Regulatory Agency Updates | Week Of November 12 To 19

Regulatory Agency Updates | Week of November 12 to 19

Nov 12 to Nov 19, 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. 

FINRA

Fellowship 2018
News | Published 11/15/2018
The FINRA Investor Education Foundation (FINRA Foundation) has announced the recipients of the first annual awards to FINRA Foundation Military Spouse Fellows for outstanding service and dedication to military service members and their families… Read More
View all FINRA updates
Proposed Rule | Published 11/19/2018 | Comments Close 01/18/2019
The OCC, the Board, and the FDIC (collectively, the agencies) are inviting comment on a proposed rule that would implement section 205 of the Economic Growth, Regulatory Relief, and Consumer Protection Act by: Expanding the eligibility to file the ag… Read More
View all OCC updates
Agency Update | Published 11/15/2018
FHA INFO #18-45 November 15, 2018 TO: All FHA-Approved Mortgagees and Servicers All Other Interested Stakeholders in FHA Transactions NEWS AND UPDATES Fiscal Year 2018 FHA Annual Report to Congress Released Today Today, the… Read More
View all FHA updates

DOJ

Notice | Published 11/19/2018
On November 9, 2018, the Department of Justice lodged a proposed Consent Decree with the United States District Court for the District of South Carolina in the lawsuit entitled United States et al. v. Beazer East, Inc., Civil Action No. 2:18-cv-03051… Read More
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Image Source: Brookings Institution

News | Published 11/13/2018 
Although it is still early days, it is already evident that the application of artificial intelligence (AI) in financial services is potentially quite important and merits our attention. Through our Fintech working group, we are working across the Federal Reserve System to take a deliberate approach to understanding the potential implications of AI for financial services, particularly as they relate to our responsibilities… Read More
View all FRS updates

VA

Notice | Published 11/14/2018 | Comments Close 12/14/2018
In compliance with the Paperwork Reduction Act (PRA) of 1995, this notice announces that the Board of Veterans’ Appeals, Department of Veterans Affairs, will submit the collection of information abstracted below to the Office of Management and Budget… Read More
View all VA updates

CFTC

Final Rule | Published 11/13/2018 | Effective 11/13/2018
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is amending the de minimis exception within the “swap dealer” definition in the Commission’s regulations by setting the aggregate gross notional amount threshold for the de minim… Read More
View all CFTC updates
Proposed Rule | Published 11/19/2018 | Comments Close 01/18/2019
The OCC, the Board, and the FDIC (collectively, the agencies) are inviting comment on a proposed rule that would implement section 205 of the Economic Growth, Regulatory Relief, and Consumer Protection Act by: Expanding the eligibility to file the ag… Read More
View all FDIC updates
Final Rule | Published 11/15/2018 | Effective 11/15/2018
The Department of the Treasury’s Office of Foreign Assets Control (OFAC) is adopting a final rule amending the Democratic Republic of the Congo Sanctions Regulations to implement Executive Order 13671 of July 8, 2014 (“Taking Additional Steps to Add… Read More
View all OFAC updates

EBSA

Final Rule | Published 11/15/2018 | Effective 01/14/2019
These rules finalize, with changes based on public comments, interim final rules concerning religious exemptions and accommodations regarding coverage of certain preventive services issued in the Federal Register on October 13, 2017… Read More
View all EBSA updates

Fannie

News | Published 11/16/2018
Due to the wildfires in California, Fannie Mae is adding impacted ZIP Codes to the appraisal waiver disaster exclusion list in Desktop Underwriter®. Properties in the affected ZIP Codes are ineligible to receive appraisal waiver offers… Read More
View all Fannie updates

Freddie

News | Published 11/14/2018
November 14, 2018 – Guide Bulletin 2018-22 announces important updates for Servicers, including changes to default management requirements, limited power of authority and Concurrent Transfers of Servicing… Read More
View all Freddie updates

NYSE

Agency Update | Published 11/16/2018
Required fields are shown with yellow backgrounds and asterisks. Page 1 of * 55 SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL OMB Number: Estimated average burden hours per response… Read More
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Comment | Published 11/13/2018
The National Association of Professional Background Screeners (“NAPBS”) is an international trade association of over 900 member companies. Its members provide employment and tenant background screening and related services to virtually every industry around the globe… Read More
View all CFPB updates

TREAS

News | Published 11/16/2018
​There are no public events scheduled for this week… Read More
View all TREAS updates

EOP

Presidential Document | Published 11/19/2018
On November 22, 2015, by Executive Order 13712, the President declared a national emergency to deal with the unusual and extraordinary threat to the national security and foreign policy of the United States constituted by the situation in Burundi, wh… Read More
View all EOP updates
Final Rule | Published 11/19/2018 | Effective 01/18/2019
The Securities and Exchange Commission (“Commission” or “SEC”) is adopting amendments to Regulation National Market System (“Regulation NMS”) under the Securities Exchange Act of 1934 (“Exchange Act”) to require additional disclosures by… Read More
View all SEC updates
Enforcement | Published 11/13/2018
In the Matter of Creaxion Corporation, a corporation; Mark Pettit, individually and as an officer of Creaxion Corporation; Inside Publications, LLC of Georgia, a limited liability corporation; and Christopher Korotky, individually and as a member of… Read More
View all FTC updates