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Key Regulatory Agency Pronouncements
August 2015
 

HUD - 2015-08-27 - HUD Adopts Final Rule on Payment of FHA Insurance Claims

FINCEN - 2015-08-26 - FinCEN Proposes AML Regulations for Investment Advisers

FHA - 2015-08-25 - FHA Answers Concerns about Lien Priority for Energy Efficiency Loans

FDIC - 2015-08-25 - FDIC Publishes ”Supervisory Highlights” Which Focuses on the Critical Role of Corporate Governance and Strategic Planning in Responding to Earnings Challenges

SEC - 2015-08-24 - SEC Charges BNY Mellon With FCPA Violations

SEC - 2015-08-24 - SEC Charges Citigroup Global Markets for Compliance and Surveillance Failures

OFAC - 2015-08-24 - OFAC Updates SDN List: Central African Republic Designations

NCUA - 2015-08-24 - NCUA Publishes August Issue of The NCUA Report

HUD - 2015-08-24 - HUD Releases Rule Clarifying The Requirements For Relocation of Housing Choice Voucher Participants

FINRA - 2015-08-24 - FINRA Fines Charles Schwab & Co., Inc. $2 Million for Net Capital Deficiencies

FINCEN - 2015-08-24 - FinCEN Issues 314(a) Fact Sheet

FINCEN - 2015-08-24 - Application of FinCENís MSB Regulations to Persons Issuing Physical or Digital Negotiable Certificates of Ownership of Precious Metals

FHFA - 2015-08-24 - FHFA Adopts Final Rule on 2015-2017 Housing Goals for Fannie Mae and Freddie Mac

FDIC - 2015-08-24 - FDIC Publishes Summer 2015 issue of Supervisory Insights

CFPB - 2015-08-24 - CFPB Takes Action Against Springstone Financial for Deceptive Health-Care Credit Enrollment Tactics for $700,000 in Restitution

SEC - 2015-08-24 - Citigroup Global Markets to pay $15 Million

CFPB - 2015-08-24 - Pension advance companies sued by CFPB and New York Department of Financial Services

OCC - 2015-08-24 - OCC Announces Enforcement Action Against Bank of America in the Amount of $1,104,530 for Flood Violations

OCC - 2015-08-24 - OCC Announces Enforcement Actions

OCC - 2015-08-24 - OCC Announces Enforcement Action Against Sumner National Bank of Sheldon for Flood Violations

CFPB - 2015-08-24 - CFPB Releases TILA-RESPA Guide for Realtors

CFPB - 2015-08-24 - CFPB Launches Guide for Lay Fiduciaries

SEC - 2015-08-17 - SEC Charges ITG With Operating Secret Trading Desk and Misusing Dark Pool Subscriber Trading Information

SEC - 2015-08-17 - SEC Adopts Registration Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants

SEC - 2015-08-17 - Citigroup Affiliates to Pay $180 Million to Settle Hedge Fund Fraud Charges

NCUA - 2015-08-17 - NCUA General Counsel Issues Letter on Loan Participations in Indirect Loans

FRB - 2015-08-14 - FRB publishes risk-based surcharges rule

FINRA - 2015-08-12 - FINRA Fines Aegis Capital Corp. $950,000 for Sales of Unregistered Penny Stocks and AML Violations

FEMA - 2015-08-12 - FEMA to suspend communities from NFIP

OCC - 2015-08-12 - OCC Assesses $10 Million Penalty Against Citizens Bank; Orders Reimbursement to Customers for Unfair and Deceptive Practices

FDIC - 2015-08-12 - FDIC Announces Settlement with Citizens Bank of Pennsylvania for Unfair and Deceptive Practices

CFPB - 2015-08-12 - CFPB Orders Citizens Bank to Pay $18.5 Million for Failing to Credit Full Deposit Amounts

FRB - 2015-08-12 - FRB clarifies debit interchange fees

OCC - 2015-08-12 - Greg Coleman named Debuty Comptroller for Large Bank Supervision

VA - 2015-08-12 - Department of Veterans Affairs Updates ARM Rule

CFPB - 2015-08-12 - CFPB Updates TRID Compliance Resources

HUD - 2015-08-11 - HUD Withdraws FHA Approval of Two Mortgage Lenders

FINCEN - 2015-08-11 - FinCEN Expands Geographic Targeting Orders on Border Cash Shipments in California and Texas

OFAC - 2015-08-11 - OFAC Settles Economic Sanctions Violations with Navigators Insurance Company

CFPB - 2015-08-06 - CFPB Sues Offshore Payday Lender

OCC - 2015-08-06 - OCC Issues Risk Management Guidance

OCC - 2015-08-06 - OCC Names First Chief Risk Officer

SEC - 2015-08-06 - SEC Adopts Rule for Pay Ratio Disclosure

OCC - 2015-08-06 - OCC Clarifies Guidance on Commodity Hedging

CFPB - 2015-08-06 - CFPB Provides Guidance About Private Mortgage Insurance Cancellation and Termination

SEC - 2015-08-03 - SEC Charges Houston-Area Businessman in Ponzi Scheme

OFAC - 2015-08-03 - Specially Designated Nationals List Update

OFAC - 2015-08-03 - OFAC Issues a Penalty to Blue Robin, Inc. for Violations of the Iranian Transactions and Sanctions Regulations

FRB - 2015-08-03 - Federal Reserve Announces Plans to Continue Periodic Testing of its Term Deposit Facility Operations

FINRA - 2015-08-03 - FINRA Fines Aegis Capital Corp. $950,000 for Sales of Unregistered Penny Stocks and AML Violations

USDOJ - 2015-08-03 - Justice Department Settles Disability Discrimination Lawsuit

FEMA - 2015-08-03 - FEMA to Suspend Communities From NFIP

FDIC - 2015-08-03 - FDIC Publishes Enforcement Actions

NCUA - 2015-08-03 - NCUA Issues Prohibition Orders

FTC - 2015-08-03 - FTC Seeks Comments on Verifiable Parental Consent Method Under COPPA

NCUA - 2015-08-03 - NCUA Publishes Ownership of Fixed Assets Rule