Events listed in United States
OCC Hosts Workshop for Bank Directors and Senior Management in Sioux Falls
ID 25076
The Office of the Comptroller of the Currency (OCC) has published a press statement to announce that it will be hosting a workshop on November 7 and November 8, 2023 in Sioux Falls, South Dakota, primarily addressed at directors, senior management, and key executives of national community banks and federal savings associations. **The workshop entitled „Building Blocks: Developing Strong Management“ takes place on November ...
Russia-related Designations Updates and Designation Removal; Burma-related ...
ID 25063
The Office of Foreign Assets Control (OFAC) has published a new press statement to inform about new sanction measures. Specifically, the Office updated the records of various individuals and entities on its Specially Designated Nationals and Blocked Persons List (SDN List) and removed several others from the list. The affected parties were previously sanctioned pursuant to Executive Order 14024, Executive Order 14014, [31 CFR ...
CFTC Announces Technology and Fraud Virtual Event to Explore Social Media ...
ID 25059
The U.S. Commodity Futures Trading Commission has published a press statement to inform that its Office of Customer Education and Outreach (OCEO) and Office of Technology Innovation (OTI) will be hosting a virtual event called „Technology and Fraud: Stopping Scams in a Digital World“ on October 4, 2023 as part of the upcoming World Investor Week. The event is now open for registration via ...
SR-FINRA-2023-012
ID 25052
The Financial Industry Regulatory Authority, FINRA, has published on its website a proposed rule amendment (SR-FINRA-2023-012) to FINRA Rule 3110 as regards broker-dealers‘ 2024 inspection requirements that was recently filed with the U.S. Securities and Exchange Commission (SEC). Specifically, FINRA seeks (sought) to modify „Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Years 2020, 2021, 2022, and 2023)“ under FINRA R ...
EDGAR Filer Access and Account Management
ID 25051
As previously announced by the U.S. Securities and Exchange Commission (SEC) (EventID 23010), the Commission has now published in the Federal Register (FR) its consultation on proposed changes to the Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system, which is used by individuals and entities to electronically submit filings required by various federal securities laws, including the Securities Act of 1933, the Securities Exchange ...
CFTC Staff Extends No-Action Position for Certain Reporting Obligations Under the ...
ID 25046
On September 22, 2023, the U.S. Commodity Futures Trading Commission (CFTC) announced the extension of previously granted relief regarding the mandatory Ownership & Control Reporting (OCR) whose primary purpose it is to collect information about the ownership and control of positions in futures and options contracts as well as swaps in order to monitor market participants and identify potential market manipulation. Specifically, the Commission’s ...
Reminder to file the 2023 Annual Report of Blocked Property
ID 25044
Following its notice published early July 2023, the Office of Foreign Assets Control (OFAC) has again issued a press release to remind individuals, firms (including financial institutions), and entities to file the „Annual Report of Blocked Property (ARBP)“. This report includes a list of all blocked property holdings as of June 30, 2023. The list must be submitted to OFAC by September 30, 2023. ...
CA 23-6
ID 25033
The Board of Governors of the Federal Reserve System (FED), the Federal Deposit Insurance Corporation (FDIC), and the Office of the Comptroller of the Currency (OCC) have announced an extension of the Community Reinvestment Act (CRA) consideration period for bank activities aimed at revitalizing or stabilizing Puerto Rico and the U.S. Virgin Islands following Hurricane Maria in 2017. Under the CRA, such activities may ...
Truth in Lending (Regulation Z) Annual Threshold Adjustments (Credit Cards, HOEPA, ...
ID 25028
On September 21, 2023, the Bureau of Consumer Financial Protection announced in the Federal Register upcoming changes of certain thresholds under Regulation Z (12 CFR Part 1026) which implements the Truth in Lending Act, to adjust these thresholds according to changes in the Consumer Price Index (CPI). Specifically, the Bureau announced the following: (1) For 2024, there will be no adjustment of the threshold ...
SEC Adopts Rule Enhancements to Prevent Misleading or Deceptive Investment Fund ...
ID 25016
Following a corresponding consultation in May 2022 (EventID 15777), the U.S. Securities and Exchange Commission (SEC) has now announced its final rule relating to the naming of investment funds. In this rule, the SEC describes the feedback it has received to its consultation and stipulates the final provisions as they will come into force two months following the rule’s publication in the Federal Register ...