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Financial Regulatory Deadlines & News (November 14 to 20)

Changes Coming to House Financial Services Committee Under New Congress

Source: PYMNTS.com

Responsibilities of Boards of Directors, Corporate Practices, and Corporate Governance

FHFA | Lending | Final Rule

Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Listed Company Manual to Clarify the Application of the Initial Listing Requirements to Common Equity Securities Issued in Exchange for a Listed Equity Investment Tracking Stock.

NYSE | Securities | Agency Update

Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 303A.00 of the Manual to Change the Threshold for Qualifying as a Smaller Reporting Company to Qualify for Certain Exemptions from the Compensation Committee Requirements

NYSE | Securities | Agency Update

Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 805(c)(5) of the Guide to Change the Threshold for Qualifying as a Smaller Reporting Company to Qualify for Certain Exemptions from the Compensation Committee Requirements

NYSE | Securities | Agency Update

Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities

SEC | Securities | Proposed Rule

Investors Sue Bank OZK For Hiding $46M Lost On Bad Loans
Law360: Banking 11/19/2018
Investors hit Bank OZK with a proposed securities class action in New York federal court on Monday after the regional bank was forced to write down nearly $46 million on real…
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Bank of England Governor Mark Carney and other top monetary policy officials from the central bank were speaking to the Treasury Committee in Britain’s parliament on Tuesday…

Image Source: Wall Street Journal

Report: Venezuela media tycoon charged with FCPA violations
The FCPA Blog 11/20/2018
An indictment unsealed Monday charged a Venezuelan TV network owner with violating the Foreign Corrupt Practices Act and laundering money using U.S. banks and real estate deals…
Spencer Edwards, Inc.
FINRA | Broker-Dealer, Securities | Enforcement | 11/14/2018
FINRA | Broker-Dealer, Securities | Enforcement | 11/16/2018
FINRA | Broker-Dealer, Securities | Enforcement | 11/16/2018
Solaris Power Cells, Inc., Stragenics, Inc. and Ultimate Rack Inc.
SEC | Securities | Enforcement | 11/14/2018
FINRA | Securities | Enforcement | 11/14/2018