Regulatory Agency Updates | Week Of Feb 11 To Feb 18

Regulatory Agency Updates | Week of Feb 11 to Feb 18

Feb 11 to Feb 18, 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. 

OCC

Final Rule | Published 02/14/2019 | Effective 04/01/2019
The Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, and the Federal Deposit Insurance Corporation (collectively, the agencies) are adopting a final rule to address changes to credit loss accounting… Read More
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OFAC

Notice | Published 02/15/2019
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 Foreign Sanctions Evaders List based on OFAC’s determination that one or more applicable legal… Read More
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SEC

Agency Update | Published 02/12/2019
Whether you are a first-time investor or have been investing for years, here are 10 tips from the SEC’s Office of Investor Education and Advocacy to help you in 2019… Read More
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CFTC

Final Rule | Published 02/11/2019 | Effective 02/11/2019
The Commodity Futures Trading Commission (Commission) is amending its rules governing the maximum amount of civil monetary penalties to adjust for inflation. This rule sets forth the maximum, inflation-adjusted dollar amount for civil monetary penalt… Read More
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DOL

Final Rule | Published 02/12/2019 | Effective 02/12/2019
The Department of Labor (Department or DOL) is making technical corrections to the equal employment opportunity regulations that implement the National Apprenticeship Act of 1937… Read More
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NYSE

Agency Update | Published 02/14/2019
Required fields are shown with yellow backgrounds and asterisks. Page 1 of * 29 SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL OMB Number: Estimated average burden hours per response… Read More
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DOJ

Notice | Published 02/15/2019 | Comments Close 04/16/2019
The Department of Justice (DOJ), Office of Justice Programs, Bureau of Justice Assistance, is submitting the following information collection request to the Office of Management and Budget (OMB) for review and approval in accordance with the Paperwor… Read More
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Fannie

News | Published 02/14/2019
Read more about our fourth quarter and full year 2018 financial results in our news release, Form 10-K, and credit supplement… Read More
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RHS

Notice | Published 02/12/2019 | Comments Close 04/15/2019
In accordance with the Paperwork Reduction Act of 1995, the Rural Housing Service (RHS) invites comments on this information collection for the Housing Preservation Grant (HPG) Program, which approval from the Office of Management and Budget (OMB)… Read More
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FRS

News | Published 02/13/2019 
I am writing to ask for your assistance with a survey about consumer finances. This survey is one of the nation’s primary sources of information on the financial condition of different types of families… Read More
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CFPB

Proposed Rule | Published 02/14/2019 | Comments Close 05/15/2019
The Bureau of Consumer Financial Protection (Bureau) is proposing to rescind certain provisions of the regulation promulgated by the Bureau in November 2017 governing Payday, Vehicle Title, and Certain High-Cost Installment Loans (2017 Final Rule or… Read More
View all CFPB updates

EOP

Presidential Document | Published 02/14/2019
By the authority vested in me as President by the Constitution and the laws of the United States of America, it is hereby ordered as follows… Read More
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VA

Final Rule | Published 02/15/2019 | Effective 02/19/2019
The Department of Veterans Affairs (VA) is correcting a final rule regarding its claims adjudication, appeals, and Rules of Practice of the Board of Veterans’ Appeals (Board) regulations. This correction addresses minor technical errors in the publis… Read More
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FDIC

Final Rule | Published 02/14/2019 | Effective 04/01/2019
The Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, and the Federal Deposit Insurance Corporation (collectively, the agencies) are adopting a final rule to address changes to credit loss accounting und… Read More
View all FDIC updates

EBSA

Notice | Published 02/13/2019
This document contains notice of pendency before the Department of Labor (the Department) of a proposed temporary one-year individual exemption from certain of the prohibited transaction restrictions of the Employee Retirement Income Security Act of… Read More
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Freddie

News | Published 02/15/2019
TO: Freddie Mac Sellers December 5, 2018 | 2018-24 SUBJECT: SELLING UPDATES This Guide Bulletin announces: Single Security Initiative… Read More
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FTC

Enforcement | Published 02/08/2019
Federal Trade Commission, Plaintiff, v. Global Asset Financial Services Group, LLC, a limited liability company; Regional Asset Maintenance, LLC, a limited liability company, also doing business as RAM LLC, Midwestern Alliance, LLC, a limited… Read More
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TREAS

Final Rule | Published 02/11/2019 | Effective 04/12/2019
This rule amends regulations that provide civil penalties for misuse of Department of the Treasury names, symbols, etc. to implement the Federal Civil Penalties Inflation Adjustment Act of 1990, as amended by the Federal Civil Penalties Inflation Adj… Read More
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FINRA

Enforcement | Published 02/15/2019
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Michael Royce Minghenelli (CRD No. 6067409), Respondent. DISCIPLINARY PROCEEDING No. 20170535499 COMPLAINT The Department of Enforcement all… Read More
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