Regulatory Agency Updates | Week Of Dec 03 To Dec 10

Regulatory Agency Updates | Week of Dec 03 to Dec 10

Dec 03 to Dec 10, 2018

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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. 

NYSE

Proposed Rule | Published 12/04/2018
November 28, 2018. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the “Act”) and Rule 19b-4 thereunder, notice is hereby given that, on November 21, 2018, NYSE American LLC (the “Exchange” or “NYSE American”) fi… Read More
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FINRA

News | Published 12/07/2018
FINRA today published its 2018 Report on FINRA Examination Findings, its second annual report detailing observations from recent exams of firms. The report is the latest resource FINRA makes available to firms as a result of its ongoing organizational improvement initiative, FINRA360… Read More
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Agency Update | Published 12/06/2018
TO: Freddie Mac Sellers December 6, 2018 | 2018-25 SUBJECT: TEMPORARY SELLING REQUIREMENTS RELATED TO CALIFORNIA WILDFIRES AND UPDATES TO ELIG… Read More
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News | Published 12/03/2018
WASHINGTON—As a result of a working group established by the U.S. Department of the Treasury’s Office of Terrorism and Financial Intelligence and the Federal depository institutions regulators, the Financial Crimes Enforcement Network (FinCEN) and it… Read More
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Enforcement | Published 12/06/2018
The FTC is mailing 43,456 checks totaling more than $3.5 million to consumers allegedly subjected to deceptive and unfair sales and financing tactics by the Sage Auto Group and its owners between 2014 and 2016. The FTC charged the auto dealership wit… Read More
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News | Published 12/07/2018
Financial education is a critical part of the Bureau’s mission to empower people to take more control over their economic lives. The 2018 Financial Literacy Annual Report details how the Bureau works toward this goal by… Read More
View all CFPB updates

DOJ

Notice | Published 12/06/2018
On November 21, 2018, a Notice of Settlement Agreement was filed in the Superior Court for the State of New Hampshire, Merrimack County in the proceeding entitled In the Matter of the Liquidation of The Home Insurance Company, Docket No. 217-2003-EQ-… Read More
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EBSA

Notice | Published 12/04/2018
In accordance with section 512(a)(1) of the Employee Retirement Income Security Act of 1974 (ERISA) and the provisions of the Federal Advisory Committee Act and its implementing regulations issued by the General Services Administration (GSA), the cha… Read More
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CFTC

Proposed Rule | Published 12/10/2018 | Comments Close 02/08/2019
The Commodity Futures Trading Commission (“CFTC” or “Commission”) is proposing to revise its regulations requiring covered persons to provide annual privacy notices to customers. The proposed revisions implement the Fixing America’s Surface Trans… Read More
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Notice | Published 12/04/2018
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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Fannie

News | Published 12/04/2018
These updates were made in December: reduced complexity for appraisal waiver offers during a disaster, approved self-employment income calculation tool available, clarifications to unreimbursed business expenses, more flexibility for on-frame modular… Read More
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Proposed Rule | Published 12/07/2018 | Comments Close 02/05/2019
The OCC, Board, and FDIC (collectively, the agencies) are inviting comment on a proposed rule to amend the agencies’ regulations requiring appraisals for certain real estate-related transactions. The proposed rule would increase the threshold level a… Read More
View all FDIC updates

VA

Notice | Published 12/06/2018
This Department of Veterans Affairs (VA) notice updates the data for calculating the “Reasonable Charges” collected or recovered by VA for medical care or services. This notice also updates the “National Average Administrative Prescription Costs”… Read More
View all VA updates
Proposed Rule | Published 12/07/2018 | Comments Close 02/05/2019
The OCC, Board, and FDIC (collectively, the agencies) are inviting comment on a proposed rule to amend the agencies’ regulations requiring appraisals for certain real estate-related transactions. The proposed rule would increase the threshold level a… Read More
View all OCC updates
Notice | Published 12/10/2018 | Comments Close 01/09/2019
The Department of Labor (DOL) is submitting the Bureau of Labor Statistics (BLS) sponsored information collection request (ICR) revision titled, “Survey of Occupational Injuries and Illnesses,” to the Office of Management and Budget (OMB) for revie… Read More
View all DOL updates
Final Rule | Published 12/04/2018 | Effective 12/04/2018
This document makes technical corrections to several amendments to Form N-1A, which the Commission adopted as part of three rulemakings: Investment Company Reporting Modernization, which was published in the Federal Register on November 18, 2016; Opt… Read More
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EOP

Presidential Document | Published 12/06/2018
It is my sorrowful duty to announce officially the death of George Herbert Walker Bush, the forty-first President of the United States, on November 30, 2018… Read More
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TREAS

News | Published 12/07/2018
Wednesday, December 12 10:00 AM ET Under Secretary David Malpass U.S. House Financial Services Subcommittee on Monetary Policy and Trade Thursday, December 13 12:00 PM ET Under Secretary Sigal Mandelker Practicing Law Institute Conference Coping with… Read More
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Proposed Rule | Published 12/10/2018 | Comments Close 02/08/2019
The Board and the Bureau (Agencies) are proposing amendments to Regulation CC, which implements the Expedited Funds Availability Act (EFA Act) (2018 Proposal), and are also providing an additional opportunity for public comment on certain amendments… Read More
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