Regulatory Agency Updates | Week Of October 08 To October 15

Regulatory Agency Updates | Week of October 08 to October 15

Oct 08 to Oct 15, 2018

Regulatory Agency Updates

Regulatory Agency Activity Weekly Summary

Compliance.ai’s Weekly Regulatory Agency Activity Summary is the only comprehensive resource for financial compliance professionals to

stay up to date on the latest regulatory changes and updates.

Check out our Financial Regulatory Digest page for more resources. 

Notice | Published 10/15/2018
The Treasury Department’s Office of Foreign Assets Control (OFAC) is taking action to implement certain of the sanctions imposed on two persons by the Secretary of State pursuant to the Countering America’s Adversaries Through Sanctions Act… Read More
View all OFAC updates

DOL

Notice | Published 10/15/2018 | Comments Close 11/14/2018
The Department of Labor (DOL) is submitting the information collection request (ICR) proposal titled, “E America’s Promise Job- Driven Grant Program Evaluation,” to the Office of Management and Budget (OMB) for review and approval for use in accord… Read More
View all DOL updates
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News | Published 10/12/2018 
Debt collection is consistently one of the top financial issues people have questions about when they visit our website. We’ve provided short, easy-to-understand answers to some of our most-visited questions about debt collection… Read More
View all CFPB updates
Final Rule | Published 10/10/2018 | Effective 11/09/2018
The Board, OCC, FDIC, FCA, and FHFA (each an Agency and, collectively, the Agencies) are adopting amendments to their rules establishing minimum margin requirements for registered swap dealers, major swap participants, security-based swap dealers, an… Read More
View all FDIC updates

VA

Final Rule | Published 10/09/2018 | Effective 10/09/2018
The Department of Veterans Affairs (VA) published an interim final rule on May 9, 2014, implementing provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act). This document informs the public that VA will not… Read More
View all VA updates
Final Rule | Published 10/10/2018 | Effective 11/09/2018
The Board, OCC, FDIC, FCA, and FHFA (each an Agency and, collectively, the Agencies) are adopting amendments to their rules establishing minimum margin requirements for registered swap dealers, major swap participants, security-based swap dealers, an… Read More
View all OCC updates

NYSE

Agency Update | Published 10/10/2018
Required fields are shown with yellow backgrounds and asterisks. Page 1 of * 3 SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL OMB Number: Estimated average burden hours per response… Read More
View all NYSE updates

TREAS

Final Rule | Published 10/11/2018 | Effective 10/11/2018
This interim rule sets forth amendments to the regulations in part 800 of 31 CFR that implement, and make updates consistent with, certain provisions of the Foreign Investment Risk Review Modernization Act of 2018 (FIRRMA). Among other things… Read More
View all TREAS updates

DOJ

Notice | Published 10/12/2018
The Department of Justice (DOJ), Civil Division, will be submitting the following information collection request to the Office of Management and Budget (OMB) for review and approval in accordance with the Paperwork Reduction Act of 1995. The proposed… Read More
View all DOJ updates
Final Rule | Published 10/09/2018 | Effective 01/07/2019
The Federal Trade Commission (“Commission”) has completed its regulatory review of its Trade Regulation Rule Concerning the Deceptive Advertising as to Sizes of Viewable Pictures Shown by Television Receiving Sets (“Picture Tube Rule” or “Rule”… Read More
View all FTC updates

FINRA

Enforcement | Published 10/11/2018
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058711201 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Larry Joe Templin, Respondent Former Registered Representative CRD… Read More
View all FINRA updates
Final Rule | Published 10/10/2018 | Effective 11/09/2018
The Board, OCC, FDIC, FCA, and FHFA (each an Agency and, collectively, the Agencies) are adopting amendments to their rules establishing minimum margin requirements for registered swap dealers, major swap participants, security-based swap dealers, an… Read More
View all FRS updates
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News | Published 10/12/2018
The Securities and Exchange Commission today suspended three former BDO USA LLP accountants for their improper professional conduct during an audit of an exchange-listed insurance company… Read More
View all SEC updates

EOP

Presidential Document | Published 10/15/2018
This Nation–founded on principles of liberty and justice–has no tolerance for domestic violence. Personal relationships should be a source of comfort and support–a solid foundation for each person’s empowerment and achievement in his or her daily… Read More
View all EOP updates