Regulatory Agency Updates | Week of June 15 to June 22

Enforcement Report June 15 - 22 feat

 
 
CFPB
 
 
 
 
 
 

Final Rule: Advisory Opinions Pilot... | 06/22/2020

Proposed Rule: Advisory Opinions Proposal... | 06/22/2020

Speech: Remarks by Director Kraninger During Consumer Data Industry Associatio... | 06/19/2020

Proposed Rule: Facilitating the LIBOR Transition (Regulation Z)... | 06/18/2020

Press release: Consumer Financial Protection Bureau Launches Pilot Advisory Opinion P... | 06/18/2020

Blog: Consumer reporting and the CARES Act... | 06/16/2020

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

 
 
 
CFTC
 
 
 
 

News: Deutsche Bank to Pay Over $10 Million to Settle Two CFTC Cases... | 06/18/2020

Enforcement: Order: Deutsche Bank Securities Inc.... | 06/18/2020

Enforcement: Consent Order: Deutsche Bank AG... | 06/18/2020

News: Federal Court Orders Alabama Man to Pay $755,000 for Binary Options Fr... | 06/17/2020

Enforcement: Consent Order: Aaron B. Butler, et al... | 06/17/2020

 
 
 
DOJ
 
 
 
 

Final Rule: Civil Monetary Penalties Inflation Adjustment... | 06/19/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Air Act... | 06/18/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen... | 06/17/2020

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

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 06/18/2020

Notice: Agency Information Collection Activities; Comment Request; Application... | 06/17/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 06/16/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 06/16/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 06/16/2020

 
 
 
EBSA
 
 
 
 

News: U.S. Department of Labor Issues Proposed 2020 Self-Compliance Tool To ... | 06/19/2020

Notice: Prohibited Transactions Involving Pooled Employer Plans Under the SECU... | 06/18/2020

News: U.S. Department of Labor Publishes Request for Information On Pooled E... | 06/17/2020

News: Federal Court Orders Defunct Online Casino and Sweepstakes Company To ... | 06/16/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Presidential Determination Pursuant to Section 1245(d)(4)(B) and (C) o... | 06/19/2020

Presidential Document: Safe Policing for Safe Communities... | 06/19/2020

Presidential Document: Continuation of the National Emergency With Respect to North Korea... | 06/19/2020

Presidential Document: Flag Day and National Flag Week, 2020... | 06/17/2020

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

 
 
 
FDIC
 
 
 
 

News: The FDIC Updates its Enforcement Actions Manual for Flood Insurance Ci... | 06/18/2020

News: Remarks by FDIC Chairman Jelena McWilliams and Director of the Divisio... | 06/16/2020

Press Release: FDIC-Insured Institutions Reported Reduced Profitability but Strong Lo... | 06/16/2020

 
 
 
FFIEC
 
 
 
 

News: Hall Selected to FFIEC State Liaison Committee... | 06/16/2020

 
 
 
FINRA
 
 
 
 
 
 

Notices: Regulatory Notice 20-18 FINRA Amends Its Suitability, Non-Cash Compens... | 06/19/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Frank Venturelli AWCs (Letters of Acceptance, Waiver, and Consent)... | 06/19/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Barry John Hartwyk AWCs (Letters of Acceptance, Waiver, and Consent)... | 06/18/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Christopher R. Wurtzinger AWCs (Letters of Acceptance, Waiver, and Con... | 06/18/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority... | 06/18/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Albert Dishner AWCs (Letters of Acceptance, Waiver, and Consent)... | 06/17/2020

Orders Accepting Offers of Settlement: Fusion Analytics Securities, LLC Orders Accepting Offers of Settlement... | 06/16/2020

AWCs (Letters of Acceptance, Waiver, and Consent): James Van Ham AWCs (Letters of Acceptance, Waiver, and Consent)... | 06/16/2020

Complaints: Julian Jay Piekarczyk Complaints... | 06/16/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority... | 06/16/2020

 
 
 
FRS
 
 
 
 
 
 

Speech: The Adaptability of Stress Testing - Vice Chair for Supervision Randal... | 06/19/2020

Speech: Introductory Comments - Chair Jerome H. Powell... | 06/19/2020

Press Release: Federal Reserve announces FraudClassifier Model to help organizations ... | 06/18/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba... | 06/17/2020

News: Semiannual Monetary Policy Report to the Congress - Chair Jerome H. Po... | 06/16/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba... | 06/16/2020

Speech: U.S. Economic Outlook and Monetary Policy (via prerecorded video) - Vi... | 06/16/2020

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

Press Release: Term Sheet: Secondary Market Corporate Credit Facility (PDF) - Federal... | 06/15/2020

Press Release: Attachment (PDF) - Federal Reserve Board announces approval of applica... | 06/15/2020

 
 
 
FTC
 
 
 
 
 
 

News: FTC Issues Two Reports Requested in Fiscal Year 2020 Spending Bill... | 06/19/2020

Notice: Granting of Requests for Early Termination of the Waiting Period Under... | 06/18/2020

News: FTC Sends Letters Warning 30 More Marketers to Stop Making Unsupported... | 06/18/2020

Enforcement: Automobiles
Complaint for Permanent Injunction and Other Equitable Rel... | 06/17/2020

News: Marketer Used Deceptive COVID-19 Stimulus Mailers To Lure Consumers to... | 06/17/2020

Agency Update: International Monthly: June 2020... | 06/16/2020

News: FTC Announces that PrivacyCon 2020 Will be Held Virtually... | 06/16/2020

News: FTC Approves Final Order Settling Charges that VieVu's Former Parent C... | 06/16/2020

 
 
 
NCUA
 
 
 
 

Notice: Sunshine Act: Notice of Agency Meeting... | 06/22/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of ... | 06/18/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of ... | 06/17/2020

 
 
 
OCC
 
 
 
 

News Release: News Release 2020-78... | 06/16/2020

 
 
 
OFAC
 
 
 
 

Notice: Notice of OFAC Sanctions Actions... | 06/19/2020

Financial Sanction: Venezuela-related Designations and Designations Removals; Issuance of ... | 06/18/2020

Notice: Notice of OFAC Sanctions Actions... | 06/18/2020

Notice: Notice of OFAC Sanctions Actions Imposed on Persons Identified by the ... | 06/18/2020

Financial Sanction: Syria-related Designations; Syria Designations and Designations Update... | 06/17/2020

Financial Sanction: Cyber-related Designations... | 06/16/2020

 
 
 
RHS
 
 
 
 

Notice: Information Collection Activity; Comment Request... | 06/18/2020

Final Rule: Debt Management... | 06/17/2020

 
 
 
SEC
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing a... | 06/22/2020

Notice: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Desi... | 06/22/2020

Notice: Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing ... | 06/22/2020

Notice: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of ... | 06/22/2020

Notice: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Pr... | 06/22/2020

Notice: Sunshine Act Meetings... | 06/19/2020

Notice: Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and ... | 06/19/2020

News: SEC Emergency Action Halts Brothers=E2=80=99 Cryptocurrency Offering Fraud... | 06/19/2020

Notice: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Fili... | 06/19/2020

Notice: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and I... | 06/19/2020

 
 
 
TREAS
 
 
 
 

News: U.S. Department of the Treasury... | 06/19/2020

News: U.S. Department of the Treasury... | 06/19/2020

News: U.S. Department of the Treasury... | 06/18/2020

News: U.S. Department of the Treasury... | 06/18/2020

Notice: Open Meeting of the Financial Research Advisory Committee... | 06/18/2020

News: U.S. Department of the Treasury... | 06/17/2020

News: U.S. Department of the Treasury... | 06/17/2020

News: U.S. Department of the Treasury... | 06/16/2020

Notice: Privacy Act of 1974; System of Records... | 06/16/2020

News: U.S. Department of the Treasury... | 06/16/2020

 
 
 
UK-BOE
 
 
 
 
 
 

Event: Andrew Bailey: HM Treasury Women in Finance Charter - Annual Review La... | 06/19/2020

News Release: US dollar liquidity-providing operations from 1 July 2020... | 06/19/2020

Agency Update: Changes to the provision of US dollar repo operations from July 2020... | 06/19/2020

Agency Update: Update on the Contingent Term Repo Facility (CTRF) - Market Notice 19 ... | 06/19/2020

Agency Update: Statement in relation to the Bank's historical links to the slave trad... | 06/19/2020

News Release: US dollar liquidity-providing operations from 1 July 2020 -- Press rel... | 06/19/2020

Event: Robert Elsey: Bloomberg event: The Future of Finance (15:00)... | 06/19/2020

Agency Update: Changes to the provision of US dollar repo operations from July 2020 -... | 06/19/2020

Agency Update: Exchange of letters between the Governor and the Chancellor regarding ... | 06/18/2020

Agency Update: Exchange of letters between the Governor and the Chancellor regarding ... | 06/18/2020

 
 
 
UK-CMA
 
 
 
 

Press Release: CMA Chairman Andrew Tyrie to step down... | 06/18/2020

Press Release: Estate agent directors disqualified for roles in illegal cartel... | 06/15/2020

 
 
 
UK-FCA
 
 
 
 
 
 
 
 
 
 

News Story: Chief Executive of the Financial Conduct Authority... | 06/22/2020

News: Nikhil Rathi appointed as new Chief Executive of the FCA... | 06/22/2020

Policy and guidance Guidance consultations: Overdrafts and coronavirus: proposed update to temporary guidance for ... | 06/19/2020

Policy and guidance Guidance consultations: Personal loans and coronavirus: proposed update to temporary guidance ... | 06/19/2020

Policy and guidance Guidance consultations: Overdrafts and coronavirus: proposed update to temporary guidance for ... | 06/19/2020

News: FCA announces proposals to further support consumer credit customers... | 06/19/2020

News: Cash2All (Clone of FCA authorised firms)... | 06/19/2020

Policy and guidance Guidance consultations: Credit cards (including retail revolving credit) and coronavirus: prop... | 06/19/2020

Guidance consultations: Credit cards (including retail revolving credit) and coronavirus: prop... | 06/19/2020

Policy and guidance Guidance consultations: Personal loans and coronavirus: proposed update to temporary guidance ... | 06/19/2020

 
 
 
UK-HMT
 
 
 
 
 
 

News Story: Chief Executive of the Financial Conduct Authority... | 06/22/2020

News Story: Chancellor urges nation to support their high streets... | 06/20/2020

News Story: Joint Call of Finance Ministers of the Five Eyes Nations... | 06/19/2020

Transparency: OSCAR - publishing data from the database: June 2020... | 06/19/2020

Correspondence: Asset purchase facility (APF) ceiling, June 2020... | 06/18/2020

Correspondence: Open letters between HM Treasury and Bank of England, June 2020... | 06/18/2020

Official Statistics: Forecasts for the UK economy: June 2020... | 06/17/2020

News Story: Self-employed new parents can claim support grant... | 06/17/2020

Correspondence: DAO 03/20 Accounts Directions 2019-20... | 06/17/2020

Policy Paper: National Infrastructure and Construction Procurement Pipeline 2020/21... | 06/16/2020

 
 
 
UK-PRA
 
 
 
 

Annual Report: The Bank of England's climate-related financial disclosure 2020... | 06/18/2020

Annual Report: The Prescribed Persons (Reports on Disclosures of Information) Regulat... | 06/18/2020

PRA Annual Report: Prudential Regulation Authority Annual Report 2019/20 - Senior leaders... | 06/18/2020

PRA Annual Report: Prudential Regulation Authority Annual Report 2019/20 - Report by the ... | 06/18/2020

PRA Annual Report: Prudential Regulation Authority Annual Report 2019/20 - Prudential Reg... | 06/18/2020

PRA Annual Report: Prudential Regulation Authority Annual Report 2019/20 - Annual report ... | 06/18/2020

PRA Annual Report: Prudential Regulation Authority Annual Report 2019/20 - Complying with... | 06/18/2020

PRA Annual Report: Prudential Regulation Authority Annual Report 2019/20... | 06/18/2020

PRA Annual Report: Prudential Regulation Authority Annual Report 2019/20 - Foreword by th... | 06/18/2020

PRA Annual Report: Prudential Regulation Authority Annual Report 2019/20 - Financial Revi... | 06/18/2020

 
 
 
VA
 
 
 
 
 
 

Notice: Agency Information Collection Activity: Conflicting Interests Certific... | 06/22/2020

Notice: Agency Information Collection Activity: Residency Verification Report-... | 06/19/2020

Notice: Agency Information Collection Activity: Application and Training Agree... | 06/19/2020

News: This announcement provides information on the system deployment occurr... | 06/19/2020

Notice: Agency Information Collection Activity: Application for Reinstatement-... | 06/18/2020

News: This announcement provides information on the upcoming system maintena... | 06/18/2020

News: This newsflash provides information on Circular 26-18-21, Circular 26-... | 06/18/2020

Circular: Circular 26-20-23- Extended Foreclosure Moratorium for Borrowers Affec... | 06/17/2020

Circular: Circular 26-20-22 - Extended Foreclosure Moratorium for Borrowers Affe... | 06/17/2020

Notice: Privacy Act of 1974; System of Records... | 06/17/2020

 

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