Regulatory Agency Updates | Week Of November 19 To 26

Regulatory Agency Updates | Week of November 19 to 26

Nov 19 to Nov 26, 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 11/21/2018
Required fields are shown with yellow backgrounds and asterisks. Page 1 of * 36 SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL OMB Number: Estimated average burden hours per response… Read More
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CFTC

Notice | Published 11/19/2018
The Commodity Futures Trading Commission (CFTC) announces that on December 4, 2018, from 9:30 a.m. to 4:00 p.m., the Market Risk Advisory Committee (MRAC) will hold a public meeting in the Conference Center at the CFTC’s Washington, DC, headquarters… Read More
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TREAS

Agency Update | Published 11/20/2018
Treasury Designates Illicit Russia-Iran Oil Network Supporting the Assad Regime, Hizballah, and HAMAS WASHINGTON – Today, the U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC) is designating nine targets in an international… Read More
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News | Published 11/19/2018
The holidays are a time of giving, from traveling to see family and friends shop for gifts. For many people, all of this spending can add up quickly. During the 2017 holiday season, American credit card debt rose at the second-fastest pace in 10 years according to the Federal Reserve… Read More
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Agency Update | Published 11/19/2018
FHA INFO #18-46 November 19, 2018, TO: All FHA-Approved Mortgagees and Servicers; All Other Interested Stakeholders in FHA Transactions NEWS AND UPDATES Electronic Appraisal Delivery System and Other Appraisal-Related Updates Today… Read More
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Fannie

News | Published 11/21/2018
Announcing Fannie Mae’s Disaster Response Network™: a comprehensive case-management service for disaster-affected homeowners with Fannie Mae-backed mortgage loans. Homeowners may access this program, a supplement to the post-disaster mortgage relief… Read More
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VA

Notice | Published 11/21/2018
The Department of Veterans Affairs (VA) gives notice under Federal Advisory Committee Act that the subcommittees of the Joint Biomedical Laboratory Research and Development and Clinical Science Research and Development Services Scientific Merit Revie… Read More
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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
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DOJ

Notice | Published 11/21/2018 | Comments Close 01/07/2019
This notice advises the public that the State of Arizona has provided additional information about its capital counsel mechanism, and solicits public comment on that supplemental information… Read More
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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… Read More
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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
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Enforcement | Published 11/20/2018
Federal Trade Commission, Plaintiff, v. Impetus Enterprise, Inc., a California corporation, also d/b/a Aiding Student Relief, Aiding Students & Teachers, Aidnest, Avec Staffing, and National Education Student and Teacher; Fig Tree & Co., LLC, a Calif… Read More
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Final Rule | Published 11/21/2018 | Effective 02/01/2019
The Board is adopting a new rating system for large financial institutions in order to align with the Federal Reserve’s current supervisory programs and practices for these firms. The final rating system applies to bank holding companies and non-insu… Read More
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FINCEN

Notice | Published 11/20/2018
This notice announces the appointment of the members of the Combined Performance Review Board (PRB) for the Bureau of the Fiscal Service (BFS), the Bureau of Engraving and Printing (BEP), the United States Mint, the Alcohol and Tobacco Tax and Trade… Read More
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Notice | Published 11/21/2018
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
View all OFAC updates
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News | Published 11/20/2018 
Commercial banks and savings institutions insured by the Federal Deposit Insurance Corporation (FDIC) reported aggregate net income of $62 billion in the third quarter of 2018, up $14 billion (29.3 percent) from a year ago. The improvement in earnings was attributable to higher net operating revenue and a lower effective tax rate. Financial results for the third quarter of 2018 are included in the FDIC’s latest Quarterly Banking Profile released today… Read More
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FFIEC

News | Published 11/19/2018
Press Release For Immediate Release November 19, 2018, FFIEC to Promote Awareness of Potential LIBOR Changes, December 6 Webinar Will Discuss Market Developments, Risks The Federal Financial Institutions Examination Council (FFIEC) will hold a webinar… Read More
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FINRA

Enforcement | Published 11/21/2018
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054982401 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Anthony Fusco, Respondent General Securities Principal (“GP”) CRD N… Read More
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