Regulatory Agency Updates | Week of June 24 to July 01

Regulatory Agency Updates | Week of June 24 - July 01

 
 
CA-CANLII
 
 
 
 

Agency Update: European Space Agency Privileges and Immunities Order, SOR/2019-181 [M... | 06/27/2019

 
 
 
CA-OPC
 
 
 
 

News: Announcement: Consider privacy implications when outsourcing functions... | 06/27/2019

Agency Update: Consider privacy implications when outsourcing functions to a third pa... | 06/27/2019

 
 
 
CA-OSFI
 
 
 
 

Letter: Margin Requirements for Non-Centrally Cleared Derivatives Guideline (E... | 06/28/2019

Letter: Margin Requirements for Non-Centrally Cleared Derivatives Guideline (E... | 06/28/2019

 
 
 
CFPB
 
 
 
 

Notice: Agency Information Collection Activities: Submission for OMB Review; C... | 07/01/2019

News: CFPB Extends Comment Period For ANPR on HMDA Data Points... | 06/27/2019

News: Brian Johnson Remarks at Public Symposium on Abusive Acts and Practice... | 06/25/2019

News: Kathleen L. Kraninger's Speech at the Abusive Acts or Practices Sympos... | 06/25/2019

News: Agencies Issue Final Amendments to Regulation CC Regarding Funds Avail... | 06/24/2019

Notice: Agency Information Collection Activities: Comment Request... | 06/24/2019

 
 
 
CFTC
 
 
 
 

Notice: Agency Information Collection Activities Under OMB Review... | 07/01/2019

News: CFTC Orders Commodity Trading Firm to Pay Penalty for Wash Sales and I... | 06/28/2019

Notice: Agency Information Collection Activities Under OMB Review... | 06/27/2019

News: Commodity Pool and its President Ordered to Pay $1.2 Million, Banned f... | 06/27/2019

Notice: Agency Information Collection Activities: Notice of Intent To Renew Co... | 06/27/2019

Notice: Agency Information Collection Activities Under OMB Review... | 06/27/2019

Notice: Agency Information Collection Activities: Notice of Intent To Renew Co... | 06/26/2019

Notice: Agency Information Collection Activities Under OMB Review... | 06/26/2019

Notice: Agency Information Collection Activities Under OMB Review... | 06/26/2019

News: CFTC Orders Merrill Lynch Commodities, Inc. to Pay Approximately $25 M... | 06/25/2019

 
 
 
DOJ
 
 
 
 

Notice: Notice of Lodging of Proposed Consent Decree Under The Clean Air Act, ... | 07/01/2019

Notice: Agency Information Collection Activities; Proposed eCollection eCommen... | 06/28/2019

Notice: Agency Information Collection Activities; Proposed eCollection eCommen... | 06/28/2019

Notice: Agency Information Collection Activities; Proposed eCollection eCommen... | 06/28/2019

Notice: Agency Information Collection Activities; Proposed eCollection eCommen... | 06/28/2019

Notice: Notice of Lodging of Proposed Consent Decree Under the Emergency Plann... | 06/28/2019

Notice: Agency Information Collection Activities; Proposed eCollection eCommen... | 06/28/2019

Notice: Agency Information Collection Activities: Proposed eCollection; eComme... | 06/28/2019

Agency Update: Attorney Generals Advisory Subcommittee on Native American Issues Meet... | 06/27/2019

Notice: Notice of Lodging of Proposed Consent Decree Under the Comprehensive E... | 06/27/2019

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 07/01/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 06/28/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 06/28/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 06/28/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 06/28/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 06/28/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 06/28/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 06/28/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 06/28/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 06/28/2019

 
 
 
EOP
 
 
 
 

Presidential Document: Policy for Military Service Academy and Reserve Officers' Training Cor... | 07/01/2019

Presidential Document: Establishing a White House Council on Eliminating Regulatory Barriers ... | 06/28/2019

Presidential Document: Improving Price and Quality Transparency in American Healthcare To Put... | 06/27/2019

Presidential Document: Imposing Sanctions With Respect to Iran... | 06/26/2019

Presidential Document: Continuation of the National Emergency With Respect to North Korea... | 06/24/2019

 
 
 
FDIC
 
 
 
 

Final Rule: Removal of Transferred OTS Regulations Regarding Lending and Investmen... | 07/01/2019

Notice: Agency Information Collection Activities: Proposed Collection Renewal;... | 06/27/2019

Notice: Sunshine Act Meetings... | 06/26/2019

News: Statement of the Federal Deposit Insurance Corporation on "Overseeing ... | 06/25/2019

Notice: Proposed Agency Information Collection Activities; Comment Request... | 06/25/2019

Notice: Agency Information Collection Activities: Proposed Collection; Comment... | 06/25/2019

 
 
 
FFIEC
 
 
 
 

Notice: Appraisal Subcommittee Notice of Meeting... | 06/28/2019

 
 
 
FINRA
 
 
 
 

Enforcement: Gregory John Lane... | 06/27/2019

Enforcement: Zvi Ben-Zvi... | 06/27/2019

Enforcement: Jeffrey P. Schwebach... | 06/26/2019

Enforcement: Daniel M. Soliman... | 06/26/2019

Enforcement: Sanford C. Bernstein & Co., LLC... | 06/26/2019

Enforcement: Jeffrey P. Schwebach... | 06/26/2019

Enforcement: Larry Michael Crabtree... | 06/26/2019

Enforcement: Axos Clearing LLC,1... | 06/26/2019

Enforcement: Mark Gregory Raezer... | 06/25/2019

Enforcement: Mijin Kim... | 06/25/2019

 
 
 
FRS
 
 
 
 

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies... | 07/01/2019

News: The Federal Reserve's Review of Its Monetary Policy Strategy, Tools, a... | 07/01/2019

News: Federal Reserve Board announces approval of proposals by Texas Indepen... | 06/27/2019

News: Attachment (PDF) - Federal Reserve Board announces approval of proposa... | 06/27/2019

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies... | 06/27/2019

News: Federal Reserve releases results of Comprehensive Capital Analysis and... | 06/27/2019

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba... | 06/27/2019

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba... | 06/26/2019

News: Economic Outlook and Monetary Policy Review - Chair Jerome H. Powell... | 06/25/2019

Notice: Proposed Agency Information Collection Activities; Comment Request... | 06/25/2019

 
 
 
FTC
 
 
 
 
 
 

Final Rule: Military Credit Monitoring... | 07/01/2019

News: Fighting Consumer Fraud and Identity Theft in Iowa... | 06/27/2019

Final Rule: Premerger Notification; Reporting and Waiting Period Requirements... | 06/27/2019

News: Interlocking Mindfulness... | 06/26/2019

News: Interlocking Mindfulness... | 06/26/2019

Notice: UnitedHealth Group and DaVita; Analysis of Agreement Containing Consen... | 06/26/2019

Enforcement: Media Mix 365, LLC... | 06/25/2019

Enforcement: 8 Figure Dream Lifestyle LLC... | 06/25/2019

Enforcement: First Choice Horizon LLC... | 06/25/2019

Enforcement: Derek Jason Bartoli... | 06/25/2019

 
 
 
Fannie
 
 
 
 

News: Appraising Properties with Solar Panels... | 06/28/2019

News: June 2019 AQM List Posted upda... | 06/24/2019

News: Appraisal waiver eligibility change... | 06/24/2019

 
 
 
INT-BIS
 
 
 
 

News: Time to ignite all engines, BIS says in its Annual Economic Report... | 06/30/2019

News: BIS to set up Innovation Hub for central banks... | 06/30/2019

News: Basel Committee finalises revisions to leverage ratio treatment of cli... | 06/26/2019

News: Literature review on the costs and benefits of bank capital published ... | 06/24/2019

 
 
 
INT-EBA
 
 
 
 

News: EBA publishes its roadmap for the new market and counterparty credit r... | 06/27/2019

News: EBA issues 2020 EU-wide stress test methodology for discussion... | 06/25/2019

 
 
 
INT-EC
 
 
 
 

News: June issue of newsletter is out!... | 06/28/2019

 
 
 
INT-FATF
 
 
 
 

Publications: Objectives Plenary Year XXXI (pdf, )... | 07/01/2019

Publications: Objectives for the FATF during the Chinese Presidency (2019-2020)... | 07/01/2019

Publications: FATF report to G20 Leaders' Summit (pdf, )... | 06/27/2019

Publications: FATF Report to G20 Leaders' Summit... | 06/27/2019

Publications: Risk-based Approach for the Accounting Profession... | 06/26/2019

Publications: Risk-based Approach for Trust and Company Service Providers (pdf, )... | 06/26/2019

Publications: Guidance for a Risk-based Approach for the Accounting Profession (pdf,... | 06/26/2019

Publications: Risk-based Approach for Legal Professionals... | 06/26/2019

Publications: Risk-based Approach for Trust and Company Service Providers... | 06/26/2019

Publications: Risk Based Approach Guidance for Legal Professionals (pdf, )... | 06/26/2019

 
 
 
INT-FSB
 
 
 
 

Agency Update: Public responses to the call for public feedback on the evaluation of ... | 06/27/2019

Agency Update: Public responses to the call for public feedback on the evaluation of ... | 06/27/2019

Agency Update: Public responses to the call for public feedback on the evaluation of ... | 06/27/2019

Agency Update: Public responses to the call for public feedback on the evaluation of ... | 06/27/2019

Agency Update: Public responses to the call for public feedback on the evaluation of ... | 06/27/2019

Agency Update: Public responses to the call for public feedback on the evaluation of ... | 06/27/2019

Agency Update: Public responses to the call for public feedback on the evaluation of ... | 06/27/2019

Agency Update: Public responses to the call for public feedback on the evaluation of ... | 06/27/2019

Agency Update: Public responses to the call for public feedback on the evaluation of ... | 06/27/2019

Agency Update: Public responses to the call for public feedback on the evaluation of ... | 06/27/2019

 
 
 
INT-TWG
 
 
 
 

News: Publication of the CBDDQ Capacity Building Materials... | 06/27/2019

 
 
 
NCUA
 
 
 
 

Proposed Rule: Delay of Effective Date of the Risk-Based Capital Rules... | 06/26/2019

 
 
 
NYSE
 
 
 
 

Enforcement: Sanford C. Bernstein & Co., LLC... | 06/26/2019

 
 
 
OCC
 
 
 
 

Bulletin: OCC BULLETIN 2019-31... | 07/01/2019

Notice: Mutual Savings Association Advisory Committee... | 06/28/2019

News: OCC Hosts Mutual Savings Association Advisory Committee Meeting July 2... | 06/28/2019

Bulletin: OCC BULLETIN 2019-30... | 06/26/2019

News: OCC Reports Improvement in Mortgage Performance... | 06/26/2019

Notice: Proposed Agency Information Collection Activities; Comment Request... | 06/25/2019

News: Chief Innovation Officer Discusses OCC Support of Responsible Innovati... | 06/25/2019

 
 
 
OFAC
 
 
 
 

Financial Sanction: Venezuela-related Designation... | 06/28/2019

Notice: Notice of OFAC Sanctions Actions... | 06/28/2019

Final Rule: Technical Amendments to North Korea Sanctions Regulations... | 06/28/2019

Financial Sanction: Venezuela-related Designations... | 06/27/2019

Notice: Notice of OFAC Sanctions Actions... | 06/27/2019

Financial Sanction: Publication of Amended North Korea Sanctions Regulations... | 06/26/2019

Financial Sanction: Issuance of Amended Venezuela-related General License; Temporary Exten... | 06/26/2019

Notice: Notice of OFAC Sanctions Actions... | 06/25/2019

Financial Sanction: Issuance of Executive Order of June 24, 2019, "Imposing Sanctions with... | 06/24/2019

 
 
 
SEC
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; Miami International Securities Exchange... | 07/01/2019

Notice: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Pr... | 07/01/2019

Notice: Self-Regulatory Organizations; Nasdaq BX, Inc.; Order Granting Acceler... | 07/01/2019

Final Rule: Adoption of Updated EDGAR Filer Manual... | 07/01/2019

Enforcement: SEC Complaint - Paul Andrews Rinfret, et al.... | 06/28/2019

Enforcement: Avi Chiat, Esq.... | 06/28/2019

Enforcement: S. Jeffrey Jones, CPA... | 06/28/2019

Enforcement: SEC Complaint - Johnny R. Thomas, et al.... | 06/28/2019

Notice: Self-Regulatory Organizations; The Options Clearing Corporation; Notic... | 06/28/2019

Notice: Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Granting Approva... | 06/28/2019

 
 
 
TREAS
 
 
 
 

Agency Update: U.S. Department of the Treasury... | 06/28/2019

Notice: Open Meeting of the Financial Research Advisory Committee... | 06/28/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 06/27/2019

Agency Update: U.S. Department of the Treasury... | 06/27/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 06/26/2019

Notice: Proposed Collection; Comment Request... | 06/26/2019

Agency Update: U.S. Department of the Treasury... | 06/24/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 06/24/2019

 
 
 
UK-BOE
 
 
 
 
 
 

News: The impact of machine learning and AI on the UK economy... | 06/28/2019

Agency Update: Heterogeneous beliefs and the Phillips curve... | 06/28/2019

News: Why diverse markets need diverse talent - speech by Andrew Hauser... | 06/28/2019

Working Paper: Heterogeneous beliefs and the Phillips curve... | 06/28/2019

Working Paper: Heterogeneous beliefs and the Phillips curve -- Sign up to receive ema... | 06/28/2019

Working Paper: Heterogeneous beliefs and the Phillips curve -- Heterogeneous beliefs ... | 06/28/2019

Agency Update: Bank of England Weekly Report 26 June 2019... | 06/27/2019

Agency Update: The Bank of England=E2=80=99s risk management approach to collateral referenci... | 06/27/2019

News: Join the revolution! Why it makes business sense to move on from LIBOR... | 06/27/2019

Weekly report: Bank of England Weekly Report 26 June 2019... | 06/27/2019

 
 
 
UK-FCA
 
 
 
 
 
 
 
 

Policy statements: PS19/18: Restricting contract for difference products sold to retail c... | 07/01/2019

Final notices: Final Notice 2019: Craig Mitchison... | 07/01/2019

News: FCA confirms permanent restrictions on the sale of CFDs and CFD-like o... | 07/01/2019

Policy statements: PS19/18: Restricting contract for difference products sold to retail c... | 07/01/2019

News: New Chairs of the Financial Conduct Authority=E2=80=99s Practitioner Panel and... | 06/28/2019

Handbook: Handbook Notice 67... | 06/28/2019

News: NBI Funds (clone of authorised firm)... | 06/28/2019

News: United Standard Equities Ltd (clone of authorised firm)... | 06/28/2019

News: FCA response to European Banking Authority=E2=80=99s Opinion on Strong Custome... | 06/28/2019

News: New Lease Car... | 06/27/2019

 
 
 
UK-HMT
 
 
 
 
 
 

News Story: New Government Projects Chief Unveiled... | 07/01/2019

Guidance: Financial sanctions, Cyber-Attacks... | 06/28/2019

National Statistics: GDP deflators at market prices, and money GDP June 2019 (Quarterly Nat... | 06/28/2019

News Story: Prize-linked savings pilot participants announced... | 06/28/2019

News Story: Chancellor urges global action to tackle antimicrobial resistance cris... | 06/28/2019

Policy Paper: The Financial Services Compensation Scheme's annual report and account... | 06/28/2019

Corporate Report: The Crown Estate Office annual report and financial statements 2018 to... | 06/25/2019

Guidance: Preston guidance: June 2019... | 06/25/2019

Corporate Report: The Crown Estate integrated annual report and accounts 2018 to 2019 - ... | 06/25/2019

Guidance: Sovereign Grant Act 2011: guidance... | 06/25/2019

 
 
 
UK-ICO
 
 
 
 
 
 

News: Statement on cookies... | 06/28/2019

News: Former company director believed to have profited by more than =C2=A31.4 mi... | 06/28/2019

Audit: South East Coast Ambulance Service NHS Foundation Trust... | 06/28/2019

Audit: South East Coast Ambulance Service NHS Foundation Trust -- Executive s... | 06/28/2019

News: ICO searches Liverpool addresses as part of investigation into suspect... | 06/27/2019

News: ICO=E2=80=99s access to information strategy calls for better compliance by pu... | 06/27/2019

News: Human bias and discrimination in AI systems... | 06/25/2019

News: Blog: Supporting people accessing their data from the police... | 06/25/2019

Enforcement notices: Metropolitan Police Service -- Metropolitan Police Service enforcement... | 06/25/2019

Enforcement notices: Metropolitan Police Service... | 06/25/2019

 
 
 
UK-LSB
 
 
 
 

News: LSB becomes governance and oversight body for the Contingent Reimburse... | 07/01/2019

News: LSB becomes governance and oversight body for the Contingent Reimburse... | 07/01/2019

 
 
 
UK-PRA
 
 
 
 

PRA Regulatory Digest: PRA Regulatory Digest - June 2019... | 07/01/2019

Consultation paper: Pillar 2 liquidity: PRA110 reporting frequency threshold... | 06/25/2019

Consultation paper: Pillar 2 liquidity: PRA110 reporting frequency threshold - Consultatio... | 06/25/2019

 
 
 
VA
 
 
 
 

Notice: Solicitation of Nomination for Appointment to the Advisory Committee o... | 07/01/2019

Notice: Agency Information Collection Activity: State Application for Intermen... | 07/01/2019

Notice: Privacy Act of 1974; System of Records... | 06/28/2019

Notice: Agency Information Collection Activity: Veterans Health Administration... | 06/27/2019

Notice: Notice of Availability of the Final Programmatic Environmental Impact ... | 06/26/2019

Proposed Rule: Service Members Group Life Insurance-Definition of Stillborn Child for... | 06/26/2019

Final Rule: Case Management Services Grant Program... | 06/26/2019

Proposed Rule: Health Professional Scholarship Program... | 06/25/2019

Notice: Agency Information Collection Activity Under OMB Review: Request for D... | 06/25/2019

Final Rule: VA Acquisition Regulation: Special Contracting Methods... | 06/24/2019

 

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