Waiver, and Consent)... | 06/08/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Matthew Vincent Muratori AWCs (Letters of Acceptance, Waiver, and Cons... | 06/08/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Joe M. Allbright AWCs (Letters of Acceptance, Waiver, and Consent)... | 06/08/2020

 
 
 
FRS
 
 
 
 

Notice: Notice of Proposals To Engage in or To Acquire Companies Engaged in Pe... | 06/15/2020

News: Federal Reserve Board releases a report, Fed Listens: Perspectives fro... | 06/12/2020

News: Federal Reserve issues FOMC statement... | 06/10/2020

News: Implementation Note issued June 10, 2020 - Federal Reserve issues FOMC... | 06/10/2020

News: Federal Reserve Board and Federal Open Market Committee release econom... | 06/10/2020

News: Federal Reserve Board issues enforcement action with East West Bank... | 06/09/2020

News: Federal Reserve Board announces that results from both its Dodd-Frank ... | 06/09/2020

News: Term Sheet: Main Street Expanded Loan Facility (PDF) - Federal Reserve... | 06/08/2020

News: Term Sheet: Main Street Priority Loan Facility (PDF) - Federal Reserve... | 06/08/2020

News: Term Sheet: Main Street New Loan Facility (PDF) - Federal Reserve Boar... | 06/08/2020

 
 
 
FTC
 
 
 
 

News: FTC Makes More State-Level Data Available About COVID-19 Related Compl... | 06/11/2020

Enforcement: Fair Credit Reporting Act (FCRA)
Complaint for Permanent Injunction, O... | 06/10/2020

Enforcement: Finance
Complaint for Permanent Injunction and Other Equitable Relief ... | 06/10/2020

News: New York-Based Finance Companies Deceived Small Businesses, Non-Profit... | 06/10/2020

News: FTC Reaches Settlement with Kohl's over Allegations it Failed to Provi... | 06/10/2020

News: Rogue Payment Processor that Helped Perpetuate Multiple Scams Is Banne... | 06/09/2020

News: FTC Releases Funeral Home Compliance Results, Offers New Business Guid... | 06/08/2020

 
 
 
Freddie
 
 
 
 

Bulletin: Bulletin 2020-23 Updates Regarding Temporary COVID-19-Related Requirem... | 06/11/2020

Bulletin: Bulletin 2020-22 Servicing... | 06/10/2020

Bulletin: Bulletin 2020-21 Temporary Servicing Guidance Related to COVID-19... | 06/10/2020

 
 
 
INT-EC
 
 
 
 

Public Consultations: Establishment of an EU Green Bond Standard... | 06/12/2020

Public Consultations: Establishment of an EU Green Bond Standard -- Consultation document: E... | 06/12/2020

Public Consultations: Establishment of an EU Green Bond Standard -- Specific privacy stateme... | 06/12/2020

News: Singapore and New Zealand are joining the International Platform on Su... | 06/11/2020

News: Capital markets union: Final report by High-Level Forum pushes for the... | 06/10/2020

 
 
 
NCUA
 
 
 
 

Notice: Agency Information Collection Activities: Proposed Collection; Comment... | 06/10/2020

Notice: Agency Information Collection Activities: Proposed Collection; Comment... | 06/10/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of ... | 06/09/2020

 
 
 
OCC
 
 
 
 

Final Rule: Director, Shareholder, and Member Meetings: Technical Correction... | 06/10/2020

Notice: Mutual Savings Association Advisory Committee... | 06/08/2020

News Release: News Release 2020-77... | 06/08/2020

 
 
 
OFAC
 
 
 
 

Notice: Notice of OFAC Sanctions Actions... | 06/11/2020

Financial Sanction: Issuance of Executive Order "Blocking Property of Certain Persons Asso... | 06/11/2020

Notice: Notice of OFAC Sanctions Action... | 06/11/2020

Notice: Notice of OFAC Sanctions Actions... | 06/11/2020

Financial Sanction: Non-Proliferation Designations; Iran-related Designations Updates... | 06/08/2020

 
 
 
SEC
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Fili... | 06/15/2020

Notice: Self-Regulatory Organizations; Miami International Securities Exchange... | 06/15/2020

Notice: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Fili... | 06/15/2020

Notice: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of ... | 06/12/2020

Enforcement: Louis Navellier and Navellier & Associates, Inc.... | 06/12/2020

News: SEC Charges Broker Who Defrauded Seniors Out of Almost $1 Million... | 06/12/2020

Notice: Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and ... | 06/12/2020

Notice: Securities Investor Protection Corporation; Order Approving Proposed B... | 06/12/2020

Notice: Securities Investor Protection Corporation; Order Approving Proposed B... | 06/12/2020

Agency Update: Education... | 06/12/2020

 
 
 
TREAS
 
 
 
 

Notice: Agency Information Collection Activities; Proposed Collection; Comment... | 06/15/2020

News: U.S. Department of the Treasury... | 06/12/2020

News: U.S. Department of the Treasury... | 06/12/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 06/11/2020

News: U.S. Department of the Treasury... | 06/09/2020

Notice: Community Development Financial Institutions Fund; Request for Informa... | 06/08/2020

Notice: Survey of Foreign Ownership of U.S. Securities as of June 30, 2020... | 06/08/2020

News: U.S. Department of the Treasury... | 06/08/2020

News: U.S. Department of the Treasury... | 06/08/2020

 
 
 
UK-BOE
 
 
 
 
 
 

Working Paper: Exchange rate risk and business cycles... | 06/12/2020

News Release: Bank of England, Beano and Tes to launch new primary school teaching r... | 06/12/2020

News Release: Bank of England, Beano and Tes to launch new primary school teaching r... | 06/12/2020

Working Paper: On-the-job training and intra-family dynamics -- On-the-job training a... | 06/12/2020

Inflation: Bank of England/TNS Inflation Attitudes Survey - May 2020 -- Methodolo... | 06/12/2020

Working Paper: Exchange rate risk and business cycles -- Exchange rate risk and busin... | 06/12/2020

Inflation: Bank of England/TNS Inflation Attitudes Survey - May 2020 -- Methodolo... | 06/12/2020

Working Paper: Jumpstarting an international currency... | 06/12/2020

Working Paper: On-the-job training and intra-family dynamics... | 06/12/2020

Working Paper: Jumpstarting an international currency -- Jumpstarting an internationa... | 06/12/2020

 
 
 
UK-CMA
 
 
 
 

News Story: 2 UK roofing lead firms admit to illegal cartel... | 06/12/2020

Press Release: COVID-19: Major holiday lets firm offers refunds after CMA action... | 06/09/2020

 
 
 
UK-FCA
 
 
 
 
 
 

News: National Debtlines... | 06/12/2020

News: Quick L0ans (clone of FCA authorised firm)... | 06/12/2020

News: Lak Sira Ltd... | 06/12/2020

News: Kieren Hamilton / Whosthatguru / Keztheguru... | 06/12/2020

News: Aldgate-Advisors (clone of FCA authorised firm)... | 06/12/2020

News: fixed-rate.co.uk... | 06/12/2020

News: National-Debt-Helpline... | 06/12/2020

News: Best Rate Savers... | 06/11/2020

News: Investing in Bonds... | 06/11/2020

Final notices: Final Notice 2020: Lloyds Bank plc, Bank of Scotland plc, and The Mort... | 06/11/2020

 
 
 
UK-HMT
 
 
 
 
 
 

News Story: Chancellor visits one of thousands of shops set to open on Monday... | 06/15/2020

News Story: Reservists returning to civilian work eligible for government support ... | 06/15/2020

Correspondence: DAO 02/20 Revision of target dates for implementing PAC recommendation... | 06/12/2020

News Story: Figures show UK Government supporting incomes across all nations durin... | 06/11/2020

Policy Paper: Withdrawal of the guarantee arrangements for NRAM and Bradford & Bingl... | 06/11/2020

Html Publication: Withdrawal of guarantee arrangements... | 06/10/2020

News Story: Parents returning to work after extended leave eligible for furlough... | 06/09/2020

News Story: Almost =C2=A338 million support package for debt advice providers helping p... | 06/08/2020

 
 
 
UK-PRA
 
 
 
 

Statement: Joint statement by the Bank and PRA on the ESRB recommendations for th... | 06/08/2020

 
 
 
VA
 
 
 
 

Notice: Agency Information Collection Activity: Income, Net Worth and Employme... | 06/12/2020

Notice: Agency Information Collection Activity: Application for Dependency and... | 06/12/2020

Final Rule: Extension of Veterans' Group Life Insurance (VGLI) Application Period ... | 06/11/2020

Proposed Rule: VA Acquisition Regulation: Foreign Acquisition... | 06/09/2020

Notice: Veterans' Advisory Committee on Education, Notice of Meeting... | 06/09/2020

Notice: Rehabilitation Research and Development Service Scientific Merit Revie... | 06/09/2020

 

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