Weekly Regulatory Deadlines | July 15 to July 21

US regulator fines Citadel Securities

US regulator fines Citadel Securities over trading breach

US regulator fines Citadel Securities

Source: Financial Times

Employment Contracts, Mutual to Stock Conversions

FEMA | Mortgage Lending, Insurance | Notice

Securities Offering Reform for Closed-End Investment Companies

OCC | Debt Collection | Final Rule

Remittance Transfers Under the Electronic Fund Transfer Act (Regulation E)

CFPB | Deposits, Payments | Final Rule

Proposed Flood Hazard Determinations

FEMA | Mortgage Lending | Notice

60-Day Notice of Proposed Information Collection: Mortgage Record Change; OMB Control No.: 2502-0422

HUD | Mortgage Lending | Notice

US regulator fines Citadel Securities

US regulator fines Citadel Securities over trading breach
Financial Times 07/20/2020
Market-maker traded ahead of customer over-the-counter orders over 2-year period...
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Court Dismisses All Charges Against Ali Sadr

Court Dismisses All Charges Against Ali Sadr Hasheminejad
Kenneth Rijock's Financial Crime Blog 07/21/2020
With the curious acquiescence of the US Attorney's Office, the trial judge in the Ali Sadr case has granted the defendant's Motion for a New Trial, and thereafter dismissed the case with prejudice...
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UBS To Pay SEC $10M Over Muni Bond Flipping Scheme

UBS To Pay SEC $10M Over Muni Bond 'Flipping' Scheme
Law360: Securities 07/20/2020
Broker-dealer UBS Financial Services Inc. has agreed to pay the top securities regulator more than $10 million to resolve claims that it allocated minicipal bonds intended for retail customers to ineligible "flippers" who resold the bonds at a profit...
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SEC Urged to Help Diversify Asset-Management Industry

SEC Urged to Help Diversify Asset-Management Industry
The Wall Street Journal 07/16/2020
Regulators should find ways to make the asset-management industry more inclusive of minority- and women-owned firms, a diverse group of investors told the Securities and Exchange Commission on Thursday...
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Shocked at Expensive Stocks? Bonds Might Be Worth a Look
The Wall Street Journal 07/21/2020
Shares in American companies are the most expensive they have been in almost 20 years. Bonds from American companies aren’t even as expensive as they were this February. Are corporate bonds offering a bargain that the stock market isn’t?...
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