Regulatory Agency Updates | Week Of October 29 To November 05

Regulatory Agency Updates | Week of October 29 to November 05

Oct 29 to Nov 05, 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. 

DOJ

Notice | Published 11/01/2018
On October 29, 2018, the Department of Justice lodged a proposed Consent Decree with the United States District Court for the Northern District of Illinois in the lawsuit entitled United States v. Aux Sable Liquid Products L.P., Civil Action No. 1:18… Read More
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EOP

Presidential Document | Published 11/01/2018
By the authority vested in me as President by the Constitution and the laws of the United States, in accordance with section 207 of the Immigration and Nationality Act (the “Act”) (8 U.S.C. 1157), after appropriate consultations with the Congress… Read More
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DOL

Notice | Published 11/01/2018 | Comments Close 12/03/2018
The Department of Labor (DOL or Department) is submitting the Employment and Training Administration (ETA) sponsored information collection request (ICR) revision titled, “Foreign Labor Certification Quarterly Activity Report,” to the Office of Man… Read More
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News | Published 10/29/2018
Saving money is not always easy, but having some savings provides people with the security needed to withstand economic shocks and plan for their future. Many people save automatically through a workplace retirement plan or by directly depositing mon… Read More
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News | Published 10/31/2018
Opening Statement on Proposals to Modify Enhanced Prudential Standards Standards for Large Banking Organizations by Chairman Jerome H. Powel… Read More
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FINRA

Enforcement | Published 11/02/2018
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054093801 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Terrance S. Hood, Respondent CRD No. 4900966 Pursuant to FINRA Rule… Read More
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Enforcement | Published 10/23/2018
UNITED STATES OF AMERICA DEPARTMENT OF THE TREASURY OFFICE OF THE COMPTROLLER OF THE CURRENCY #2018-080 In the Matter of: Capital One, N.A. McLean, Virginia Capital One Bank (U.S.A.), N.A. Glen Allen, Virginia… Read More
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VA

Final Rule | Published 11/01/2018
A 100 percent evaluation shall continue beyond the cessation of any surgical therapy, radiation therapy, antineoplastic chemotherapy, or other therapeutic procedures. Six months after discontinuance of such treatment, the appropriate disability rating shall be determined by mandatory VA examination. Any change in evaluation based upon that or any subsequent examination shall be subject to the provisions of § 3.105(e) of this chapter. If there has been no recurrence, rate on residuals… Read More
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Enforcement | Published 11/02/2018
Federal Trade Commission, Plaintiff, v. Simple Health Plans LLC, a Florida limited liability company; Health Benefits One LLC, a Florida limited liability company, also doing business as Health Benefits Center, Simple Health, Simple Health Plans, Sim… Read More
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News | Published 10/30/2018
The Securities and Exchange Commission today announced that it has voted to propose rule changes designed to improve disclosure for investors about variable annuities and variable life insurance contracts… Read More
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Freddie

News | Published 10/31/2018
October 31, 2018 – Guide Bulletin 2018-19 announces changes to rental income requirements, documentation for social security retirement and disability benefits and settlement/closing disclosure statements. Read the Bulletin for details on these… Read More
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CFTC

Notice | Published 10/29/2018 | Comments Close 11/28/2018
In compliance with the Paperwork Reduction Act of 1995 (PRA), this notice announces that the Information Collection Request (ICR) abstracted below has been forwarded to the Office of Management and Budget (OMB) for review and comment. The ICR… Read More
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EBSA

Proposed Rule | Published 10/29/2018 | Comments Close 12/28/2018
This document sets forth proposed rules to expand opportunities for working men and women and their families to access affordable, quality healthcare through proposed changes to regulations under various provisions of the Public Health Service Act (P… Read More
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Fannie

News | Published 10/30/2018
On November 17, we will implement Release 24.3, which includes the changes and enhancements described in the Release Notes for Asset Management Network (AMN)/HomeSaver Solutions Network (HSSN)… Read More
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News | Published 11/01/2018
When: November 14, 2018, Time 1:00 p.m. to 4:00 p.m. ET Location Online Webinar Join the FDIC at 1:00 p.m. ET on Wednesday, November 14, 2018, to learn more about the 2018 Version Money Smart for Adults curriculum. Hear about the new design, expanded… Read More
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TREAS

News | Published 11/02/2018
Monday, November 5 3:45 PM ET Counselor to Secretary Craig Phillips Moderated discussion IMF-Georgetown University Institute of International Economic Law’s “Fintech Week” Georgetown Law 600 New Jersey Avenue, NW Washington, D.C… Read More
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Notice | Published 10/30/2018
The Department of the Treasury’s Office of Foreign Assets Control (OFAC) is publishing the names of one or more persons and vessels that have been placed on OFAC’s Specially Designated Nationals and Blocked Persons List based on OFAC’s determination… Read More
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