Regulatory Actions This page provides links to releases concerning SEC rulemaking activity, including concept releases, proposed rules, final rules, interpretive releases, and policy statements. It also links to announcements concerning SRO rulemaking, PCAOB rulemaking, instructions for Exchange Act Exemptive Applications, other Commission
To find enforcement actions against an entity supervised by the Federal Reserve, enter the NAME of the party subject to action in the search form below. The search form can be used with or without the NAME of the party by selecting A TYPE of action, a year of action or termination, or all three. Last Update January 17, 2020.
Securities Enforcement Actions SEB Banking organizations that are engaged in securities activities, such as municipal securities dealers, government securities dealers, or transfer agents, can be subject to various OCC sanctions, including censures, suspensions, bars andor restitution, pursuant to the federal securities laws.
Note Enforcement actions taken against federally chartered savings associations prior to July 21, 2011, are only available in the OTS Enforcement Order Archive XLS. For information about the data fields used in this spreadsheet, refer to the OTS Enforcement Order Listing Definitions PDF.
Note Enforcement actions taken against federally chartered savings associations thrifts prior to July 21, 2011, are only available in the OTS Enforcement Order Archive XLS. For information about the data fields used in this spreadsheet, refer to the Enforcement Order Listing Definitions PDF.. To obtain a paper copy of an order, agreement, or directive, you may submit a request
In working to protect the credit union system and the Share Insurance Fund from losses, NCUA employs several supervisory tools and enforcement actions depending on the severity of the situation. Some of these tools include letters of understanding and agreement, administrative orders and consent orders.
Date Issued. Action. April 13, 2020. Department of Financial Services Issues Consent Order to Athene Annuity and Life Company, Athene Holding Ltd. April 9, 2020 Department of Financial Services Issues Consent Orders to Lincoln Life amp Annuity Company of New York, Massachusetts Mutual Life Insurance Company, and Pacific Life amp Annuity Company September 17, 2019
Enforcement Actions View the list of formal regulatory and enforcement actions taken by MAS for breaches of laws and regulations administered by MAS and related matters. The information will remain on this page for five years from the date of publication, except for prohibition orders which are still in force after five years.
Enforcement Actions. As the primary federal regulator for state member banks, bank holding companies, savings and loan holding companies, and other banking entities, the Federal Reserve will take formal enforcement actions against these institutions for violations of laws, rules, or regulations, unsafe or unsound practices, breaches of fiduciary duty, and violations of final orders.
Generally, the FDIC pursues enforcement actions against the above entities for violations of laws, rules, or regulations, unsafe or unsound banking practices, breaches of fiduciary duty, and violations of final orders, conditions imposed in writing or written agreements. In addition, the FDIC has the statutory authority to terminate the deposit
Regulatory Enforcement and Sanctions Act 2008 is up to date with all changes known to be in force on or before 19 February 2020. There are changes that may be brought into force at a future date. Changes to Legislation. Revised legislation carried on this site may not be fully up to date. Changes and effects are recorded by our editorial team
The objective of FDA regulatory programs is to assure compliance with the Federal Food, Drug, and Cosmetic Act the Act. Specific enforcement activities include actions to correct and prevent
Enforcement actions in the banking industry Trends and lessons learned The new realities Tough, clear, and directsuch was Comptroller Currys tone on the day he announced the issuance of enforcement actions EAs levying nearly a billion dollars in fines against banks for manipulating the foreign exchange market between 2008 and 2013.
Enforcement Actions FSIS information on the regulatory enforcement of food safety inspection regulations in domestic meat, poultry, and egg product processing establishments. Eligible Countries, Products and Certified Establishments
Regulatory Actions. Singlecounterparty Credit Limit HMDA Reporting The Federal Reserve announced that it does not intend to cite in an examination or initiate an enforcement action for failure to report the quarterly Home Mortgage Disclosure Act HMDA data to provide its supervised financial institutions with flexibility, reduce
The U.S. Nuclear Regulatory Commission NRC issues significant escalated enforcement actions to licensees, individuals, and nonlicensees for failure to comply with agency regulations. For details regarding escalated enforcement actions issued by the NRC, see the following categories Reactor Licensees. Materials Licensees.
Enforcement actions initiated by federal bank regulatory agencies have dropped since the new Administration took office. June 2015 to Inauguration on January 20, 2017 605 enforcement actions initiated January 20, 2017 to Present 492 enforcement actions initiated Enforcement Actions Initiated under new Administration
Generally, the Federal Reserve takes formal enforcement actions against the above entities and individuals for violations of laws, rules, or regulations, unsafe or unsound practices, breaches of fiduciary duty, and violations of final orders. Formal enforcement actions include cease and desist orders, written agreements, prompt corrective
Enforcement Actions Under the Bank Secrecy Act BSA, 31 U.S.C. 5311 et seq., and its implementing regulations at 31 C.F.R. Chapter X formerly 31 C.F.R. Part 103, FinCEN may bring an enforcement action for violations of the reporting, recordkeeping, or other requirements of the BSA.
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