Purpose This report summarizes the Federal Reserve Board's framework for assessing the resilience of the U.S. financial system and presents the Board's current assessment. By publishing this report, the Board intends to promote public understanding and increase transparency and ...
SECURITIES ACT INDUSTRY GUIDES Guide 1. [Removed and Reserved] Guide 2. [Removed and Reserved] Statistical Disclosure by Bank Holding Companies General Instructions Guide 3. 1. This Guide applies to the description of business portions of those bank holding company registration statements for which ...
Consolidated Audit Trail FINRA Reminds Firms to Register for CAT Reporting by June 27, 2019 Summary FINRA is issuing this Notice to remind firms they must register with FINRA CAT, LLC (FINRA CAT) for reporting to the Consolidated Audit Trail (CAT). CAT registration commenced on March 18, 2019, and ...
See original Federal Register PDF above for full text. A brief extract is below. FEDERAL RESERVE SYSTEM Change in Bank Control Notices; Acquisitions of Shares of a Bank or Bank Holding Company The notificants listed below have applied under the Change in Bank Control Act (“Act”) (12 U.S.C. 1817(j)) ...
See original Federal Register PDF above for full text. A brief extract is below. FEDERAL TRADE COMMISSION [File No. 181 0057] UnitedHealth Group and DaVita; Analysis of Agreement Containing Consent Orders To Aid Public Comment AGENCY: Federal Trade Commission. ACTION: Proposed consent agreement; ...
See original Federal Register PDF above for full text. A brief extract is below. SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 33516; File No. 812-14991] Guinness Atkinson Asset Management, Inc. and Guinness Atkinson Funds June 20, 2019. AGENCY: Securities and Exchange ...
See original Federal Register PDF above for full text. A brief extract is below. SECURITIES AND EXCHANGE COMMISSION [Release No. 34-86167; File No. SR-NYSE-2019-22] Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated ...
See original Federal Register PDF above for full text. A brief extract is below. SECURITIES AND EXCHANGE COMMISSION [Release No. 34-86163; File No. SR-NYSE-2019-09] Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated ...
See original Federal Register PDF above for full text. A brief extract is below. SECURITIES AND EXCHANGE COMMISSION [Release No 34-86173; File No. SR-CBOE-2019-027] Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend ...
See original Federal Register PDF above for full text. A brief extract is below. SECURITIES AND EXCHANGE COMMISSION [Release No 34-86168; File No. SR-CboeEDGA-2019-012] Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Introduce a Liquidity ...
The FDIC is co-hosting a webinar with the Consumer Financial Protection Bureau (CFPB) on July 25, 2019 from 2:00 p.m. to 3:00 p.m. ET to promote appropriate ways in which financial institutions and law enforcement can collaborate to prevent and address elder financial abuse. In particular, the ...
The U.S. Senate Committee on Banking, Housing and Urban Affairs considered testimony on whether Fannie Mae and Freddie Mac should be designated as systemically important financial institutions. US Congress Systemic Risk ...
The FTC and partner agencies federal, state and local law enforcement (the "agencies") commenced a joint action targeting illegal prerecorded telemarketing calls (a/k/a "robocalls"). As part of their "Operation Call It Quits," the agencies have opened 94 actions ...
The CFTC proposed amendments to CFTC Rule 30.10 to codify the agency's process for terminating exemptive relief granted to non-U.S. firms to offer non-U.S. futures and options directly to U.S. customers. The proposed amendments would codify the grounds on which the CFTC may terminate such ...
A Japanese bank agreed to pay the New York State Department of Financial Services ("NYDFS ") $33 million to settle claims relating to the conduct occurring prior to the bank's conversion of its state-licensed branches to federally licensed branches in November 2017. For its part, the ...
See original Federal Register PDF above for full text. A brief extract is below. SECURITIES AND EXCHANGE COMMISSION [Release No. 34-86145; File No. SR-BOX-2019-21] Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules ...
See original Federal Register PDF above for full text. A brief extract is below. SECURITIES AND EXCHANGE COMMISSION [Release No. 34-86157; File No. SR-CboeBZX-2019-047] Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt BZX Rule 14.11(k) To ...
See original Federal Register PDF above for full text. A brief extract is below. SECURITIES AND EXCHANGE COMMISSION [Release No. 34-86153; File No. SR-NASDAQ-2019-051] Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To ...
See original Federal Register PDF above for full text. A brief extract is below. SECURITIES AND EXCHANGE COMMISSION [Release No. 34-86149; File No. SR-GEMX-2019-07] Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its ...
See original Federal Register PDF above for full text. A brief extract is below. SECURITIES AND EXCHANGE COMMISSION [Release No. 34-86151; File No. SR-NYSE-2019-34] Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amend Exchange Rule 104 To ...
See original Federal Register PDF above for full text. A brief extract is below. SECURITIES AND EXCHANGE COMMISSION [Release No. 34-86155; File No. SR-CboeBZX-2019-057] Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the ...
See original Federal Register PDF above for full text. A brief extract is below. SECURITIES AND EXCHANGE COMMISSION [Release No. 34-86147; File No. SR-MRX-2019-13] Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot ...
See original Federal Register PDF above for full text. A brief extract is below. SECURITIES AND EXCHANGE COMMISSION [Release No. 34-86161; File No. 4-274] Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving Proposed Amended Plan for the Allocation of ...
See original Federal Register PDF above for full text. A brief extract is below. SECURITIES AND EXCHANGE COMMISSION [Release No. 34-86148; File No. SR-CBOE-2019-028] Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend ...