Bank & Thrift Regulatory Update

• OCC Proposed Increase in Assessments for National Banks and Federal Savings Association with Total Assets of More Than $40 Billion
• Federal Reserve Requires Banking Organization to Resubmit Its Capital Plan Under CCAR Following Data Error Disclosures
• OCC Schedules Workshop for Community Bank Directors
• Senate Banking Committee Confirms Key Nominees

Enterprise & Consumer Compliance

• CFPB Proposes Modifications to Certain Qualified Mortgage and Mortgage Servicing Rules
• OCC Report Highlights Status of Independent Foreclosure Review Payment Agreement; GAO Issues Report on Foreclosure Review
• CFPB Issues Fair Lending Report to Congress; Director Cordray Announces Support for Bank’s Auto Dealer Policy
• Joint Forum Releases Final Report on Point of Sale Disclosure for Investment and Savings Products

Capital Markets & Investment Management

• SEC Approves FINRA Rule Change to Limit Self-Trading
• CFTC Furthers Implementation of Trade Execution Mandate
• FINRA Issues Revised Proposal to Hyperlink to BrokerCheck in Firms’ Online Retail Web Sites and Communications
• Enforcement Actions

Recent Supervisory Actions