In this issue:
- NYSE’s Modified Listing Standards For EGCs; Advisory Committee Proposes Change to NYSE Proxy Distribution Fees
- FINRA Proposes Rule Change Regarding Front Running of Block Transactions
- SEC Approves Amendment to TRACE Reporting Requirements
- CFTC Proposes Revised Aggregation Rules for Futures and Swaps Position Limits
- CFTC Approves Final Rule on Swap Data Recordkeeping and Reporting Requirements for Pre-Dodd-Frank Swaps
- Ninth Circuit Affirms Jury Verdict in Options Backdating Enforcement Action
- Court Considers Adequacy of Pleading Tortious Interference Counter-Claims
- Federal Reserve Tells Borrowers How to Apply for Foreclosure Review
- OCC Rescinds Former OTS Guidance
- FFIEC Implements New InfoBase Technology for The Information Technology Examination Handbook
- CFPB Issues Proposal to Regulate Prepaid Cards Under the Electronic Fund Transfer Act and Regulation E
- Bank of England Announces Reviews of its Performance
- Appeal Tribunal Upholds FSA Ban and Fine on Former Investment Bank Advisers
An excerpt from "FFIEC Implements New InfoBase Technology for The Information Technology Examination Handbook"
The Federal Financial Institutions Examination Council (FFIEC) recently upgraded the functions and features of the InfoBase for the FFIEC Information Technology Examination Handbook (IT Handbook). The FFIEC is a formal interagency body empowered to prescribe uniform principles, standards, and report forms for the federal examination of financial institutions by the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, the National Credit Union Administration, the Office of the Comptroller of the Currency, and the Consumer Financial Protection Bureau, and to make recommendations to promote uniformity in the supervision of financial institutions. In 2006, the State Liaison Committee (SLC) was added to the FFIEC as a voting member. The SLC includes representatives from the Conference of State Bank Supervisors, the American Council of State Savings Supervisors, and the National Association of State Credit Union Supervisors.
Please see full newsletter below for more information.