Events listed in United States
Agencies request comment on proposed rules to strengthen capital requirements for ...
ID 24425
The key U.S. banking regulators, the Office of the Comptroller of the Currency (OCC), the Federal Deposit Insurance Corporation (FDIC), and the Board of Governors of the Federal Reserve System (FED) have published a joint press statement to announce the launch of a consultation on a new rule to modify the capital requirements of large financial institutions in the U.S. This move follows the ...
Counter Terrorism Designation
ID 24423
The Office of Foreign Assets Control (OFAC) has published a press release to inform about new sanction measures. Specifically, the Office added one individual to its Specially Designated Nationals and Blocked Persons List (SDN List) pursuant to existing sanction regulations (31 CFR Part 594 and Executive Order 13224) for his engagement in the financing of ISIS in Somalia. The following person is affected and ...
Information Notice 7/26/23
ID 24411
The Financial Industry Regulatory Authority (FINRA) has issued an information notice to remind registered individuals and firms about the new Continuing Education (CE) regulatory element requirements. which have been in place since January 1, 2023. Pursuant to modified FINRA Rule 1240, all registered individuals must complete the regulatory element annually by December 31. The element consists of online courses that cover rule changes and ...
SEC Proposes New Requirements to Address Risks to Investors From Conflicts of ...
ID 24409
In view of rapid technology advancements and the deployment of such by financial market participants, the U.S. Securities and Exchange Commission (SEC) has published a press statement to announce an upcoming consultation in connection with the use of Predictive Data Analytics (PDA) by broker-dealers and investment advisers. Specifically, the **SEC seeks to establish separate rules concerning the monitoring, mitigation, and prevention of conflicts of ...
Publication of Tri-Seal Compliance Note: Voluntary Self-Disclosure of Potential ...
ID 24400
The Office of Foreign Assets Control (OFAC) has published a press statement to inform that *the Department of Commerce, Department of the Treasury, and the Department of Justice have issued a so-called [Tri-Seal Compliance Note: Voluntary Self-Disclosure of Potential Violations*](https://ofac.treasury.gov/media/932036/download?inline) in which they inform of their policies of voluntary self-disclosure (VSD) that pertain to U.S. sanctions, export controls, and other regulation ...
CFTC Approves Final DCO Reporting and Information Requirement and Three Proposals ...
ID 24396
The US Commodity Futures Trading Commission (CFTC) has published the outcome of its most recent open meeting on July 26, 2023. Specifically, the Commission approved one final rule and three proposed rules as briefly described below: #### Final rule as regards reporting and information requirements for derivatives clearing organizations (DCOs) Following a corresponding consultation in November 2022, the CFTC has now published the final ...
SEC Proposes Reforms Relating to Investment Advisers Operating Exclusively Through ...
ID 24394
On July 26, 2023, the U.S. Securities and Exchange Commission (SEC) has published a press statement to announce an upcoming consultation in connection with the registration eligibility of investment advisers operating exclusively via the internet. Specifically, the SEC seeks to modernize Rule § 275.203A-2 – Exemptions from prohibition on Commission registration to enhance certain protective measures and to remove an exception that is currently ...
SEC Adopts Rules on Cybersecurity Risk Management, Strategy, Governance, and ...
ID 24392
The U.S. Securities and Exchange Commission has published a press statement to announce the finalization of new regulation as regards the publication of information on cybersecurity incidents and on policies and procedures that firms have in place to manage risks in this context. The final rule thereby applies to registration filings, periodic publications of public companies, and shareholder notifications under Regulation S-K and *Regulation ...
FORM N-CSR (pdf)
ID 24366
The U.S. Securities and Exchange Commission (SEC) has published Form N-CSR – Certified Shareholder Report of Registered Management Investment Companies which will be valid through September 30, 2025 unless otherwise modified before, following the approval of the Office of Management and Budget (OMB). Form N-CSR is a regulatory filing required of the SEC on a semi-annual and annual basis for registered management investment companies ...
Proposed Collection; Comment Request: Rule 15c6-2 (SEC seeks comments on ...
ID 24363
In relation to its new rule to shorten the settlement cycle for securities transactions from two business days to one from May 28, 2024 (please see Event ID19797 for more information) , the SEC has now published in the Federal Register its „consultation“ on related „collection“ requirements, including policy creation, maintenance, or (other) recordkeeping obligations of covered firms as briefly discussed below. To recall, ...