Safety & Soundness

• Basel Committee Issues Proposal to Revise Standardized
  Approach for Measuring Operational Risk Capital
• FSOC Discusses the Asset Management Industry and Proposed
  Changes to the Designation Processes
• Basel Committee Publishes Frequently Asked Questions
  Regarding Basel III Leverage Ratio
• Federal Reserve Publishes Frequently Asked Questions
  Regarding Competitive Review for Bank Application Processes
• OCC Reports Loan Growth Accelerates Among Southern District
  Community Banks and Thrifts

Enterprise & Consumer Compliance

• CFPB Forum Focuses on Checking Account Screening Reports
• CFPB Takes Enforcement Action against a State Bank for
  Deceptive Practices Related to Checking Accounts
• FDIC Event to Focus on Implementation of Qualified Mortgage
  and Loan Originator Compensation Rules

Capital Markets & Investment Management

• SEC Risk Alert and FAQs Address Broker-Dealer Obligations
  When Engaging in Unregistered Transactions on Behalf of Customers
• FINRA Announces Updates of the Interpretations of Financial
  and Operational Rules
• FINRA Study Highlights Vulnerability of Renters
• OCC Releases Quarterly Report on Bank Trading and
  Derivatives Activity
• SEC, FINRA, and MSRB to Hold Compliance Outreach Program for
  Municipal Advisors
• Enforcement Actions

Recent Supervisory Actions