Regulatory Agency Updates | Week of September 10 to September 17

Proposed Rule | Published 09/14/2018
September 10, 2018. Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of 1934 (the "Act") \2\ and Rule 19b-4 thereunder,\3\ notice is hereby given that on August 28, 2018, NYSE American LLC (the "Exchange" or "NYSE American") file... Read More
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SEC

News | Published 09/14/2018
The Securities and Exchange Commission today announced that a whistleblower has earned an award of more than $1.5 million. The whistleblower provided the SEC with vital information and ongoing assistance that proved important to the overall success... Read More
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DOJ

Notice | Published 09/17/2018
In accordance with Departmental Policy, 28 CFR 50.7, notice is hereby given that a proposed Consent Decree in United States v. LaPant, Civil Action Number 2:16-cv-01498-KJM-DB, was lodged with the United States District Court for the Eastern District... Read More
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VA

Final Rule | Published 09/13/2018 | Effective 10/15/2018
The Department of Veterans Affairs (VA) is amending and updating its VA Acquisition Regulation (VAAR) in phased increments to revise or remove any policy superseded by changes in the Federal Acquisition Regulation (FAR), to remove procedural guidance... Read More
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News | Published 09/13/2018 
This week, the Bureau’s new Office of Innovation took action to further the Bureau’s statutory mandate to ensure that markets for consumer financial products and services operate transparently and efficiently to facilitate access and innovation... Read More
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News | Published 09/11/2018
This course has been updated to incorporate Co-Issue Sale and Early Funding solutions... Read More
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EOP

Presidential Document | Published 09/14/2018
By the authority vested in me as President by the Constitution and the laws of the United States of America, including the International Emergency Economic Powers Act (50 U.S.C. 1701 et seq.) (IEEPA), the National Emergencies Act (50 U.S.C. 1601 et s... Read More
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News | Published 09/14/2018
Monday, September 17 10:00 AM ET Under Secretary David Malpass Moderated discussion The Debate Over Institutional Investors Harvard Club of New York City 35 W. 44th St. New York, NY Tuesday, September 18 9:00 AM ET Assistant Secretary Heath Tarbert R... Read More
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FHA

Agency Update | Published 09/13/2018
FHA INFO #18-39 September 13, 2018 TO: All FHA-Approved Mortgagees and Servicers; All Other Interested Stakeholders TRAINING OPPORTUNITIES -There is no charge for training courses and webinars offered by the Federal Housing Administrat... Read More
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Notice | Published 09/11/2018 | Comments Close 11/13/2018
FinCEN invites comment on a proposed renewal, without change, to information collections found in regulations requiring banks, savings associations, credit unions, certain non-federally regulated banks, futures commission merchants, and introducing b... Read More
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FTC

Final Rule | Published 09/14/2018 | Effective 10/01/2018
The Federal Trade Commission (the "Commission") is amending its Telemarketing Sales Rule ("TSR") by updating the fees charged to entities accessing the National Do Not Call Registry (the "Registry") as required by the Do-Not-Call Registry Fee E... Read More
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News | Published 09/13/2018
September 13, 2018 - Coming Soon: Through our Duty to Serve plan, we're expanding our offerings so you can finance more mortgages for families in underserved markets. Stay tuned... Read More
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OCC

Proposed Rule | Published 09/11/2018 | Effective 07/17/2018
On July 17, 2018, the Agencies published in the Federal Register a notice of proposed rulemaking (proposal) that would amend the regulations implementing section 13 of the Bank Holding Company Act. Section 13 contains certain restrictions on the abil... Read More
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Enforcement | Published 09/14/2018
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017055255001 TO Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jeffrey S. Kidwell, Respondent CRD No. 1306296 Pursuant to FINRA Ru... Read More
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Notice | Published 09/12/2018
The Department of the Treasury's Office of Foreign Assets Control (OFAC) is publishing the names of one or more persons that have been placed on OFAC's Specially Designated Nationals and Blocked Persons List based on OFAC's determination that one or... Read More
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FRS

Final Rule | Published 09/17/2018 | Effective 01/01/2019
The Board is publishing a final rule that amends Subpart C of Regulation CC to address situations where there is a dispute as to whether a check has been altered or was issued with an unauthorized signature, and the original paper check is not availa... Read More
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Proposed Rule | Published 09/11/2018 | Effective 07/17/2018
On July 17, 2018, the Agencies published in the Federal Register a notice of proposed rulemaking (proposal) that would amend the regulations implementing section 13 of the Bank Holding Company Act. Section 13 contains certain restrictions on the abil... Read More
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Proposed Rule | Published 09/11/2018 | Effective 07/17/2018
On July 17, 2018, the Agencies published in the Federal Register a notice of proposed rulemaking (proposal) that would amend the regulations implementing section 13 of the Bank Holding Company Act. Section 13 contains certain restrictions on the abil... Read More
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