Regulatory Agency Updates | Week Of November 05 To 12

Regulatory Agency Updates | Week of November 05 to 12

Nov 05 to Nov 12, 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

Agency Update | Published 11/09/2018 | Effective 12/03/2018
SECURITIES AND EXCHANGE COMMISSION (Release No. 34-84566; File No. SR-NYSE-2018-55) November 9, 2018, Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the… Read More
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Final Rule | Published 11/06/2018 | Effective 11/06/2018
The Commission is issuing a statement regarding certain provisions of its Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants. The statement sets forth the Commission’s position, for five years after… Read More
View all SEC updates

News | Published 11/08/2018
If you’re working with older adults, many of whom might be veterans, you might be looking for ways to educate them about the dangers of frauds and scams. We are offering a new placemat on scams targeting the Aid and Attendance benefit, part of a seri… Read More
View all CFPB updates

VA

Notice | Published 11/07/2018
The Department of Veterans Affairs gives notice under the Federal Advisory Committee Act that the Cooperative Studies Scientific Evaluation Committee will hold a meeting on December 4, 2018, at the American Association of Airport Executives, 601 Madi… Read More
View all VA updates
Final Rule | Published 11/05/2018 | Effective 11/05/2018
The Department of the Treasury’s Office of Foreign Assets Control (OFAC) is amending the Iranian Transactions and Sanctions Regulations (ITSR) to implement further the President’s May 8, 2018 decision to cease the United States’ participation in the… Read More
View all OFAC updates
Enforcement | Published 11/09/2018
The FTC and the Department of Justice (DOJ) plan to use funds obtained from a settlement with MoneyGram to give money back to people who used the wire transfer service to pay scammers. For years, many people who lost money to scams sent their payment… Read More
View all FTC updates
Agency Update | Published 11/07/2018
FHA INFO #18-44 November 7, 2018, TO: All FHA-Approved Mortgagees All FHA Roster Appraisers All Other Interested Stakeholders in FHA Transactions NEWS AND UPDATES FHA to Automate its User Identification Assignment Process for M… Read More
View all FHA updates

News | Published 11/09/2018
A New Chapter in Stress Testing. Vice Chairman for Supervision Randal K. Quarles. At the Brookings Institution, Washington, D.C. – Thank you to Brookings for inviting me to speak today. It is an honor and pleasure to talk to you about the next chapter in stress testing, particularly before this extremely distinguished audience of Brookings scholars that includes former Chairs, Vice Chairs, and senior leaders of the Federal Reserve… Read More
View all FRS updates

FINRA

Enforcement | Published 11/09/2018
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. SEAN WILLIAM KILLORAN (CRD No. 4591890), Respondent. Disciplinary Proceeding No. 20160491970-01 Hearing Officer-RES DEFAULT DECISION Novembe… Read More
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News | Published 11/08/2018
WASHINGTON — The Office of the Comptroller of the Currency (OCC) has renewed the charter of its Mutual Savings Association Advisory Committee (MSAAC), which advises the agency on issues and opportunities facing mutual savings institutions. “The Mutua… Read More
View all OCC updates

DOJ

Notice | Published 11/09/2018 | Comments Close 12/10/2018
The Department of Justice (DOJ), Antitrust Division (ATR), 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… Read More
View all DOJ updates

FFIEC

News | Published 11/05/2018
Press Release For Immediate Release November 5, 2018 FFIEC Releases Statement on OFAC Cyber-Related Sanctions The Federal Financial Institutions Examination Council (FFIEC) members issued a joint statement alerting financial institutions to recent ac… Read More
View all FFIEC updates

Fannie

News | Published 11/07/2018
This Exhibit provides the new Fannie Mae Modification Interest Rate required for all Fannie Mae conventional mortgage loan modifications… Read More
View all Fannie updates

TREAS

Agency Update | Published 11/09/2018
Washington – The U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC) today extended further the expiration date of certain general licenses related to EN+ Group plc (EN+), United Company RUSAL PLC (RUSAL), and GAZ Group (GAZ). T… Read More
View all TREAS updates

EBSA

Notice | Published 11/07/2018 | Comments Close 12/24/2018
This document gives notice of a proposed individual exemption from certain of the prohibited transaction restrictions of the Employee Retirement Income Security Act of 1974 (ERISA or the Act) and/or the Internal Revenue Code of 1986 (the Code)… Read More
View all EBSA updates

Freddie

News | Published 11/09/2018
November 09, 2018 – We’re listening to your feedback and making changes that deliver speed, efficiency, and results. We’re enhancing Freddie Mac Loan Advisor℠ to provide the value you need to give you an edge – The Freddie Edge℠… Read More
View all Freddie updates
News | Published 11/08/2018
Compliance and Community Reinvestment Act (CRA) Updates and Refresher Information Thursday, November 29, 2018, The FDIC’s Atlanta Regional Office will host a teleconference to discuss some updates and refresher information related to consumer complian… Read More
View all FDIC updates

DOL

Notice | Published 11/06/2018
The Department of Labor (DOL) published a document in the Federal Register of November 1, 2018, concerning request for comments on the collection of data about the Evaluation of Strategies Used in America’s Promise Job Driven Grant Program Evaluation… Read More

EOP

Presidential Document | Published 11/09/2018
Notice of November 8, 2018–Continuation of the National Emergency With Respect to the Proliferation of Weapons of Mass Destruction… Read More
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