Financial Institution Letter
Final Regulation R-Exceptions and Exemptions for Banks from the Definition of "Broker"
FIL-92-2007,
October 25, 2007
Summary:
On October 3, 2007, the Board of Governors of the Federal Reserve System (Board) and the U.S. Securities and Exchange Commission (SEC) published the...
DRAFT SP 800-39, Managing Risk from Information Systems: An Organizational Perspective
NIST announces the release of the initial public draft of Special Publication 800-39, Managing Risk from Information Systems: An Organizational Perspective.
The federal financial regulatory agencies issued final rules today that provide consumers with an opportunity to "opt out" before a financial institution uses information provided by an affiliated company to market its products and services to the consumer. The final rules on affiliate marketing implement section 214...
The National Credit Union Administration (NCUA) has activated its disaster relief policy to assist credit unions and their members affected by the wildfires in California.
President George W. Bush has declared an emergency exists in the state of California and ordered federal aid to supplement state and local...
Nearly All Participants Find Critical Gaps in Plans
The Treasury Department, the Financial Services Sector Coordinating Council for Critical Infrastructure Protection and Homeland Security, and the Securities Industry and Financial Management Association today released the preliminary results of the industry-wide...
Consumers need to keep five tips in mind for managing their checking accounts and safeguarding their funds from unauthorized transfers by criminals, according to a new Federal Reserve Board publication.
NEW ORLEANS, La. – Comptroller of the Currency John C. Dugan said today Federal bank regulators are nearing completion of the supervisory and regulatory framework for Basel II in the United States, with tangible progress to report as it relates to both rulemaking efforts regarding Pillar 1 – minimum...
The Office of the Comptroller of the Currency today issued a proclamation allowing national bank offices affected by the wildfires in southern California to close at their discretion.
Interfaces for Personal Identity Verification (4 parts): 1- Card Application Namespace, Data Model & Representation 2- Card Appl. Card Command Interface 3- Client Appl. Programming Interface 4- Transitional Interfaces & Data Model
NIST Special Publication 800-73-2, Interfaces for Personal Identity Verification , is...
DRAFT NIST IR 7328: Security Assessment Provider Requirements and Customer Responsibilities: Building a Security Assessment Credentialing Program for Federal Information Systems
NIST announces the release of draft NIST Interagency Report 7328, Security Assessment Provider Requirements and Customer Responsibilities:...
The FDIC Advisory Committee on Economic Inclusion (ComE-IN) will convene on October 24 to examine money services businesses (MSBs) and their access to banking services. The committee will hear from experts on the challenges facing the MSB industry as well as from bankers who have successful relationships with MSBs.
The Financial Crimes Enforcement Network is issuing this advisory to U.S. financial institutions so that they may guard against threats of illicit Iranian activity related to money laundering, terrorist financing and weapons of mass destruction proliferation financing. The Financial Action Task Force (FATF) has...
What GAO Found
The inherent problems of measuring the costs and benefits of regulation make it difficult to assess the extent to which regulations may be unduly burdensome to U.S. financial services firms, particularly in comparison to firms in other countries.
The Financial Crimes Enforcement Network ("FinCEN") has noticed common errors in the filing of Suspicious Activity Reports ("SARs"). Although these errors were noted primarily through studying Suspicious Activity Reports by Money Services Business (Form 109) filings, we believe that publishing an explanation of ten of...
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