Jeffrey Werthan

Jeffrey Werthan

Katten Muchin Rosenman LLP

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Comptroller Revises Credit Card Lending; Announces Rescissions

The Office of the Comptroller of the Currency (OCC) issued the “Credit Card Lending” booklet of the Comptroller’s Handbook on November 4. The revised booklet “replaces the ‘Credit Card Lending’ booklet issued in October 1996....more

11/19/2015 - CARD Act Credit Cards Financial Services Industry OCC Rescission

OCC Rescinds Capital Guidance

On October 14, the Office of the Comptroller of Currency (OCC) formally rescinded capital guidance that it had previously issued. The guidance became outdated or superseded, according to the OCC, due to the issuance of the...more

10/21/2015 - Capital Rules Guidance Update OCC

Corporate and Financial Weekly Digest - Volume X, Issue 40

BROKER-DEALER - FINRA Requests Comment on Revised Price Disclosure Information Standards for Corporate and Agency Debt Securities - The Financial Industry Regulatory Authority issued a regulatory notice...more

10/19/2015 - AIFM AIFMD Broker-Dealer CFTC Commodities Exchange Act Debt Securities Disclosure Requirements Dividends EU European Commission Financial Regulatory Reform FINRA Investment Funds NFA No-Action Relief OCC Proposed Regulation Swaps Withholding Tax

OCC Announces Update to Accounting Interpretations On TDRs, OREO and Pushdown Accounting

On September 29, the Office of the Comptroller of the Currency (OCC) released an update to the Bank Accounting Advisory Series (BAAS). The BAAS covers a variety of topics and promotes consistent application of accounting...more

10/8/2015 - Accounting Standards Banking Sector Banks GAAP OCC

FFIEC and Member Agencies Propose Call Report Changes

On September 8, three member agencies of the Federal Financial Institutions Examination Council (FFIEC), the Board of Governors of the Federal Reserve System, the Office of the Comptroller of the Currency and the Federal...more

9/17/2015 - Banking Sector FDIC Federal Reserve FFIEC Financial Institutions OCC Proposed Regulation Reporting Requirements

OCC Revises Residential Real Estate Lending Guidance in Comptroller’s Handbook

On June 15, the Office of the Comptroller of the Currency (OCC) issued the “Residential Real Estate Lending” booklet of the Comptroller’s Handbook. This revised booklet replaces the “Real Estate Loans” booklet issued in March...more

6/25/2015 - Banking Sector Federal Savings Associations Mortgage Lenders Mortgages OCC

Corporate & Financial Weekly Digest - Volume X, Issue 24

In This Issue: - SEC Denies Motion to Stay Regulation A+ - SEC Requests Public Comment on ETPs - CFTC Further Extends Valuation Data Reporting Relief for SDs and MSPs - Eleventh Circuit Upholds...more

6/22/2015 - Alternative Investment Funds AMF Banking Sector Broker-Dealer Brokers CFTC Commodities Corporate Governance Exchange-Traded Products FDIC Food Commodities Insider Trading Mortgage Lenders Mortgages OCC Regulation A SEC Wire Fraud

Six Federal Regulators Issue Final Interagency Policy Statement on Diversity Policies and Practices of Regulated Entities

On June 9, the Federal Reserve Board, Consumer Financial Protection Bureau, Federal Deposit Insurance Corporation, National Credit Union Administration, Office of the Comptroller of the Currency and Securities and Exchange...more

6/19/2015 - Administrative Procedure Act Banking Sector Diversity Dodd-Frank EEOC Employer Mandates Employment Policies FDIC Federal Reserve Financial Institutions Hiring & Firing OCC OMWI SEC

OCC Issues Final Rule to Integrate Licensing Rules for National Banks and Federal Savings Institutions

On May 18, the Office of the Comptroller of the Currency (OCC) adopted a final rule to (1) integrate its rules relating to policies and procedures for corporate activities and transactions involving national banks and federal...more

5/29/2015 - American Bankers Association Dodd-Frank Federal Savings Associations Fiduciary Duty Financial Institutions OCC OTS Title III

Corporate & Financial Weekly Digest - Volume X, Issue 20

In this issue: - Section 16(b) Decision Provides Important Guidance - FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public - Form BE-10 Filing Deadline...more

5/26/2015 - 16(b) Attorney's Fees Banking Sector CFTC FINRA Insider Trading OCC

Revised Interagency Examination Procedures for Consumer Compliance

As of May 1, the Task Force on Consumer Compliance of the Federal Financial Institutions Examination Council developed interagency examination procedures for: - Truth in Lending Act (TILA), implemented by Regulation Z;...more

5/21/2015 - OCC Regulation X Regulation Z RESPA Task Force TILA-RESPA Integrated Disclosure Rule (TRID) Truth in Lending Act (TILA)

OCC Issues New Handbook on Deposit-Related Consumer Credit

In March, the Office of the Comptroller of the Currency (OCC) issued the “Deposit-Related Credit” booklet of the Comptroller’s Handbook. This booklet replaces and clarifies the “Deposit-Related Consumer Credit” booklet issued...more

4/23/2015 - Banking Sector Depository Institutions Handbooks OCC

OCC Revises Guidance and Forms for Subordinated Debt Issued for Tier 2 Capital and Non-Capital Purposes

The Office of the Comptroller of the Currency (OCC) is revising and reorganizing its current guidance for subordinated debt issued by national banks (at appendix A of the “Subordinated Debt” booklet of the Comptroller’s...more

4/22/2015 - Banking Sector Banks Capital Rules Guidance Update OCC Regulatory Standards Subordinated Debt

OCC Releases Bulletin Summarizing Interim Final Rule on Subordinated Debt Issued by National Banks

On February 6, the Office of the Comptroller of the Currency (OCC) issued OCC Bulletin 2015-11, which describes further clarifications to an interim final rule on subordinated debt that was issued on February 28, 2014. The...more

2/19/2015 - Banking Sector Banks OCC Subordination

OCC Issues Revised Comptroller’s Handbook Booklet on Deposit-Related Consumer Credit

On February 11, the Office of the Comptroller of the Currency (OCC) issued the “Deposit-Related Consumer Credit” booklet of the Comptroller’s Handbook. This booklet replaces the “Check Credit” booklet issued in March 1990,...more

2/19/2015 - Banking Sector Consumer Financial Products Guidance Update OCC

Corporate and Financial Weekly Digest - Volume X, Issue 6

In this issue: - SEC Publishes Rules for Reporting Security-Based Swaps - SEC Proposes Rules for Disclosure of Companies’ Hedging Policies - CFTC Extends Relief From Certain OCR Requirements - NFA...more

2/17/2015 - Arbitration Banking Sector Banks Bribery Brokered Deposits Capital Requirements CFTC Clawbacks FDIC Haiti Hedging NFA OCC SEC Security-Based Swaps Subordination

OCC Issues New Comptroller’s Handbook Sections Relating to Securities Compliance, Litigation and Conflicts of Interest

On January 22, the Office of the Comptroller of the Currency (OCC) issued the “Government Securities Act” booklet of the Comptroller’s Handbook. This new booklet, part of the Securities Compliance series, consolidates certain...more

1/28/2015 - Conflicts of Interest Handbooks OCC Regulatory Standards Securities Securities Litigation

Corporate and Financial Weekly Digest - Volume X, Issue 3

In this issue: - SEC Chair Directs Staff to Review Commission Rule Excluding Conflicting Proxy Proposals - SEC Comments on FINRA's Proposed Rule Amendment to Increase Pricing Disclosure - CFTC Grants...more

1/26/2015 - Broker-Dealer Canada CFTC Class Action Conflicts of Interest ESMA FINRA Forex Hart-Scott-Rodino Act Hong Kong Mary Jo White Mexico Mining Mortgages NFA OCC Proposed Regulation Proxy Access Rule PSLRA Scienter SEC Securities Shareholder Proposals Threshhold Requirements Whole Foods

OCC Issues Bank Accounting Advisory Series Update

On December 12, the Office of the Comptroller of the Currency issued an updated version, dated October 2004, of its Bank Accounting Advisory Series (BAAS). ...more

12/30/2014 - Accounting Banks OCC

OCC’s Curry Advocates Regulatory Reduction for Smaller Banks and Thrifts

Speaking on December 2 at an Interagency Outreach Meeting on the Economic Growth and Regulatory Reduction Act (EGRPRA), Comptroller of the Currency Thomas J. Curry indicated his desire to roll back regulatory burdens on...more

12/11/2014 - Banks OCC Regulatory Agenda

Corporate and Financial Weekly Digest - Volume IX, Issue 47

In this issue: - SEC Sets October 2015 Target Date for Certain Dodd-Frank and JOBS Act Rulemaking - FINRA Issues Notice on TRACE Trade Reporting Obligations - NFA Issues Guidance on Exempt and Excluded...more

12/8/2014 - AIFM Bank Secrecy Act Banks Bitcoin BitLicense C-Suite Executives CPOs CTA Dodd-Frank Enforcement Actions EU EU Data Protection Laws False Statements FFIEC FINRA Investment Funds JOBS Act NFA OCC Proposed Amendments Regulatory Standards Rulemaking Process SEC TRACE Whistleblower Awards

OCC Revises Process for Managing Matters Requiring Attention

The Office of the Comptroller of the Currency (OCC) on October 30 published revised policy and procedures for how it manages Matters Requiring Attention (MRAs) resulting from its examination of supervised institutions. MRAs...more

11/5/2014 - Banks Corporate Executive Boards Corporate Management OCC Policies and Procedures Supervision

Agencies Request Comment on Proposed Flood Insurance Rule

Five federal regulatory agencies on October 24 announced the approval of a joint notice of proposed rulemaking to amend regulations pertaining to loans secured by property located in special flood hazard areas. The proposed...more

11/5/2014 - Biggert-Waters Flood Insurance Reform Act Farm Credit Administration FDIC Federal Reserve Flood Insurance Flood Zones NCUA OCC Proposed Amendments Rulemaking Process

Six Federal Agencies Jointly Approve Final Risk Retention Rule

Six federal agencies approved on October 22 a final rule requiring sponsors of securitization transactions to retain risk in those transactions. The final rule implements the risk retention requirements in the Dodd-Frank Wall...more

11/5/2014 - ABS Asset-Backed Securities Dodd-Frank FDIC Federal Reserve FHFA Final Rules HUD Mortgage-Backed Securities OCC Qualified Mortgage Rule Risk Retention SEC

Corporate and Financial Weekly Digest - Volume IX, Issue 43

In this issue: - ISS Announces Launch of QuickScore 3.0 - SEC Provides Relief to GSEC From Rule 204 Close-Out Requirements - CFTC Extends Relief to FCMs from Certain Commingling Requirements -...more

11/3/2014 - Banks CCPs CFTC Class Action Commingling Commodities Compliance EMIR ESMA EU European Commission FCMs Fixed Income Investments Flood Insurance Foreign Banks Foreign Exchanges ISS OCC Risk Retention SEC Securities Litigation UK

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