• Type: Business and industry issue, Publication series
  • Date: 1/17/2011

The Washington Report (17 Jan 2011) 

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Bank & Thrift Regulatory Update
  • Basel Committee Releases Minimum Requirements for Tier 1 and Tier 2 Capital Instruments at Point of Non-Viability
  • OCC Guidance Alerts Banks to Proposed Capital Rules Affecting Market Risk and Minimum Requirements under the Advanced Approaches
  • OCC Announces 2011 Bank Director Workshop Schedule

Enterprise & Consumer Compliance Regulatory Update
Fed Releases Consumer Guidance to Explain New Risk-Based Notices Required by the Fact Act

Securities & Investment Management Regulatory Update
  • SEC Approves Proposal for Timely Acknowledgement and Verification of Security-Based Swap Transactions
  • FINRA Proposes Expansion of Rule 5122 to All Participants in Private Placements and Announces Expansion of OATS to All NMS Stocks
  • Enforcement Actions