The OCC released a LIBOR Self-Assessment Tool for community banks to use to gauge the appropriateness, execution, and oversight and reporting of the banks' LIBOR transition plan.
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SEC Acting Chair Allison Herren Lee reinstated the sub-delegation of the authority to issue Formal Orders of Investigation to senior Division staff.
A broker-dealer settled FINRA charges for incomplete and inaccurate Regulation NMS and Order Audit Trail System reporting.
The Federal Reserve Board adopted an interim final rule to further extend an exception for bank executive officers, directors and principal shareholders to apply for Paycheck Protection Program loans from related bank affiliates on behalf of small businesses they own.
In an industry letter, the New York State Department of Financial Services stated that banking institutions that are subject to the New York Community Reinvestment Act may receive credit for financing climate resiliency projects in low- and moderate-income communities.