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FTC Adopts Rules Implementing Free Credit Monitoring For Active-Duty Military Consumers
The FTC adopted several rules that will require nationwide consumer reporting agencies ("CRAs")
United States
8 Jul 2019
Federal Register: SEC Amends Regulation NMS To Require Additional Order-Handling Disclosures
The SEC final rule amending Regulation NMS Rules 600(b) and 606 to increase the transparency of broker-dealers' "handling and routing of orders in NMS stock" was published in the Federal Register (see previous coverage).
United States
22 Nov 2018
Federal Register: Bank Regulators Propose "Streamlined" Call Reports For Qualifying Small Institutions
The proposal by the FRB, the FDIC and the Office of the Comptroller of the Currency to reduce regulatory reporting requirements for eligible small depository institutions was published in the Federal Register.
United States
22 Nov 2018
FINRA Proposes Rule Change Regarding Qualification Exams
FINRA proposed a rule amendment to restrict access to representative- and principal-level qualification scores.
United States
4 Oct 2018
FINRA Urges Firms To Review Contracts With Recordkeeping Service Providers
FINRA advised firms using third-party recordkeeping service providers ("providers") to ensure that contracts comply with recent guidance issued by the SEC Division of Trading and Markets staff.
United States
23 Sep 2018
Federal Register: CFTC Amends Rules Governing CCO Duties And Annual Report Requirements
CFTC amendments to rules concerning chief compliance officer ("CCO") duties and certain annual report requirements were published in the Federal Register.
United States
9 Sep 2018
SEC Extends Compliance Deadline For Open-End Fund Liquidity Risk Management Requirements
The SEC granted open-end funds additional time to comply with the liquidity risk management program's classification requirements under Investment Company Act Rule 22e-4.
United States
28 Feb 2018
CFTC Extends No-Action Relief To Certain DCOs From Reporting Obligations
The CFTC Division of Market Oversight granted a request from ISDA to extend time-limited no-action relief to certain entities from the requirement to report continuation ...
United States
23 Feb 2018
NASAA Survey Finds Millenials Most Vulnerable To FinTech Fraud
Millennials are most vulnerable to FinTech fraud, according to a new North American Securities Administrators Association Pulse Survey of securities regulators.
United States
20 Feb 2018
Bank To Pay Over $600 Million For BSA/AML Violations
U.S. Bancorp and its operating subsidiary, U.S. Bank, entered into agreements to pay $613 million to resolve allegations that U.S. Bank broke Bank Secrecy Act/Anti-Money Laundering ("BSA/AML") rules.
United States
20 Feb 2018
CFTC Chair Reaffirms Support For Cross-Border Deference On Clearinghouse Regulation
CFTC Chair J. Christopher Giancarlo reaffirmed his commitment to a cross-border deference-based approach to clearinghouse regulation, encouraged expanded Congressional oversight over virtual currencies, and provided updates on several rulemaking initiatives.
United States
20 Feb 2018
FinCEN Updates List Of Jurisdictions With AML/CFT Regime Deficiencies - Feb 2018
The "FATF Public Statement," which was published on November 3, 2017, identifies jurisdictions that are subject to its call for countermeasures or are subject to enhanced due diligence due to their strategic AML/CFT deficiencies.
United States
15 Feb 2018
Reg. Tracker: December 16 To December 31
The Cabinet Regulatory Tracker provides a list of upcoming comment deadlines, compliance dates, effective dates, reporting deadlines, and expiration dates.
United States
3 Jan 2018
CFPB Proposes Amendments To "Prepaid Card Accounts" Rule
The Consumer Financial Protection Bureau ("CFPB") is seeking public comment on proposed changes to the "prepaid card accounts" rule ("prepaid rule") under Regulation E and Regulation Z.
United States
26 Jun 2017
FinCEN Updates List Of Jurisdictions With AML/CFT Regime Deficiencies
FinCEN notified U.S. financial institutions that the Financial Action Task Force ("FATF") updated the list of jurisdictions with strategic deficiencies in combating anti-money laundering and countering the financing of terrorism ("AML/CFT").
United States
19 Apr 2017
NFA Updates Self-Examination Questionnaire
The updates incorporate certain amendments to NFA Compliance Rule 2-36 regarding the disclosure of transaction data to customers of forex transactions.
United States
10 Apr 2017
Federal Register: SEC Approves FINRA CAT Plan Compliance Proposal
The SEC approved a proposal by FINRA to adopt the FINRA Rule 6800 Series.
United States
31 Mar 2017
Comptroller Of The Currency Discusses Regulation Of FinTech
In a speech at the LendIt USA 2017 conference, Comptroller of the Currency Thomas J. Curry outlined the function of the Office of the Comptroller of the Currency ("OCC")...
United States
21 Mar 2017
SEC Updates Guidance On "Robo-Advisors"
The SEC Division of Investment Management (the "Division") updated guidance on automated advisers (or "robo-advisors") that provide services directly to clients over the internet.
United States
7 Mar 2017
U.S. And European Authorities Address Industry Concerns About Upcoming Variation Margin Deadline
The Board of Governors of the Federal Reserve System ("FRB"), the Office of the Comptroller of the Currency ("OCC"), European Supervisory Authorities ("ESAs") and the IOSCO Board...
7 Mar 2017
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