102 - Fed Final Rule on Definitions of
Related BHCs and Nonbank Financial Companies
[+]
July 2011 - September 2011
The Federal
Reserve will issue a final rule defining the terms "Significant Bank
Holding Company" and "Significant Nonbank Financial Company," for purposes
of the FSOC's determination of SIFIs. |
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Systemic Risk RegulationFed |
| |
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|
1101 - Fed Proposed Rule on Section
13(3) Policies and Procedures
[+]
October 2011 - December 2011
The Federal
Reserve, in consultation with the Treasury Department, will issue a
proposed rule on establishing policies and procedures for Section 13(3)
lending facilities under the Federal Reserve Act. |
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OtherFed |
| |
1502 - SEC Final Rule on Conflict
Minerals
August 2011 - December 2011 |
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OtherSEC |
| |
1503 - SEC Final Rule on Mine Safety
Disclosure
August 2011 - December 2011 |
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OtherSEC |
| |
1504 - SEC Final Rule on Resource
Extraction Disclosure
August 2011 - December 2011 |
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OtherSEC |
| |
|
|
163(a) - Fed Proposed Rule on
Applications by Nonbank Financial Companies to Acquire Bank Shares
[+]
October 2011 - December 2011
The Federal
Reserve will issue a proposed rule pn requiring a nonbank financial
company to seek approval before acquiring more than 5 percent of the
voting shares of any bank or bank holding company. |
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Systemic Risk RegulationFed |
| |
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|
163(b) - Fed Proposed Rule on Prior
Notification for Large Nonbank Acquisitions
[+]
October 2011 - December 2011
The Federal
Reserve will issue a proposed rule on requiring SIFIs to provide prior
written notice to acquire a nonbanking company with $10 billion or more in
assets under the BHC Act Section 4(k). |
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Systemic Risk RegulationFed |
| |
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164 - Fed Proposed Rule on Application
of Depository Institution Management Interlocks Act
October 2011 - December 2011 |
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Systemic Risk RegulationFed |
165 - Fed Proposed Rule on Enhanced
Prudential Standards for Large BHCs and Systemically Important Nonbank
Financial Companies
[+]
July 2011 - September 2011
The Federal
Reserve will issue a proposed rule incorporating stricter prudential
standards for Large BHCs and SIFIs, including heightened risk-based
capital, leverage and liquidity requirements, stress-test requirements,
credit exposure limits, risk committee requirements and the adoption of an
early remediation regime. |
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Systemic Risk RegulationFed |
| |
165(d) - FDIC Joint Final Rule on
Resolution Plans (with Fed)
[+]
August 2011 - December 2011
The FDIC, along
with the Federal Reserve, will issue a final rule on living wills. The
FDIC indicates on its timetable that this will occur before July 21, 2011
but former Chairman Bair acknowledged they hope to finish the rule by the
end of August. |
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Orderly Liquidation Authority / Living WillsFDIC
|
| |
165(i) - FDIC Joint Proposed Rule on
Stress Tests (with Fed/FIO)
[+]
August 2011 - December 2011
The FDIC, along
with the Federal Reserve and the Federal Insurance Office, will issue a
proposed rule requiring self-administered stress tests for FDIC-regulated
depository institutions with more than $10 billion in assets. |
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Systemic Risk RegulationFDIC |
| |
165(i) - FDIC Joint Final Rule on Stress
Tests (with Fed/FIO)
[+]
August 2011 - December 2011
The FDIC, along
with the Federal Reserve and the Federal Insurance Office, will issue a
final rule requiring self-administered stress tests for FDIC-regulated
depository institutions with more than $10 billion in assets. |
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Systemic Risk RegulationFDIC |
| |
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171 - Fed Proposed Rule on Minimum
Leverage and Risk-Based Capital Requirements
October 2011 - December 2011 |
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Systemic Risk RegulationFed |
| |
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173 - Fed Proposed Rule on Financial
Stability Factor for FBO Applications
October 2011 - December 2011 |
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Systemic Risk RegulationFed |
| |
205 - FDIC Joint Final Rule on Orderly
Liquidation Procedures for Broker-Dealers (with SEC)
[+]
August 2011 - December 2011
The FDIC, along
with the SEC and in consultation with the SIPC, will issue a final rule
establishing procedures for the FDIC to appoint SIPC as trustee of covered
broker-dealers in receivership, and providing for satisfaction of customer
claims against the covered broker-dealer. |
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Orderly Liquidation Authority / Living WillsFDIC
|
| |
205 - FDIC Joint Proposed Rule on
Orderly Liquidation Procedures for Broker-Dealers (with SEC)
[+]
August 2011 - December 2011
The FDIC, along
with the SEC and in consultation with the SIPC, will issue a proposed rule
establishing procedures for the FDIC to appoint SIPC as trustee of covered
broker-dealers in receivership, and providing for satisfaction of customer
claims against the covered broker-dealer. |
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Orderly Liquidation Authority / Living WillsFDIC
|
| |
210 - FDIC Joint Final Rule on QFC
Recordkeeping
August 2011 - December 2011 |
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Orderly Liquidation Authority / Living WillsFDIC
|
| |
210 - FDIC Joint Proposed Rule on QFC
Recordkeeping
August 2011 - December 2011 |
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|
Orderly Liquidation Authority / Living WillsFDIC
|
| |
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|
|
210 - SEC Joint Final Rule on QFC
Recordkeeping
July 2012 - December 2012 |
Orderly Liquidation Authority / Living WillsSEC
|
318 - Fed Comment Request on Supervisory
Assessment Fees
July 2011 - September 2011 |
|
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|
Systemic Risk RegulationFed |
342 - SEC Report on Office of Minority
& Women Inclusion
July 2011 - July 2011 |
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OtherSEC |
| |
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|
|
404 - SEC Report on Collected
Information on IAs/BDs
July 2012 - December 2012 |
Oversight of Investment Advisers &
Broker-DealersSEC |
| |
404 and 406 - SEC Joint Final Rule on
Reporting Obligations on Investment Advisers for the Assessment of
Systemic Risk (with CFTC)
[+]
August 2011 - December 2011
The SEC, along
with the CFTC where applicable, will issue a final rule on reporting
obligations for investment advisers related to the assessment of systemic
risk. |
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|
Oversight of Investment Advisers &
Broker-DealersSEC |
413 - SEC Final Rule on Accredited
Investor Standard
July 2011 - July 2011 |
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OtherSEC |
417 - SEC Report on Real Time Reporting
of Short Sales
July 2011 - July 2011 |
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OtherSEC |
| |
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|
|
417 - SEC Report on Short-Selling
July 2012 - December 2012 |
OtherSEC |
| |
418 - SEC Final Rule on Qualified Client
Threshold
August 2011 - December 2011 |
|
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|
|
Oversight of Investment Advisers &
Broker-DealersSEC |
| |
|
|
604 - Fed Proposed Rule on Financial
Stability Considerations in BHC Transactions
October 2011 - December 2011 |
|
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|
Systemic Risk RegulationFed |
| |
|
|
604, 606 and 628 - Fed Proposed Rule on
BHC Act Amendments for BHCs of Credit Card Banks
[+]
October 2011 - December 2011
The Federal
Reserve will issue a proposed rule on requiring a BHC to be well
capitalized and well managed to qualify as an FHC and for FHCs to receive
prior approval before acquiring a nonbank company with more than $10
billion in assets and permitting a credit card bank to make corporate
credit card loans to small businesses. |
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|
Systemic Risk RegulationFed |
606, 624 and 625 - Fed Implementation of
Supervisory Standards for Savings & Loan Holding Companies
[+]
July 2011 - September 2011
The Federal
Reserve will implement certain parts of its current consolidated
supervisory program for bank holding companies to savings & loan
holding companies. |
|
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|
Systemic Risk RegulationFed |
| |
616 - FDIC Joint Proposed Rule on Source
of Strength (with Fed/OCC)
[+]
August 2011 - December 2011
The FDIC, along
with the Federal Reserve and OCC, will issue a proposed rule requiring
companies that control insured depository institutions to serve as sources
of financial strength for their subsidiary depository
institutions. |
|
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|
|
Systemic Risk RegulationFDIC |
| |
619 - FDIC Joint Final Rule on Volcker
Rule (with CFTC/Fed/OCC/SEC)
[+]
August 2011 - December 2011
The FDIC, along
with the CFTC, Federal Reserve, OCC and SEC, will issue a final rule on
implementation of the Volcker Rule. |
|
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|
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|
|
Volcker RuleFDIC |
| |
619 - SEC Joint Final Rule on Volcker
Rule (with CFTC/FDIC/Fed/OCC)
[+]
August 2011 - August 2011
The SEC, along
with the CFTC, FDIC, Federal Reserve and OCC will issue a final rule on
implementation of the Volcker Rule. |
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|
|
Volcker RuleSEC |
| |
619 - FDIC Joint Proposed Rule on
Volcker Rule (with CFTC/Fed/OCC/SEC)
[+]
August 2011 - December 2011
The FDIC, along
with the CFTC, Federal Reserve, OCC, and SEC, with the FSOC coordinating,
will issue a proposed rule on implementation of the Volcker Rule. |
|
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|
|
Volcker RuleFDIC |
619 - Fed Joint Proposed Rule on Volcker
Rule (with CFTC/FDIC/OCC/SEC)
[+]
July 2011 - September 2011
The Federal
Reserve, along with the CFTC, FDIC, OCC and SEC, will issue a proposed
rule on implementation of the Volcker Rule. |
|
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|
|
Volcker RuleFed |
619 - SEC Joint Proposed Rule on Volcker
Rule (with CFTC/FDIC/Fed/OCC)
[+]
July 2011 - July 2011
The SEC, along
with the CFTC, FDIC, Federal Reserve and OCC, will issue a proposed rule
on implementation of the Volcker Rule. |
|
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|
|
Volcker RuleSEC |
| |
|
|
619 - Fed Joint Final Rule on Volcker
Rule (with CFTC/FDIC/OCC/SEC)
[+]
October 2011 - December 2011
The Federal
Reserve, along with the CFTC, FDIC, OCC and SEC, will issue a final rule
on implementation of the Volcker Rule. |
|
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|
|
Volcker RuleFed |
621 - SEC Proposed Rule on ABS Conflicts
of Interest
July 2011 - July 2011 |
|
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|
|
Asset-Backed Securities OfferingsSEC |
| |
621 - SEC Final Rule on ABS Conflicts of
Interest
August 2011 - December 2011 |
|
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|
|
Asset-Backed Securities OfferingsSEC |
622 - Fed Proposed Rule on Volcker Rule
Financial Sector Concentration Limit
[+]
July 2011 - September 2011
The Federal
Reserve will issue a proposed rule on implementing the Volcker Rule|s
concentration limit, which prohibits a financial company from making an
acquisition if the liabilities of the combined company would exceed 10
percent of the liabilities of all financial companies. |
|
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|
|
Volcker RuleFed |
| |
|
|
622 - Fed Final Rule on Volcker Rule
Financial Sector Concentration Limit
[+]
October 2011 - December 2011
The Federal
Reserve will issue a final rule to implement the Volcker Rule’s
concentration limit, which prohibits a financial company from making an
acquisition if the liabilities of the combined company would exceed 10
percent of the liabilities of all financial companies. |
|
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|
|
Volcker RuleFed |
| |
|
|
623 - Fed Proposed Rule on Thrift
Acquisition National 10 Percent Deposit Cap
October 2011 - December 2011 |
|
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|
|
OtherFed |
| |
712 - SEC Joint Final Rule on Title VII
Intermediaries Definitions (with CFTC)
August 2011 - December 2011 |
|
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|
|
DerivativesSEC |
| |
712 - SEC Joint Final Rule on Title VII
Product Definitions (with CFTC)
[+]
August 2011 - December 2011
The SEC, along
with the CFTC, will issue a final rule on Title VII product definitions,
including the definitions of "swap," and "security-based swap." |
|
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|
|
DerivativesSEC |
| |
719 - SEC Joint Report on International
Regulation of Swaps (with CFTC)
August 2011 - December 2011 |
|
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|
|
DerivativesSEC |
| |
719 - SEC Joint Report on Stable Value
Contracts
August 2011 - December 2011 |
|
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|
|
DerivativesSEC |
| |
731 - FDIC Joint Final Rule on Capital
and Margin Requirements for Swaps
August 2011 - December 2011 |
|
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|
|
DerivativesFDIC |
742 - Fed Final Rule on Retail Foreign
Exchange Transactions
July 2011 - September 2011 |
|
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|
|
DerivativesFed |
742 - Fed Proposed Rule on Retail
Foreign Exchange Transactions
July 2011 - September 2011 |
|
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|
|
DerivativesFed |
| |
763 - SEC Final Rule on
Anti-Manipulation for SBS
August 2011 - December 2011 |
|
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|
|
DerivativesSEC |
| |
763 - SEC Final Rule on Clearing
Agencies for SBS
August 2011 - December 2011 |
|
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|
|
DerivativesSEC |
| |
763 - SEC Final Rule on End-User
Exception to Mandatory Clearing
August 2011 - December 2011 |
|
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|
|
DerivativesSEC |
| |
763 - SEC Final Rule on Mandatory
Clearing of SBS
August 2011 - December 2011 |
|
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|
|
DerivativesSEC |
| |
763 - SEC Final Rule on Registration of
SBSEFs
August 2011 - December 2011 |
|
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|
|
DerivativesSEC |
| |
763 - SEC Final Rule on Registration of
SBSDRs
August 2011 - December 2011 |
|
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|
|
DerivativesSEC |
| |
763 and 766 - SEC Final Rule on Trade
Reporting, Data Elements and Real-Time Public Reporting of SBS
August 2011 - December 2011 |
|
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|
|
DerivativesSEC |
| |
764 - SEC Final Rule on Registration of
SBSDs and MSBSPs
August 2011 - December 2011 |
|
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|
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|
|
|
DerivativesSEC |
764 - SEC Proposed Rule on Registration
of SBSDs and MSBSPs
July 2011 - July 2011 |
|
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|
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|
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|
|
DerivativesSEC |
| |
765 - SEC Final Rule on Conflicts of
Interest for Clearing Agencies, Execution Facilities and Exchanges
involved in SBS
August 2011 - December 2011 |
|
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|
|
DerivativesSEC |
766 - SEC Final Rule on Beneficial
Ownership Determinations
July 2011 - July 2011 |
|
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|
|
DerivativesSEC |
| |
805 - SEC Final Rule on Standards for
Systemically Important Clearing Agencies
August 2011 - December 2011 |
|
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|
|
|
|
|
|
Systemic Risk RegulationSEC |
| |
806 - SEC Final Rule on Advance Notice
of Changes by Designated Clearing Agencies
August 2011 - December 2011 |
|
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|
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|
|
|
|
Systemic Risk RegulationSEC |
806 - Fed Final Rule on Risk Management
and Advanced Notice of Rule Changes for Systemically Important FMUs
[+]
July 2011 - September 2011
The Federal
Reserve will issue a final rule establishing risk-based management
standards for systemically-important FMUs and requiring prior notice of
procedural changes. |
|
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|
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|
|
|
Systemic Risk RegulationFed |
| |
913 - SEC Proposed Rule on Obligations
of Brokers, Dealers and Investment Advisers Based on Study
August 2011 - December 2011 |
|
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|
|
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|
|
|
|
|
|
Oversight of Investment Advisers &
Broker-DealersSEC |
915 and 919D - SEC Report on Office of
Investor Advocate Objectives
July 2011 - July 2011 |
|
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|
|
OtherSEC |
| |
|
|
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|
|
|
|
917 - SEC Report on Retail Investor
Financial Literacy
July 2012 - December 2012 |
Oversight of Investment Advisers &
Broker-DealersSEC |
| |
|
|
|
|
|
|
|
|
|
|
|
919B - SEC Final Rule on Improving
Access to Regiatration Information on Broker-Dealers and Investment
Advisers
July 2012 - December 2012 |
Oversight of Investment Advisers &
Broker-DealersSEC |
| |
926 - SEC Final Rule on Disqualification
of Bad Actors
August 2011 - December 2011 |
|
|
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|
|
|
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|
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|
|
|
OtherSEC |
| |
929W - SEC Final Rule on Due Diligence
for Missing Securities Holders
August 2011 - December 2011 |
|
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|
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|
|
|
|
|
|
OtherSEC |
| |
|
|
|
|
|
929Y - SEC Report on Extraterritorial
Private Rights of Action
January 2012 - June 2012 |
|
|
|
|
|
|
OtherSEC |
932 - SEC Report on NRSRO Inspections
and Findings
July 2011 - July 2011 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Credit Rating AgenciesSEC |
| |
932 - SEC Final Rule on Credit Rating
Procedures and Methodology
August 2011 - December 2011 |
|
|
|
|
|
|
|
|
|
|
|
|
Credit Rating AgenciesSEC |
| |
932 - SEC Final Rule on Fines and
Penalties for NRSROs
August 2011 - December 2011 |
|
|
|
|
|
|
|
|
|
|
|
|
Credit Rating AgenciesSEC |
| |
932 - SEC Final Rule on NRSRO Internal
Controls Reports
August 2011 - December 2011 |
|
|
|
|
|
|
|
|
|
|
|
|
Credit Rating AgenciesSEC |
| |
932 - SEC Final Rule on Technical
Amendments to NRSRO Rules
August 2011 - December 2011 |
|
|
|
|
|
|
|
|
|
|
|
|
Credit Rating AgenciesSEC |
| |
932 - SEC Final Rule on Third-Party
Certification of ABS Ratings
[+]
August 2011 - December 2011
The SEC will
issue a final rule requiring third parties retained for the purpose of
conducting due diligence related to ABS to provide a certification
containing specified information to the NRSRO that is producing a rating
for the ABS. |
|
|
|
|
|
|
|
|
|
|
|
|
Credit Rating AgenciesSEC |
| |
932 - SEC Final Rule on Transparency of
NRSRO Ratings Performance
August 2011 - December 2011 |
|
|
|
|
|
|
|
|
|
|
|
|
Credit Rating AgenciesSEC |
| |
936 - SEC Final Rule on Standards for
NRSRO Analysts
August 2011 - December 2011 |
|
|
|
|
|
|
|
|
|
|
|
|
Credit Rating AgenciesSEC |
| |
938 - SEC Final Rule on Ratings Symbols
August 2011 - December 2011 |
|
|
|
|
|
|
|
|
|
|
|
|
Credit Rating AgenciesSEC |
939(h) - SEC Report on Standardization
of the Credit Rating Process
July 2011 - July 2011 |
|
|
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|
|
|
|
|
|
|
|
|
|
|
|
|
|
Credit Rating AgenciesSEC |
939A - FDIC Report on Use of Credit
Ratings
July 2011 - July 2011 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Credit Rating AgenciesFDIC |
939A - Fed Report on Use of Credit
Ratings
July 2011 - September 2011 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Credit Rating AgenciesFed |
| |
|
|
939A - Fed Proposed Rule on the Use of
Credit Ratings
October 2011 - December 2011 |
|
|
|
|
|
|
|
|
|
|
|
|
Credit Rating AgenciesFed |
| |
|
|
|
|
|
|
|
|
|
|
|
939F - SEC Report on Ratings Process for
Structured Products
July 2012 - December 2012 |
Credit Rating AgenciesSEC |
| |
941 - FDIC Joint Final Rule on Credit
Risk Retention (with Fed/FHFA/HUD/OCC/SEC)
[+]
August 2011 - December 2011
The FDIC, along
with the Federal Reserve, FHFA, HUD, OCC and SEC, will issue a final rule
on credit risk retention. |
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Asset-Backed Securities OfferingsFDIC |
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941 - SEC Joint Final Rule on Credit
Risk Retention (with FDIC/Fed/FHFA/HUD/OCC)
[+]
August 2011 - December 2011
The SEC, along
with the FDIC, Federal Reserve, FHFA, HUD and OCC, will issue a final rule
on credit risk retention. |
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Asset-Backed Securities OfferingsSEC |
951 - SEC Final Rule on Executive
Compensation Voting Disclosure by Institutional Investment Managers
July 2011 - July 2011 |
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Executive Compensation / Corporate GovernanceSEC
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952 - SEC Report on Use of Compensation
Consultants
July 2012 - December 2012 |
Executive Compensation / Corporate GovernanceSEC
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952 - SEC Final Rule on Exchange Listing
Standards Regarding Compensation Committee Independence
August 2011 - December 2011 |
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Executive Compensation / Corporate GovernanceSEC
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953 and 955 - SEC Final Rule on
Pay-for-Performance Disclosure, Pay Ratios and Hedging
August 2011 - December 2011 |
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Executive Compensation / Corporate GovernanceSEC
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953 and 955 - SEC Proposed Rule on
Pay-for-Performance Disclosure, Pay Ratios and Hedging
August 2011 - December 2011 |
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Executive Compensation / Corporate GovernanceSEC
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954 - SEC Final Rule on Clawbacks
August 2011 - December 2011 |
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Executive Compensation / Corporate GovernanceSEC
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954 - SEC Proposed Rule on Clawbacks
August 2011 - December 2011 |
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Executive Compensation / Corporate GovernanceSEC
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956 - FDIC Joint Final Rule on
Incentive-Based Compensation (with Fed/FHFA/NCUA/OCC/SEC)
[+]
August 2011 - December 2011
The FDIC, along
with the Federal Reserve, FHFA, NCUA, OCC and SEC, will issue a final rule
on incentive-based compensation arrangements. |
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Executive Compensation / Corporate GovernanceFDIC
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956 - SEC Joint Final Rule on Enhanced
Compensation Structure
August 2011 - December 2011 |
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Executive Compensation / Corporate GovernanceSEC
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956 - Fed Joint Final Rule on
Incentive-Based Compensation (with FDIC/FHFA/NCUA/OCC/SEC)
[+]
July 2011 - September 2011
The Federal
Reserve, along with the FDIC, FHFA, NCUA, OCC and SEC, will issue a final
rule on incentive-based compensation arrangements. |
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Executive Compensation / Corporate GovernanceFed
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967 - SEC Report on Response to
Independent Consultant Recommendations
August 2011 - December 2011 |
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Executive Compensation / Corporate GovernanceSEC
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975 - SEC Final Rule on Registration of
Municipal Advisers
August 2011 - December 2011 |
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OtherSEC |
989H - SEC Report on Actions Taken in
Response to Deficiencies Identified by the SEC's Inspector General
July 2011 - July 2011 |
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OtherSEC |
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991 - SEC Final Order on Annual
Adjustment to Registration Fees
August 2011 - December 2011 |
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OtherSEC |