Weekly Regulatory Deadlines | Aug 19 to Aug 25

Time for action on America's uneven deby drought

Post-Trade Name Give-Up on Swap Execution Facilities

CFTC | Securities | Final Rule

Regulatory Notice 20-25 FINRA Amends Arbitration Codes to Apply Minimum Fees to Requests for Expungement of Customer Dispute Information Effective Date: September 14, 2020

FINRA | Securities | Notices

Regulatory Notice 20-15 FINRA Amends Rules Governing its Membership Application Program to Incentivize Payment of Arbitration Awards Effective Date: September 14, 2020

FINRA | Securities | Notices

Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors: Prohibiting Exemptions on Behalf of Persons Subject to Certain Statutory Disqualifications

CFTC | Securities | Final Rule

Margin and Capital Requirements for Covered Swap Entities

FCA OCC FHFA FDIC FRS | Securities | Final Rule

Time for action on America's uneven deby drought

Time for action on America’s uneven debt drought
Financial Times 08/24/2020
Credit crisis among small businesses risks creating an even more lopsided US economy...
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Credit Unions Aim to Resume Bank-Buying Spree

Credit unions aim to resume bank-buying spree
American Banker 08/25/2020
Whether the number of deals for 2020 can come close to last year's record-setting level will come down to one question: Can community banks generate strong enough profits in the second half to justify their independence?...
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Dow rises following changes in benchmark

Dow rises following changes in benchmark
The Hill: Finance Policy 08/25/2020
U.S. markets opened up Tuesday morning following an announcement of changes to the 30 stocks that comprise the Dow Jones Industrial Average.The Dow was up 80 points, or 0.3 percent, and the S&P 500 was up 7 points, or 0.2 percent, in the opening...
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Citigroup cites $900 million human error. Lenders are puzzled.
American Banker 08/25/2020
Citigroup is chalking up its wayward $900 million payment to lenders of the embattled cosmetics giant Revlon to one thing: human error...
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TD Bank To Pay $122M In CFPB Overdraft Settlement
Law360: Banking 08/20/2020
TD Bank must pay $122 million to settle Consumer Financial Protection Bureau allegations that it charged customers illegal fees by not obtaining appropriate consent for a debit card overdraft service it offers, and in some cases engaged in "deceptive and abusive" tactics during the enrollment process, the regulator announced Thursday...
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