Weekly Regulatory Deadlines | Aug 26 to Sep 01

2020 election What's at stake for bank charters

Community Reinvestment Act Regulations

OCC | Lending | Final Rule

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

2020 election What's at stake for bank charters

2020 election: What’s at stake for bank charters
Bank Innovation 08/31/2020
The 2020 presidential race is in full swing, and speculation about whether President Trump will energize enough of his base to stave off former Vice President Joe Biden has dominated headlines for months. With the Nov. 3 election less than three months away, Bank Innovation spoke with lawyers, academics and think tanks to learn how...
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Fed Official Says Economy Faces High Uncertainty, Prominent Risks

Fed Official Says Economy Faces High Uncertainty, Prominent Risks
The Wall Street Journal 09/01/2020
A top Federal Reserve official said the economy faces substantial risks, including the premature withdrawal of government spending to support growth, and will require continued stimulus from the central bank...
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Student borrower protection bill on verge of passage in California

Student borrower protection bill on verge of passage in California
American Banker 08/29/2020
The California Legislature has passed a bill that would impose tough new standards on banks and certain other companies that service education loans...
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SEC Awards Over $2.5 Million to Joint Whistleblowers for Detailed Analysis That Led to Multiple Successful Actions
SEC 09/01/2020
The Securities and Exchange Commission today announced an award of over
$2.5 million to joint whistleblowers whose tip based largely on highly probative independent analysis of a public
company’s filings led to several successful enforcement actions. In addition to their tip, the whistleblowers
provided helpful assistance early in the investigation, which helped save Commission time and resources...
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How open banking will force banks to adopt the cloud
Bank Innovation 09/01/2020
Banks may need to share information with other financial institutions sooner than they thought. That will cause companies to finally embrace the cloud. At some point over the next few years, banks will be required to relinquish control of the client information they now hold. They’ll have to share financials, credit rating information, product preferences...
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