Regulatory Agency Updates | Week of June 29 to July 06

Enforcement Report June 29 - July 06 feat

Enforcement Report June 29 - July 06

 
 
CFPB
 
 
 
 
 
 

Press release: Consumer Financial Protection Bureau Issues Proposed Rule on Escrow Ex... | 07/02/2020

Press release: CFPB, OCC Host Virtual Innovation Office Hours... | 07/02/2020

Blog: Spring 2020 Rulemaking Agenda... | 06/30/2020

Final Rule: Treatment of Certain COVID-19 Related Loss Mitigation Options Under th... | 06/30/2020

Notice: Agency Information Collection Activities: Comment Request... | 06/29/2020

Press release: CFPB Announces Tech Sprints To Empower Consumers, Reduce Regulatory Bu... | 06/29/2020

 
 
 
CFTC
 
 
 
 

Notice: Market Risk Advisory Committee... | 07/06/2020

Notice: Agency Information Collection Activities Under OMB Review... | 07/01/2020

News: Supreme Court Denies Defendants' Challenge to CFTC's Enforcement Autho... | 06/30/2020

Enforcement: Order: Cunningham Commodities, LLC... | 06/29/2020

News: CFTC Charges Chicago-Based Firm and Six Individuals in Multi-Million D... | 06/29/2020

Enforcement: Complaint: Long Leaf Trading Group, et al... | 06/29/2020

Notice: Technology Advisory Committee... | 06/29/2020

Enforcement: Order: Scott J. Gecas... | 06/29/2020

Enforcement: Order: James E. Leeney... | 06/29/2020

News: CFTC Orders Illinois Firm to Pay $250,000 for Supervision Violations... | 06/29/2020

 
 
 
DOJ
 
 
 
 

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Air Act... | 07/02/2020

Notice: Agency Information Collection Activities: Proposed Collection; Comment... | 07/02/2020

Notice: Notice of Lodging of Proposed Amendment To Consent Decree Under The Cl... | 07/01/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen... | 06/30/2020

Notice: Agency Information Collection Activities; Proposed Collection; Comment... | 06/30/2020

Notice: FY 2017 and FY 18 Service Contracts Inventory and Inventory Supplement... | 06/29/2020

 
 
 
EBSA
 
 
 
 
 
 

Final Rule: Default Electronic Disclosure by Employee Pension Benefit Plans Under ... | 07/02/2020

Notice: 200th Meeting of the Advisory Council on Employee Welfare and Pension ... | 07/02/2020

Proposed Rule: Financial Factors in Selecting Plan Investments... | 06/30/2020

News: U.S. Department of Labor Proposes to Improve Investment Advice And Enh... | 06/29/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Pledge to America's Workers Month, 2020... | 07/06/2020

Presidential Document: Protecting American Monuments, Memorials, and Statues and Combating Re... | 07/02/2020

Presidential Document: Amendment to Proclamation 10052... | 07/02/2020

Presidential Document: To Take Certain Actions Under the United States- Mexico-Canada Agreeme... | 07/01/2020

Presidential Document: Continuing the President's National Council for the American Worker an... | 07/01/2020

Presidential Document: Modernizing and Reforming the Assessment and Hiring of Federal Job Can... | 07/01/2020

Presidential Document: Strengthening the Child Welfare System for America's Children... | 06/29/2020

Presidential Document: Presidential Determination Pursuant to Section 303 of the Defense Prod... | 06/29/2020

 
 
 
FDIC
 
 
 
 

Proposed Rule: Loans in Areas Having Special Flood Hazards; Interagency Questions and... | 07/06/2020

Final Rule: Margin and Capital Requirements for Covered Swap Entities... | 07/01/2020

Final Rule: Margin and Capital Requirements for Covered Swap Entities... | 07/01/2020

Notice: Sunshine Act Meetings; Notice of a Change in Time of Agency Meeting... | 06/30/2020

Proposed Rule: Credit Risk Retention-Notification of Commencement of Review; Extensio... | 06/30/2020

Notice: Sunshine Act Meetings... | 06/29/2020

 
 
 
FFIEC
 
 
 
 

News: Press Release... | 07/01/2020

 
 
 
FINCEN
 
 
 
 

News: FinCEN Guidance Regarding Due Diligence Requirements under the Bank Se... | 06/29/2020

 
 
 
FINRA
 
 
 
 
 
 

Notices: Regulatory Notice 20-22 FINRA Announces Updates to the Interpretations... | 07/02/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Eugene J. Long AWCs (Letters of Acceptance, Waiver, and Consent)... | 07/02/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Cadaret, Grant & Co., Inc. AWCs (Letters of Acceptance, Waiver, and Co... | 07/01/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Leonard J. Marzocco AWCs (Letters of Acceptance, Waiver, and Consent)... | 07/01/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Avanza Capital Markets Inc. AWCs (Letters of Acceptance, Waiver, and C... | 07/01/2020

AWCs (Letters of Acceptance, Waiver, and Consent): John G. Kallis AWCs (Letters of Acceptance, Waiver, and Consent)... | 07/01/2020

OHO Decisions: PRIMEX PRIME ELECTRONIC EXECUTION, INC. d/b/a PRIMEX WILFREDO FELIX OH... | 07/01/2020

Notices: Regulatory Notice 20-21 FINRA Provides Guidance on Retail Communicatio... | 07/01/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Timothy Patrick McLanahan AWCs (Letters of Acceptance, Waiver, and Con... | 07/01/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Robert J. McNamara AWCs (Letters of Acceptance, Waiver, and Consent)... | 07/01/2020

 
 
 
FRS
 
 
 
 
 
 

Proposed Rule: Loans in Areas Having Special Flood Hazards; Interagency Questions and... | 07/06/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba... | 07/06/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies... | 07/06/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba... | 07/02/2020

Press Release: Federal Reserve Board issues enforcement action with Putnam County Ban... | 07/02/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies... | 07/02/2020

Press Release: Federal Open Market Committee announces its tentative meeting schedule... | 07/02/2020

Press Release: Targeted Resolution Plan template letter (PDF) - Agencies provide larg... | 07/01/2020

Press Release: Minutes of the Federal Open Market Committee, June 9-10, 2020... | 07/01/2020

Final Rule: Margin and Capital Requirements for Covered Swap Entities... | 07/01/2020

 
 
 
FTC
 
 
 
 
 
 

Event: Information Security and Financial Institutions: FTC Workshop to Exami... | 07/03/2020

Event: Information Security and Financial Institutions: FTC Workshop to Exami... | 07/03/2020

Event: Information Security and Financial Institutions: FTC Workshop to Exami... | 07/03/2020

Event: PrivacyCon 2020 -- Download the Agenda (192.96 KB)... | 07/03/2020

Event: PrivacyCon 2020 -- Examining the Adoption and Abandonment of Security,... | 07/03/2020

Event: PrivacyCon 2020 -- Security Certification in Payment Card Industry: Te... | 07/03/2020

Event: PrivacyCon 2020 -- Unaccounted Privacy Violation: A Comparative Analys... | 07/03/2020

Event: PrivacyCon 2020 -- An Empirical Analysis of Data Deletion and Opt-Out ... | 07/03/2020

Event: PrivacyCon 2020 -- (Un)informed Consent: Studying GDPR Consent Notices... | 07/03/2020

Event: PrivacyCon 2020 -- How Much Is Privacy Worth Around the World and Acro... | 07/03/2020

 
 
 
Freddie
 
 
 
 

Bulletin: Bulletin 2020-26 Selling Updates... | 07/01/2020

 
 
 
INT-EC
 
 
 
 

News: European payments: The European Commission welcomes the initiative by ... | 07/02/2020

News: Anti-Money Laundering: Commission decides to refer Austria, Belgium an... | 07/02/2020

Public Consultations: Review of prudential rules for insurance and reinsurance companies (So... | 07/01/2020

 
 
 
INT-FATF
 
 
 
 

Publication: Objectives for the FATF during the German Presidency (2020-2022)... | 07/01/2020

Publication: Outcomes FATF Virtual Plenary, 24 June 2020... | 06/30/2020

Publication: High-Risk Jurisdictions subject to a Call for Action - 30 June 2020... | 06/30/2020

Publication: Public consultation on FATF's Recommendation 1 and its Interpretive No... | 06/30/2020

Publication: Jurisdictions under Increased Monitoring - 30 June 2020... | 06/30/2020

Publication: Xiangmin Liu's End of Presidency Statement... | 06/30/2020

 
 
 
INT-FSB
 
 
 
 

News: FSB statement on the impact of COVID-19 on global benchmark reform... | 07/01/2020

Agency Update: RCG for the Americas Working Group on Non-Bank Intermediation: Fifth R... | 06/30/2020

Agency Update: RCG for the Americas Working Group on Non-Bank Intermediation: Fifth R... | 06/30/2020

Agency Update: RCG for the Americas Working Group on Non-Bank Intermediation: Fifth R... | 06/30/2020

 
 
 
NCUA
 
 
 
 

Proposed Rule: Loans in Areas Having Special Flood Hazards; Interagency Questions and... | 07/06/2020

Notice: Strategies for Future Examination and Supervision Utilizing Digital Te... | 07/01/2020

Notice: Sunshine Act Meetings... | 06/30/2020

Notice: Submission for OMB Review; Comment Request... | 06/29/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of ... | 07/06/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of ... | 06/30/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of ... | 06/30/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of ... | 06/29/2020

 
 
 
OCC
 
 
 
 

Proposed Rule: Loans in Areas Having Special Flood Hazards; Interagency Questions and... | 07/06/2020

News Release: News Release 2020-87... | 07/02/2020

News Release: News Release 2020-88... | 07/02/2020

Final Rule: Margin and Capital Requirements for Covered Swap Entities... | 07/01/2020

Final Rule: Margin and Capital Requirements for Covered Swap Entities... | 07/01/2020

Proposed Rule: Credit Risk Retention-Notification of Commencement of Review; Extensio... | 06/30/2020

News Release: News Release 2020-86... | 06/29/2020

 
 
 
OFAC
 
 
 
 

Notice: Notice of OFAC Sanctions Actions... | 07/06/2020

Financial Sanction: Revocation of Venezuela-related General License; Venezuela-related Des... | 07/02/2020

Notice: Notice of OFAC Sanctions Actions... | 07/01/2020

Financial Sanction: Publication of Xinjiang Supply Chain Business Advisory... | 07/01/2020

Notice: Notice of OFAC Sanctions Actions... | 07/01/2020

Financial Sanction: Reminder to file the 2020 Annual Report of Blocked Property... | 07/01/2020

Notice: Notice of OFAC Sanctions Actions... | 06/29/2020

 
 
 
SEC
 
 
 
 
 
 
 
 

Notice: Sunshine Act Meetings... | 07/06/2020

Notice: Sunshine Act Meeting; Cancellation... | 07/06/2020

Notice: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and ... | 07/06/2020

Notice: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and... | 07/06/2020

Notice: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing an... | 07/06/2020

Notice: Order Under Section 17(h)(4) of the Securities Exchange Act of 1934 Gr... | 07/06/2020

Notice: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing a... | 07/06/2020

Notice: Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approvi... | 07/06/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of ... | 07/06/2020

Notice: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and I... | 07/06/2020

 
 
 
TREAS
 
 
 
 

News: U.S. Department of the Treasury... | 07/02/2020

News: U.S. Department of the Treasury... | 07/02/2020

Final Rule: Implementation of the Agreement Between the United States of America, ... | 07/01/2020

News: U.S. Department of the Treasury... | 07/01/2020

News: U.S. Department of the Treasury... | 06/30/2020

Notice: Water Infrastructure Finance and Innovation Act Program (WIFIA) Criter... | 06/30/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 06/29/2020

News: U.S. Department of the Treasury... | 06/29/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 06/29/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 06/29/2020

 
 
 
UK-BOE
 
 
 
 

Agency Update: Statement on Bank's commitment to combatting climate change... | 07/01/2020

News Release: Bank of International Settlements selects Bank of England to host an I... | 06/30/2020

News Release: Bank of International Settlements selects Bank of England to host an I... | 06/30/2020

News Release: The Climate Financial Risk Forum publishes its guide to help the finan... | 06/29/2020

News Release: The Climate Financial Risk Forum publishes its guide to help the finan... | 06/29/2020

 
 
 
UK-CMA
 
 
 
 
 
 

Correspondence: CMA and trade bodies' joint statement against price gouging... | 07/03/2020

Press Release: COVID-19: CMA secures refunds from second major holiday lets firm... | 07/03/2020

Research: CMA coronavirus taskforce update: 3 July 2020... | 07/03/2020

News Story: Latest update from CMA COVID-19 taskforce... | 07/03/2020

Press Release: New regime needed to take on tech giants... | 07/01/2020

Press Release: CMA imposes =C2=A31.2m in fines for price-fixing in private eyecare... | 07/01/2020

News Story: Medical device suppliers' merger raises competition concerns... | 06/30/2020

Press Release: Musical instrument firms to pay millions after breaking competition la... | 06/29/2020

 
 
 
UK-FCA
 
 
 
 
 
 
 
 
 
 

News: Union Bonds... | 07/06/2020

News: Investor Guard... | 07/06/2020

News: Bond Comparison Site... | 07/06/2020

News: AlphaPrime / Alphaprime.cash (clone of FCA authorised firm)... | 07/06/2020

News: Titanium Asset Management (Clone of an EEA authorised firm)... | 07/06/2020

Publication: Decision Notice 2020: Conor Martin Foley... | 07/03/2020

Policy and guidance Guidance consultations: Rent-to-own, buy-now pay-later and pawnbroking agreements and coronavi... | 07/03/2020

Publication: Rent-to-own, buy-now pay-later and pawnbroking agreements and coronavi... | 07/03/2020

Publication: Coronavirus (Covid-19) motor finance and high cost credit (No 2) instr... | 07/03/2020

Policy and guidance Guidance consultations: Rent-to-own, buy-now pay-later and pawnbroking agreements and coronavi... | 07/03/2020

 
 
 
UK-HMT
 
 
 
 
 
 
 
 

Press Release: =C2=A31.57 billion investment to protect Britain's world-class cultural, ar... | 07/05/2020

News Story: Chancellor welcomes staff back as hospitality prepares to reopen... | 07/04/2020

Research: UK official holdings of international reserves: June 2020... | 07/03/2020

News Story: Robin Budenberg, CBE re-appointed as Chair of The Crown Estate Board... | 07/03/2020

News Story: HM Treasury extends tax cut to PPE costs... | 07/03/2020

Correspondence: Treasury Direction made by the Chancellor under Sections 71 and 76 of ... | 07/02/2020

Guidance: HMT exceptions to cross-government moratoria on spending: Q4 January -... | 07/02/2020

Transparency: Government procurement card HMT spend greater than =C2=A3500: April 2020... | 07/02/2020

Transparency: HMT exceptions to cross-government moratoria on spending: Q3 October -... | 07/02/2020

Transparency: HMT exceptions to cross-government moratoria on spending: Q3 October t... | 07/02/2020

 
 
 
UK-ICO
 
 
 
 

Agency Update: Decision Technologies Limited... | 07/02/2020

Monetary penalties: Decision Technologies Limited -- Decision Technologies Limited mpn... | 07/02/2020

 
 
 
UK-LSB
 
 
 
 

News: Coronavirus; working through it... | 07/03/2020

 
 
 
UK-PRA
 
 
 
 
 
 

PRA Regulatory Digest: PRA Regulatory Digest - June 2020... | 07/01/2020

Letter: Letter from Sam Woods 'Managing climate-related financial risk - thema... | 07/01/2020

Letter: Letter from Sam Woods 'Managing climate-related financial risk - thema... | 07/01/2020

Consultation paper: Solvency II technical information: The PRA's proposed approach to the ... | 06/30/2020

Statement: Statement by the PRA on the Capital Requirements Regulation (CRR) 'Qui... | 06/30/2020

Consultation paper: Solvency II technical information: The PRA's proposed approach to the ... | 06/30/2020

Statement: Statement by the PRA on the Capital Requirements Regulation (CRR) 'Qui... | 06/30/2020

Consultation paper: Solvency II technical information: The PRA's proposed approach to the ... | 06/30/2020

 
 
 
VA
 
 
 
 

Notice: Solicitation of Nomination for Appointment to the Advisory Committee o... | 07/01/2020

Proposed Rule: VA Acquisition Regulation: Loan Guaranty and Vocational Rehabilitation... | 06/30/2020

Notice: Agency Information Collection Activity Under OMB Review: Requirements ... | 06/29/2020

 

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