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Dodd-Frank Database 7.08.11

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					                           Bill or Regulation                           Cite      Agency or Sponsor                                                                                                                                                                                                                                                                                                                                                                                                                                    Description
           Identification of Enforceable Rules and Orders           76 FR 31222         CFPB                                                                                                                                 Section 1063(i) of the Consumer Financial Protection Act of 2010 (“Act”)1 requires the Bureau of Consumer Financial Protection (“CFPB” or “Bureau”) to publish in the Federal Register a list of the rules and orders that will be enforced by the CFPB. This notice sets forth a list for public comment. A final list will be published not later than the designated transfer date, July 21, 2011.




Defining Larger Participants, Certain Consumer Financial Products   76 FR 38059         CFPB             Th e B u re au o f C o n su me r Fi n an ci al P ro te cti o n (“C FP B ”), cre ate d b y th e C o n su me r Fi n an ci al P ro te cti o n Act o f 2 0 1 0 (“Act”), i s re q u i re d to i mp l e me n t a p ro gram to su p e rvi se ce rtai n n o n d e p o si to ry co ve re d p e rso n s fo r co mp l i an ce wi th Fe d e ral co n su me r fi n an ci al l aws. Th e sco p e o f su p e rvi si o n co ve rage vari e s fo r d i ffe re n t p ro d u ct marke ts. Se cti o n 1 0 2 4 o f th e Act p ro vi d e s th at th e C FP B may su p e rvi se co ve re d p e rso n s i n th e re si d e n ti al mo rtgage , p ri vate e d u cati o n l e n d i n g, an d p ayd ay l e n d i n g marke ts. Fo r o th e r marke ts fo r co n su me r fi n an ci al p ro d u cts o r se rvi ce s, th e su p e rvi si o n p ro gram ge n e ral l y wi l l ap p l y o n l y to a “l arge r p arti ci p an t” o f th e se marke ts, as d e fi n e d b y ru l e . Th e C FP B i s re q u i re d to i ssu e an i n i ti al “l arge r p arti ci p an t” ru l e n o t l ate r th an Ju l y 2 1 , 2 0 1 2 , o n e ye ar afte r th e d e si gn ate d tran sfe r d ate .




          Definitions Contained in Title VII of Dodd-Frank          75 FR 51429         CFTC                                                                                                                                                                                                                      l
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 Regulation of Off-Exchange Retail Foreign Exchange Transactions    75 FR 55410         CFTC                                The Commodity Futures Trading Commis s ion (“Commis s ion” or “CFTC”) is adopting a comprehens ive regulatory s cheme to implement the provis ions of the Dodd-Frank W all Street Reform and Cons umer Protection Act of 2010 (“W all Street Reform Act”)1 and the CFTC Reauthoriz ation Act of 2008 (“CRA”)2 with res pect to off-exchange trans actions in foreign currency with members of the retail public (i.e.,“retail forex trans actions ”). The new regulations and amendments to exis ting regulations publis hed today es tablis h requirements for, among other things , regis tration, dis clos ure, recordkeeping, financial reporting, minimum capital, and other operational s tandards .




Performance, Registration Functions, National Futures Association   75 FR 55310         CFTC                           The Commodity Futures Trading Commis s ion (“Commis s ion” or “CFTC”) is authoriz ing the N ational Futures As s ociation (“N FA”), effective September 10, 2010, to proces s and grant applications for initial regis tration, renewed regis tration and withdrawals of retail foreign exchange dealers (“RFEDs ”) and their as s ociated pers ons (“APs ”) and to is s ue temporary licens es to eligible APs ; to conduct proceedings to deny, condition, s us pend, res trict or revoke the regis tration of any RFED or AP of an RFED, or an applicant for regis tration in either category; and to maintain records regarding RFEDs and their APs , and to s erve as the official cus todian of thos e Commis s ion records .




                         Agricultural Swaps                         75 FR 59666         CFTC                                 Th e C o mmo d i ty Fu tu re s Trad i n g C o mmi ssi o n (“C o mmi ssi o n ” o r “C FTC ”) i s ch arge d wi th p ro p o si n g ru l e s to i mp l e me n t n e w statu to ry p ro vi si o n s e n acte d b y Ti tl e VII o f th e Do d d -Fran k W al l Stre e t R e fo rm an d C o n su me r P ro te cti o n Act (“Do d d -Fran k Act”). Se cti o n 7 2 3 (c)(3 ) o f th e Do d d -Fran k Act p ro vi d e s th at swap s i n an “agri cu l tu ral co mmo d i ty” (as d e fi n e d b y th e C o mmi ssi o n ) are p ro h i b i te d u n l e ss e n te re d i n to p u rsu an t to a ru l e , re gu l ati o n o r o rd e r o f th e C o mmi ssi o n ad o p te d p u rsu an t to se cti o n 4 (c) o f th e C o mmo d i ty Exch an ge Act (“C EA” o r “Act”). Th i s ad van ce n o ti ce o f p ro p o se d ru l e maki n g (“ANP R M ”) re q u e sts co mme n t o n th e ap p ro p ri ate co n d i ti o n s, re stri cti o n s o r p ro te cti o n s to b e i n cl u d e d i n an y su ch ru l e , re gu l ati o n o r o rd e r go ve rn i n g th e trad i n g o f agri cu l tu ral swap s.




         Financial Requirements, Derivatives Clearing Orgs          75 FR 63113         CFTC                                                                                        The Commodity Futures Trading Commission (Commission or CFTC) is proposing rules to implement new statutory provisions enacted by Title VII and Title VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).




           Interim Rule for Reporting Swap Transactions             75 FR 63080         CFTC                                                                Pursuant to this mandate, the CFTC is today adopting an interim final rule requiring specified counterparties to pre-enactment unexpired swap transactions to report certain information related to such transactions to a registered swap data repository (“SDR”)1 or to the Commission by the compliance date to be established in reporting rules required under Section2(h)(5) of the CEA, or within 60 days after an SDR becomes registered under Section 21 of the CEA, whichever occurs first.




       Requirements for Derivatives Clearing Organizations          75 FR 63732         CFTC                                                                               Specifically, the proposed rules contained herein impose new requirements on derivatives clearing organizations (“DCOs”), designated contract markets (“DCMs”), and swap execution facilities (“SEFs”) with respect to mitigation of conflicts of interest.




                 Agricultural Commodity Definition                  75 FR 65586         CFTC                       Th e C o mmo d i ty Fu tu re s Trad i n g C o mmi ssi o n (“C o mmi ssi o n ” o r “C FTC ”) i s ch arge d wi th p ro p o si n g ru l e s to i mp l e me n t n e w statu to ry p ro vi si o n s e n acte d b y Ti tl e VII o f th e Do d d -Fran k W al l Stre e t R e fo rm an d C o n su me r P ro te cti o n Act (“Do d d -Fran k Act”). Th e Do d d -Fran k Act, wh i ch ame n d s th e C o mmo d i ty Exch an ge Act (“C EA” o r “Act”), i n cl u d e s p ro vi si o n s ap p l i cab l e to “a swap i n an agri cu l tu ral co mmo d i ty (as d e fi n e d b y th e *C FTC +).” Ne i th e r C o n gre ss n o r th e C FTC h as p re vi o u sl y p ro mu l gate d a d e fi n i ti o n o f th at te rm fo r p u rp o se s o f th e C EA o r C FTC re gu l ati o n s. Th i s n o ti ce re vi e ws th e statu to ry an d re gu l ato ry h i sto ry o f th e te rm “agri cu l tu ral co mmo d i ty” i n th e co n te xt o f th e C EA an d C o mmi ssi o n re gu l ati o n s an d p ro p o se s a d e fi n i ti o n o f th at te rm fo r p u rp o se s o f th e C EA an d C o mmi ssi o n re gu l ati o n s.




         Privacy of Consumer Information; Dodd-Frank Act            75 FR 66014         CFTC                     This proposal broadens the scope of Part 160 to cover two new entities created by Title VII of the Dodd-Frank Act: Swap dealers and major swap participants.




     Business Affiliate Marketing, Consumer Information Rules       75 FR 66018         CFTC                                                                                                                                                            TheCom m odi y Fut ur es Tr adi gCom m i s i n( “Com m i s i n” or “CFTC”) i pr opos i gr egul t i ns t oi pl m ent new t at ut or y pr ovi i ns enact edby Ti l Xof t he“Dodd- Fr ank W al r eet Ref or m andCons um er Pr ot ect i nAct ” ( “Dodd- Fr ank Act ”) . Thes epr opos edr egul t i ns appl t of ut ur es com m i s i nm er chant s , r et ai or ei nexchangedeal r s , com m odi y t r adi gadvi or s , com m odi y pool
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     Removing Any Reference to or Reliance on Credit Ratings        75 FR 67254         CFTC           The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing rules to implement new statutory provisions enacted by Title IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These proposed rules apply to futures commission merchants, designated clearing organizations and commodity pool operators.




          Position Reports for Physical Commodity Swaps             75 FR 67258         CFTC                                    The Commission's proposal would require position reports on economically equivalent swaps from clearing organizations, their members and swap dealers. Notably, the proposed regulations also include a sunset provision. The sunset provision would render the regulations ineffective upon the Commission's issuance of an order finding that operating swap data repositories (“SDRs”) are capable of processing positional data in a manner that would enable the Commission to set and enforce aggregate position limits.




       Process for Review of Swaps for Mandatory Clearing           75 FR 67277         CFTC           The Commodity Futures Trading Commission (Commission or CFTC) is proposing rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These proposed rules apply to the review of swaps by the Commission to determine whether the swaps are required to be cleared.




             Provisions Common to Registered Entities               75 FR 67282         CFTC            The Commodity Futures Trading Commis s ion (“Commis s ion” or “CFTC”) is propos ing rules to implement new s tatutory provis ions enacted under Title VII of the Dodd-Frank W all Street Reform and Cons umer Protection Act (“Dodd-Frank Act”) and amend exis ting rules affected by the pas s age of the Dodd-Frank Act. Thes e propos ed rules apply to des ignated contract markets (“DCMs ”), derivatives clearing organiz ations (“DCOs ”), s wap execution facilities (“SEFs ”) and s wap data repos itories (“SDRs ”). The propos ed rules implement the new s tatutory framework for certification and approval for new products , new rules and rule amendments s ubmitted to the Commis s ion by regis tered entities .




           Antidisruptive Practices Authority, Dodd-Frank           75 FR 67301         CFTC                                                            The Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) amends section 4c(a) of the Commodity Exchange Act (“CEA”) in section 747 to expressly prohibit certain trading practices deemed disruptive of fair and equitable trading.




        Investment of Customer Funds Held in an Account             75 FR 67642         CFTC                                                         The proposed rules address: Certain changes to the list of permitted investments, a clarification of the liquidity requirement, the removal of rating requirements, an expansion of concentration limits including asset-based, issuer-based, and counterparty concentration restrictions.




                Prohibition of Market Manipulation                  75 FR 67657         CFTC                                          The Commodity Futures Trading Commission is proposing rules to implement new anti-manipulation authority in section 753 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The proposed rules expand and codify the Commission's authority to prohibit manipulation.




          Implementation of Conflicts of Interest Policies          75 FR 70152         CFTC                                                                                                                            The Commodity Futures Trading Commis s ion (Commis s ion or CFTC) is propos ing rules to implement new s tatutory provis ions enacted by Title VII of the Dodd-Frank W all Street Reform and Cons umer Protection Act (Dodd-Frank Act). The propos ed regulations es tablis h conflicts of interes t requirements for futures commis s ion merchants (FCMs ) and introducing brokers (IBs ) for the purpos e of ens uring that s uch pers ons implement adequate policies and procedures in compliance with the Commodity Exchange Act (CEA), as amended by the Dodd-Frank Act.




  Designation of a Chief Compliance Officer; Compliance Policies    75 FR 70881         CFTC                                                                        Th e C o mmo d i ty Fu tu re s Trad i n g C o mmi ssi o n (C o mmi ssi o n o r C FTC ) i s p ro p o si n g ru l e s to i mp l e me n t n e w statu to ry p ro vi si o n s e n acte d b y Ti tl e VII o f th e Do d d -Fran k W al l Stre e t R e fo rm an d C o n su me r P ro te cti o n Act (Do d d -Fran k Act) re gard i n g th e co mp l i an ce acti vi ti e s o f ce rtai n re gi stran ts. Th e p ro p o se d ru l e s re q u i re e ach fu tu re s co mmi ssi o n me rch an t, swap d e al e r, an d majo r swap p arti ci p an t to d e si gn ate a ch i e f co mp l i an ce o ffi ce r. Th e p ro p o se d ru l e s al so p re scri b e q u al i fi cati o n s an d d u ti e s o f th e ch i e f co mp l i an ce o ffi ce r. Fi n al l y, th e p ro p o se d ru l e s re q u i re th at th e ch i e f co mp l i an ce o ffi ce r p re p are , ce rti fy, an d fu rn i sh to th e C o mmi ssi o n an an n u al re p o rt co n tai n i n g an asse ssme n t o f th e re gi stran t' s co mp l i an ce acti vi ti e s.




               Registration of Foreign Boards of Trade              75 FR 70974         CFTC                                                                 The Commodity Futures Trading Commission (Commission or CFTC) is proposing rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These proposed rules establish a registration requirement that applies to foreign boards of trade (FBOT) that wish to provide their identified members or other participants located in the United States with direct access to their electronic trading and order matching systems.




     Registration of Swap Dealers and Major Swap Participants       75 FR 71379         CFTC               The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing to adopt regulations that would establish the process for registering swap dealers (“SDs”) and major swap participants (“MSPs,” and collectively with SDs, “swaps entities”). The proposed regulations also would require swaps entities to become members of the National Futures Association (“NFA”) and to confirm that persons associated with them are not subject to a statutory disqualification under the Commodity Exchange Act (“CEA”) (“Proposal”).




  Implementation of Conflicts of Interest Policies and Procedures   75 FR 71391         CFTC          The Commodity Futures Trading Commission (Commission or CFTC) is proposing rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). The proposed regulations establish conflicts of interest requirements for swap dealers (SDs) and major swap participants (MSPs) for the purpose of ensuring that such persons implement adequate policies and procedures in compliance with the Commodity Exchange Act (CEA), as amended by the Dodd-Frank Act.




        Regulations Governing the Duties of Swap Dealers            75 FR 71397         CFTC                                                                         The Commodity Futures Trading Commis s ion is propos ing regulations to implement new s tatutory provis ions enacted by Title VII of the Dodd-Frank W all Street Reform and Cons umer Protection Act. The propos ed regulations s et forth certain duties impos ed upon s wap dealers and major s wap participants regis tered with the Commis s ion with regard to: Ris k management procedures ; monitoring of trading to prevent violations of applicable pos ition limits ; diligent s upervis ion; bus ines s continuity and dis as ter recovery; dis clos ure and the ability of regulators to obtain general information; and antitrus t cons iderations .




   Protection of Cleared Swaps Before/After Commodity Broker        75 FR 75162         CFTC                           The Commodity Futures Trading Commission (the “CFTC” or “Commission”) seeks comment on possible models for implementing new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) concerning the protection of collateral posted by customers clearing swaps.




   Protection of Collateral of Counterparties to Uncleared Swaps    75 FR 75432         CFTC              The Commodity Futures Trading Commission (the “Commission”) hereby proposes rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”).




          Implementing Whistleblower Provisions of § 23             75 FR 75728         CFTC                                                                  The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These proposed rules apply to the whistleblowers incentives and protection of section 748.




       Real-Time Public Reporting of Swap Transaction Data          75 FR 76140         CFTC                                 Specifically, in accordance with Section 727 of the Dodd-Frank Act, the Commission is proposing rules to implement a new framework for the real-time public reporting of swap transaction and pricing data for all swap transactions.




      Swap Data Recordkeeping and Reporting Requirements            75 FR 76574         CFTC                                                     The Commodity Futures Trading Commis s ion (“Commis s ion or CFTC”) is propos ing rules to implement new s tatutory provis ions enacted by Title VII of the Dodd-Frank W all Street Reform and Cons umer Protection Act. Thes e propos ed rules apply to s wap data recordkeeping and reporting requirements for s wap data repos itories , derivatives clearing organiz ations , des ignated contract markets , s wap execution facilities , s wap dealers , major s wap participants , and s wap counterparties who are neither s wap dealers nor major s wap participants (including counterparties who qualify for the end us er exception with res pect to particular s waps ).




    Reporting, Recordkeeping, and Daily Trading Requirements        75 FR 76666         CFTC                                                                                  The Commodity Futures Trading Commis s ion (Commis s ion or CFTC) is propos ing regulations to implement new s tatutory provis ions es tablis hed under Title VII of the Dodd-Frank W all Street Reform and Cons umer Protection Act (Dodd-Frank Act). Section 731 of the Dodd-Frank Act added new s ections 4s (f) and (g) to the Commodity Exchange Act (CEA), which s et forth reporting and recordkeeping requirements and daily trading records requirements for s wap dealers and major s wap participants . The propos ed rules would es tablis h the regulatory s tandards for compliance with thes e new s ections of the CEA.




    General Regulations and Derivatives Clearing Organizations      75 FR 77576         CFTC                                                                                                                            The Commodity Futures Trading Commis s ion (Commis s ion or CFTC) is propos ing regulations to implement Title VII of the Dodd-Frank W all Street Reform and Cons umer Protection Act (Dodd-Frank Act). Thes e propos ed amendments would es tablis h the regulatory s tandards for compliance with derivatives clearing organiz ation (DCO) Core Principles A (Compliance), H (Rule Enforcement), N (Antitrus t Cons iderations ), and R (Legal Ris k), as well as DCO chief compliance officer (CCO) requirements s et forth in Section 5b of the Commodity Exchange Act (CEA).




Management Requirements for Derivatives Clearing Organizations      75 FR 78185         CFTC                                                                                               The Commodity Futures Trading Commis s ion (Commis s ion or CFTC) is propos ing regulations to implement certain core principles for derivatives clearing organiz ations (DCOs ) as amended by Title VII of the Dodd-Frank W all Street Reform and Cons umer Protection Act (Dodd-Frank Act). The propos ed regulations would es tablis h s tandards for compliance with DCO Core Principles J (Reporting), K (Recordkeeping), L (Public Information), and M (Information Sharing). Additionally, the Commis s ion is propos ing technical amendments to parts 1 and 21 in connection with the propos ed regulations .
       Reporting Certain Post-Enactment Swap Transactions           75 FR 78892           CFTC                           Th e C o mmo d i ty Fu tu re s Trad i n g C o mmi ssi o n (“C o mmi ssi o n ” o r “C FTC ”) i s p u b l i sh i n g fo r co mme n t an i n te ri m fi n al ru l e to i mp l e me n t n e w statu to ry p ro vi si o n s i n tro d u ce d b y Ti tl e VII o f th e Do d d -Fran k W al l Stre e t R e fo rm an d C o n su me r P ro te cti o n Act (“Do d d -Fran k Act”). Se cti o n 7 2 3 o f th e Do d d -Fran k Act ame n d s Se cti o n 2 o f th e C o mmo d i ty Exch an ge Act (“C EA” o r th e “Act”) b y ad d i n g n e w Se cti o n 2 (h )(5 )(B ), wh i ch d i re cts th at ru l e s ad o p te d b y th e C o mmi ssi o n u n d e r th i s se cti o n sh al l p ro vi d e fo r th e re p o rti n g o f “tran si ti o n ” swap s—th at i s, swap s e n te re d i n to o n o r afte r th e d ate o f e n actme n t o f th e Do d d -Fran k Act an d p ri o r to th e e ffe cti ve d ate o f swap d ata re p o rti n g ru l e s to i mp l e me n t Se cti o n 2 (h )(5 )(B )—to a re gi ste re d swap d ata re p o si to ry (“SDR ”) o r to th e C o mmi ssi o n .




  Further Definition of Swap Dealer, Security-Based Swap Dealer     75 FR 80174           CFTC                                                                    In acco rd an ce wi th Se cti o n 7 1 2 (d )(1 ) o f Ti tl e VII o f th e Do d d -Fran k W al l Stre e t R e fo rm an d C o n su me r P ro te cti o n Act o f 2 0 1 0 (“Do d d -Fran k Act”), th e C o mmo d i ty Fu tu re s Trad i n g C o mmi ssi o n (“C FTC ”) an d th e Se cu ri ti e s an d Exch an ge C o mmi ssi o n (“SEC ”) (co l l e cti ve l y, th e “C o mmi ssi o n s”), i n co n su l tati o n wi th th e B o ard o f Go ve rn o rs o f th e Fe d e ral R e se rve Syste m, are p ro p o si n g ru l e s an d i n te rp re tati ve gu i d an ce u n d e r th e C o mmo d i ty Exch an ge Act (“C EA”), 7 U.S.C . 1 e t se q ., an d th e Se cu ri ti e s Exch an ge Act o f 1 9 3 4 (“Exch an ge Act”), 1 5 U.S.C . 7 8 a e t se q ., to fu rth e r d e fi n e th e te rms “swap d e al e r,” “se cu ri ty-b ase d swap d e al e r,” “majo r swap p arti ci p an t,” “majo r se cu ri ty-b ase d swap p arti ci p an t,” an d “e l i gi b l e co n tract p arti ci p an t.”




  Core Principles and Other Requirements for Contract Markets       75 FR 80572           CFTC                                                           Th e C o mmo d i ty Fu tu re s Trad i n g C o mmi ssi o n (“C o mmi ssi o n ” o r “C FTC ”) i s p ro p o si n g n e w ru l e s an d ame n d e d gu i d an ce an d acce p tab l e p racti ce s to i mp l e me n t th e n e w statu to ry p ro vi si o n s e n acte d b y Ti tl e VII o f th e Do d d -Fran k W al l Stre e t R e fo rm an d C o n su me r P ro te cti o n Act (“Do d d -Fran k Act”). Th e p ro p o se d ru l e s, gu i d an ce an d acce p tab l e p racti ce s, wh i ch ap p l y to th e d e si gn ati o n an d o p e rati o n o f co n tract marke ts, i mp l e me n t th e Do d d -Fran k Act' s n e w statu to ry frame wo rk th at, amo n g o th e r th i n gs, ame n d s Se cti o n 5 o f th e C o mmo d i ty Exch an ge Act (“C EA”) co n ce rn i n g d e si gn ati o n an d o p e rati o n o f co n tract marke ts, an d ad d s a n e w C EA Se cti o n 2 (h )(8 ) to i n cl u d e th e l i sti n g, trad i n g an d e xe cu ti o n o f swap s o n d e si gn ate d co n tract marke ts.




Business Conduct Standards, Swap Dealers and Swap Participants      75 FR 80638           CFTC                                                                                        The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing for comment new rules under Section 4s(h) of the Commodity Exchange Act (“CEA”) to implement provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”) relating generally to external business conduct standards for swap dealers and major swap participants.




       End-User Exception to Mandatory Clearing of Swaps            75 FR 80747           CFTC                                                                                                  The Commodity Futures Trading Commission (“CFTC” or “Commission”) is proposing new requirements governing the elective exception to mandatory clearing of swaps available for swap counterparties meeting certain conditions under Section 2(h)(7) of the Commodity Exchange Act, as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Commission is requesting comments on the proposed rule and related matters.




                       Swap Data Repositories                       75 FR 80898           CFTC                                                                                                          Section 728 of the Dodd-Frank Act amends the Commodity Exchange Act (“CEA” or the “Act”) by adding new Section 21, which establishes registration requirements, statutory duties, core principles and certain compliance obligations for registered swap data repositories (“SDRs”) and directs the Commission to adopt rules governing persons that are registered, as such, under this Section.




      Disclosure of Payments by Resource Extraction Issuers         75 FR 80978           CFTC                                                   W e are propos ing amendments to our rules purs uant to Section 1504 of the Dodd-Frank W all Street Reform and Cons umer Protection Act relating to dis clos ure of payments by res ource extraction is s uers . Section 1504 added Section 13(q) to the Securities Exchange Act of 1934, which requires the Commis s ion to is s ue rules requiring res ource extraction is s uers to include in an annual report information relating to any payment made by the is s uer, or by a s ubs idiary or another entity controlled by the is s uer, to a foreign government or the Federal G overnment for the purpos e of the commercial development of oil, natural gas , or minerals .




Confirmation, Portfolio Reconciliation, Swap Dealers Participants   75 FR 81519           CFTC                                           (Dodd-Frank Act). Section 731 of the Dodd-Frank Act added a new section 4s(i) to the Commodity Exchange Act (CEA), which requires the Commission to prescribe standards for swap dealers and major swap participants related to the timely and accurate confirmation, processing, netting, documentation, and valuation of swaps. The proposed rules would establish requirements for swap confirmation, portfolio reconciliation, and portfolio compression for swap dealers and major swap participants.




Governance Requirements for Derivatives Clearing Organizations       76 FR 722            CFTC              The Commodity Futures Trading Commission (the “Commission”) hereby proposes regulations to further implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). Specifically, the Commission proposes certain substantive requirements on the resolution of conflicts of interest, in order to further implement core principles applicable to derivatives clearing organizations (“DCOs”), designated contract markets (“DCMs”), and swap execution facilities (“SEFs”).




 Core Principles and Requirements for Swap Execution Facilities     76 FR 1214            CFTC                                         The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing new rules, and guidance and acceptable practices to implement the new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act.




  Risk Management Requirements for Derivatives Organizations        76 FR 3698            CFTC                                                                                                                                                                                                                                                                t                  n
                                                                                                                                                                                                                                                                                                                                                   TheCom m odi y Fut ur es Tr adi gCom m i s i n( Com m i s i n) i pr opos i gr egul t i ns t oi pl m ent Ti l VI I andTi l VI I I of t heDodd- Fr ank W al r eet Ref or m andCons um er Pr ot ect i nAct ( Dodd- Fr ank Act ) . Pr opos edr egul t i ns w des t abl ht her egul t or y s t andar ds f or com pl ncew hder i at i es cl ar i gor gani at i n( DCO) Cor ePr i ci l s C( Par t i i ant andPr oduct El i i y) , D( Ri k M anagem ent ) , E( Set t l m ent Pr ocedur es ) , F ( Tr eat m ent of Funds ) , G( Def aul Rul s andPr ocedur es ) , andI ( Sys t em Saf eguar ds ) . For DCOs t hat ar edes i nat edby t heFi anci l abi y Over s i ht Counci s ys t em i al i por t ant DCOs ( SI DCOs ) , t heCom m i s i ni pr opos i ghei ht eneds t andar ds i t hear eaof s ys t em s af eguar ds s uppor t i gbus i es s cont i ui y anddi as t er r ecover y andapr ovi i nt hat w di pl m ent t heCom m i s i n' s peci l or cem ent aut hor i y over SI DCOs .
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                    Position Limits for Derivatives                 76 FR 4752            CFTC                                                                                                         Title VII of the Dodd-Frank W all Street Reform and Cons umer Protection Act of 2010 (“Dodd-Frank Act”) requires the Commodity Futures Trading Commis s ion (“Commis s ion” or “CFTC”) to es tablis h pos ition limits for certain phys ical commodity derivatives . The Commis s ion is propos ing to s imultaneous ly es tablis h pos ition limits and limit formulas for certain phys ical commodity futures and option contracts executed purs uant to the rules of des ignated contract markets (“DCM”) and phys ical commodity s waps that are economically equivalent to s uch DCM contracts .




            Commodity Options and Agricultural Swaps                76 FR 6095            CFTC                                                                                                                                                                          t                  n        s o             s o
                                                                                                                                                                                                                                                             TheCom m odi y Fut ur es Tr adi gCom m i s i n( “Com m i s i n” or “CFTC”) i char gedw hpr opos i gr ul s t oi pl m ent new t at ut or y pr ovi i ns enact edby Ti l VI I of t heDodd- Fr ank W al r eet Ref or m andCons um er Pr ot ect i nAct ( “Dodd- Fr ank Act ”) . TheDodd- Fr ank Act pr ovi es t hat s w i anagr i ul ur al
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    Orderly Liquidation Termination Provision in Swap Trading       76 FR 6708            CFTC                                                                                                                      The Commodity Futures Trading Commis s ion (Commis s ion or CFTC) is propos ing regulations to implement new s tatutory provis ions es tablis hed under Title VII of the Dodd-Frank W all Street Reform and Cons umer Protection Act (Dodd-Frank Act). Section 731 of the Dodd-Frank Act added a new s ection 4s (i) to the Commodity Exchange Act (CEA), which requires the Commis s ion to pres cribe s tandards for s wap dealers and major s wap participants related to the timely and accurate confirmation, proces s ing, netting, documentation, and valuation of s waps .




     Swap Trading Relationship Documentation Requirements           76 FR 6715            CFTC                                                                                                                      The Commodity Futures Trading Commis s ion (Commis s ion or CFTC) is propos ing regulations to implement new s tatutory provis ions es tablis hed under Title VII of the Dodd-Frank W all Street Reform and Cons umer Protection Act (Dodd-Frank Act). Section 731 of the Dodd-Frank Act added a new s ection 4s (i) to the Commodity Exchange Act (CEA), which requires the Commis s ion to pres cribe s tandards for s wap dealers and major s wap participants related to the timely and accurate confirmation, proces s ing, netting, documentation, and valuation of s waps .




        Reporting by Investment Advisers to Private Funds           76 FR 8068            CFTC                                            The Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”) (collectively, “we” or the “Commissions”) are proposing new rules under the Commodity Exchange Act and the Investment Advisers Act of 1940 to implement provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The proposed SEC rule would require investment advisers registered with the SEC that advise one or more private funds to file Form PF with the SEC.




   Commodity Pool Operators and Commodity Trading Advisors          76 FR 7976            CFTC                                                                                                                                                                                                                                                               TheCom m odi y Fut ur es Tr adi gCom m i s i ni pr opos i gt oam endi s exi t i gr egul t i ns andpr opos i gonenew egul t i nr egar di gCom m odi y Pool
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                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                     Oper at or s andCom m odi y Tr adi gAdvi or s . TheCom m i s i ni pr opos i ganew acol ct i nf or CPOs andCTAs t hat i cons i t ent w ht hedat acol ct i nr equi edunder t heDodd- Fr ank Act . Thepr opos edam endm ent s w d: Res ci dt heexem pt i ns f r om r egi t r at i npr ovi edi t heCom m i s i n' r egul t i ns ; r es ci dt her el f f r om t hecer t i i at i nr equi em ent f or annual epor t s pr ovi edt ooper at or s of cer t ai pool onl of f er edt oqual i del i l per s ons ( “QEPs ”) ; m odi y t hecr i er i f or cl i i gr el f under t heCom m i s i n' r egul t i ns ; andr equi et heannual i gof not i es cl i i gexem pt i er el f . Fi al , t hepr opos al cl des new i k di cl s ur er equi em ent s f or CPOs andCTAs r egar di gs w t r ans act i ns .
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 Amendments to Commodity Pool Operator, Commodity Trading           76 FR 11701           CFTC                                                                               The Commodity Futures Trading Commission (Commission or CFTC) is proposing to amend its regulations affecting the operations and activities of commodity pool operators (CPOs) and commodity trading advisors (CTAs) (Proposal) in order to have those regulations reflect changes made to the Commodity Exchange Act (CEA) by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).




                    Registration of Intermediaries                  76 FR 12888           CFTC                                                                                             The Commodity Futures Trading Commis s ion (Commis s ion) hereby propos es regulations to further implement new s tatutory provis ions enacted by Title VII of the Dodd-Frank W all Street Reform and Cons umer Protection Act (Dodd-Frank Act) regarding regis tration of intermediaries . Specifically, the Commis s ion propos es certain conforming amendments to the Commis s ion's regulations regarding the regis tration of intermediaries , cons is tent with other Commis s ion rulemakings is s ued purs uant to the Dodd-Frank Act; and other moderniz ing and technical amendments to the regulations .




 Requirements for Processing, Clearing, and Transfer of Positions   76 FR 13101           CFTC                                   The Commodity Futures Trading Commission (Commission) is proposing regulations to implement Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). Proposed regulations would establish the time frame for a swap dealer (SD), major swap participant (MSP), futures commission merchant (FCM), swap execution facility (SEF), and designated contract market (DCM) to submit contracts, agreements, or transactions to a derivatives clearing organization (DCO) for clearing.




                 Antidisruptive Practices Authority                 76 FR 14826           CFTC                                                                                                                                                                                                                                                                                      t                  n        s o
                                                                                                                                                                                                                                                                                                                                                   OnNovem ber 2, 2010, t heCom m odi y Fut ur es Tr adi gCom m i s i n( “Com m i s i n”) i s uedi t heFeder al s t er anadvancenot i eof pr opos edr ul m aki g( “ANPR”) . I nt hi ANPR, t heCom m i s i nr eques t edpubl com m ent t oas s i t i w hpr om ul at i gr ul s andr egul t i ns t oi pl m ent t hedi r upt i epr act i es s et f or t hi s ect i n4c( a) of t heCom m odi y ExchangeAct ( “CEA”) , as am endedby s ect i n747of t heDodd- Fr ank W al r eet Ref or m andCons um er Pr ot ect i nAct ( “Dodd- Fr ank Act ”) . Af t er cons i er i gt hecom m ent s t hat w es ubm i t edi r es pons et ot heANPR, t heCom m i s i ndeci ednot t oi s ueany r egul t i ns at t hi t i er el t i gt onew ect i n4c( a) . I ns t ead, t heCom m i s i ni publ hi gt oday el ew ei t heFeder al s t er apr opos edor der i t er pr et i gnew ect i n4c( a) ( 5) . TheCom m i s i ni al ot er m i at i gt heANPRi s uedonNovem ber 2, 2010.
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 Swap Data Recordkeeping and Reporting: Pre-Enactment Swaps         76 FR 22833           CFTC                       The Dodd-Frank Act amends the Commodity Exchange Act (“CEA” or “Act”) directing that rules adopted by the Commis s ion s hall provide for the reporting of data relating to s waps entered into before the date of enactment of the Dodd-Frank Act, the terms of which have not expired as of the date of enactment of that Act (“pre-enactment s waps ”) and data relating to s waps entered into on or after the date of enactment of the Dodd-Frank Act and prior to the compliance date s pecified in the Commis s ion's final s wap data reporting rules (“trans ition s waps ”). This propos al would es tablis h recordkeeping and reporting requirements for pre-enactment s waps and trans ition s waps .




Margin Requirements, Swap Dealers and Major Swap Participants       76 FR 23732           CFTC                                                                                            The Commodity Futures Trading Commis s ion (“Commis s ion” or “CFTC”) is propos ing regulations to implement new s tatutory provis ions enacted by Title VII of the Dodd-Frank W all Street Reform and Cons umer Protection Act (“Dodd-Frank Act”). The propos ed regulations would implement the new s tatutory framework of Section 4s (e) of the Commodity Exchange Act (“CEA”), added by Section 731 of the Dodd-Frank Act, which requires the Commis s ion to adopt capital and initial and variation margin requirements for certain s wap dealers (“SDs ”) and major s wap participants (“MSPs ”).




Capital Requirements, Swap Dealers and Major Swap Participants      76 FR 27802           CFTC                                                                                                                                                                t                  n        s o
                                                                                                                                                                                                                                                   TheCom m odi y Fut ur es Tr adi gCom m i s i n( Com m i s i nor CFTC) i pr opos i gr egul t i ns t hat w di pl m ent t henew t at ut or y f r am ew k i t heCom m odi y ExchangeAct ( CEA) , addedby t heW al r eet Ref or m andCons um er Pr ot ect i nAct ( Dodd- Fr ank Act ) . Thes enew ovi i ns of t heCEAr equi e, am ongot her t hi gs , t heCom m i s i nt oadopt capi al equi em ent s f or cer t ai s w deal r s ( SDs ) andm aj r s w par t i i ant s ( M SPs ) . Thepr opos edr ul s al opr ovi ef or r el t edf i anci l
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                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                 n acondi i nr epor t i gandr ecor dkeepi gby SDs andM SPs . TheCom m i s i nf ur t her pr opos es t oam endexi t i gcapi al f i anci l epor t i gr egul t i ns f or f ut ur es com m i s i nm er chant s ( FCM s ) t hat al or egi t er as SDs or M SPs . Thepr opos edr egul t i ns al oi cl der equi em ent s f or s uppl m ent al
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       Further Definition of “Swap,” “Security-Based Swap”          76 FR 29818           CFTC                                                                                                                                                                                                                                               I naccor dancew hs ect i n712( a) ( 8) , s ect i n712( d) ( 1) , s ect i ns 712( d) ( 2) ( B) and( C) , s ect i ns 721( b) and( c) , ands ect i n761( b) of t heDodd- Fr ank W al r eet Ref or m andCons um er Pr ot ect i nAct ( “Dodd- Fr ank Act ”) , t heCom m odi y Fut ur es Tr adi gCom m i s i n( “CFTC”) andt heSecur i i s andExchangeCom m i s i n( “SEC”) ( col ct i el , “Com m i s i ns ”) , i cons ul at i nw ht heBoar dof Gover nor s of t heFeder al er veSys t em ( “Boar d”) , ar ej i t l i s ui gpr opos edr ul s andpr opos edi t er pr et i egui anceunder t heCom m odi y ExchangeAct ( “CEA”) andt heSecur i i s ExchangeAct of 1934( “ExchangeAct ”) t of ur t her def i et het er m s “s w ” “s ecur i y- bas eds w ” and“s ecur i y- bas eds w agr eem ent ” ( col ct i el , “Pr oduct Def i i i ns ”) , r egar di g“m i eds w , ” andgover ni gbooks andr ecor ds w hr es pect t o“s ecur i y- bas eds w agr eem ent s . ”
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          Adaptation of Regulations to Incorporate Swaps            76 FR 33066           CFTC                                                                                                                                                                                                                                                                 St
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          Protection of Cleared Swaps Customer Contracts            76 FR 33818           CFTC                                                       The Commodity Futures Trading Commis s ion (the “Commis s ion”) hereby propos es rules to implement new s tatutory provis ions enacted by Title VII of the Dodd-Frank W all Street Reform and Cons umer Protection Act (the “Dodd-Frank Act”). Specifically, the propos ed rules contained herein impos e requirements on futures commis s ion merchants (“FCMs ”) and derivatives clearing organiz ations (“DCOs ”) regarding the treatment of cleared s waps cus tomer contracts (and related collateral), and make conforming amendments to bankruptcy provis ions applicable to commodity brokers under the Commodity Exchange Act (the “CEA”).




                 Effective Date for Swap Regulation                 76 FR 35372           CFTC                                                                                                                                                                                  o                            l
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                                                                                                                                                                                                                                                            Pur s uant t os ect i n754of t heDodd- Fr ank W al r eet Ref or m andCons um er Pr ot ect i nAct ( “Dodd- Fr ank Act ”) , t hegener al f ect i edat ef or cer t ai pr ovi i ns of s ubt i l Aof t i l VI I of t heDodd- Fr ank Act ( “Ti l VI I ”) t hat donot r equi ear ul m aki gi 360days af t er enact m ent , or J ul 16, 2011, unl s s anot her ef f ect i edat ei s peci i al pr ovi ed. Fol w gt hegener al f ect i edat e, m ar ket par t i i ant s m ay bes ubj ct t ocer t ai Com m odi y ExchangeAct ( “CEA” or “Act ”) r equi em ent s but not ot her s . Topr ovi egr eat er cl r i y r egar di gt heappl abi y of var i us s t at ut or y andr egul t or y r equi em ent s , t heCom m odi y Fut ur es Tr adi gCom m i s i n( “CFTC” or t he“Com m i s i n”) i pr opos i gt ogr ant , pur s uant t oi s s ect i n4( c) exem pt i eaut hor i y, t em por ar y r el f i t w par t s w hr es pect t ovar i us r equi em ent s of t heCEAt hat appl or m ay appl t ocer t ai agr eem ent s , cont r act s , andt r ans act i ns . I npar t one, t heCom m i s i ni pr opos i gt ot em por ar i exem pt per s ons or ent i i s w hr es pect t opr ovi i ns o
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   Office of Thrift Supervision; Dodd-Frank Act Implementation      76 FR 30557   Comptroller of Currency               Th e Offi ce o f th e C o mp tro l l e r o f th e C u rre n cy (OC C ) i s p ro p o si n g to ame n d i ts re gu l ati o n s go ve rn i n g o rgan i zati o n an d fu n cti o n s, avai l ab i l i ty an d re l e ase o f i n fo rmati o n , an d p o st-e mp l o yme n t re stri cti o n s fo r se n i o r e xami n e rs; an d asse ssme n t o f fe e s to i n co rp o rate th e tran sfe r o f ce rtai n fu n cti o n s o f th e Offi ce o f Th ri ft Su p e rvi si o n (OTS) to th e OC C p u rsu an t to Ti tl e III o f th e Do d d -Fran k W al l Stre e t R e fo rm an d C o n su me r P ro te cti o n Act. Th e OC C al so i s p ro p o si n g ame n d me n ts to i ts ru l e s p e rtai n i n g to ch an ge i n co n tro l o f cre d i t card b an ks an d tru st b an ks to i mp l e me n t se cti o n 6 0 3 o f th e Act; d e p o si t-taki n g b y u n i n su re d Fe d e ral b ran ch e s to i mp l e me n t se cti o n 3 3 5 o f th e Act; an d i ts p re e mp ti o n an d vi si to ri al p o we rs ru l e s, su b p art D, to i mp l e me n t vari o u s se cti o n s o f th e Act.




       Unlimited Coverage for Noninterst Bearing Accounts           75 FR 60341            FDIC                     Unlimited deposit insurance for noninterest bearing accounts; no opt-out.


         Implementing Liquidation Provisions, Dodd-Frank            75 FR 64173            FDIC                      The FDIC is proposing a rule (“Proposed Rule ”), with request for comments, which would implement certain provisions of its authority to resolve covered financial companies under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) (July 21, 2010).




     Assessment Dividends, Rates, Reserve Ratio: Dodd-Frank         75 FR 66272            FDIC                         In order to implement a comprehensive, long-range management plan for the Deposit Insurance Fund, the FDIC is proposing to amend its regulations to: implement the dividend provisions in the Dodd-Frank Wall Street Reform and Consumer Protection Act; set assessment rates; and set the designated reserve ratio at 2 percent.




 Deposit Insurance; Unlimited Coverage for Noninterest-Bearing      76 FR 4813             FDIC                   The FDIC is adopting a final rule amending its deposit insurance regulations to implement an amendment to section 11(a)(1)(B)(iii) of the Federal Deposit Insurance Act (FDI Act), as added by section 343 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Pub. L. 111-203), that includes Interest on Lawyers Trust Accounts (“IOLTAs”) in the definition of “noninterest-bearing transaction account” for purposes of providing unlimited deposit insurance for such accounts for two years starting December 31, 2010.




                  Assessments, Large Bank Pricing                   76 FR 10672            FDIC                                                  Th e FDIC i s ame n d i n g i ts re gu l ati o n s to i mp l e me n t re vi si o n s to th e Fe d e ral De p o si t In su ran ce Act mad e b y th e Do d d -Fran k W al l Stre e t R e fo rm an d C o n su me r P ro te cti o n Act (“Do d d -Fran k”) b y mo d i fyi n g th e d e fi n i ti o n o f an i n sti tu ti o n ' s d e p o si t i n su ran ce asse ssme n t b ase ; to ch an ge th e asse ssme n t rate ad ju stme n ts; to re vi se th e d e p o si t i n su ran ce asse ssme n t rate sch e d u l e s i n l i gh t o f th e n e w asse ssme n t b ase an d al te re d ad ju stme n ts; to i mp l e me n t Do d d -Fran k' s d i vi d e n d p ro vi si o n s; to re vi se th e l arge i n su re d d e p o si to ry i n sti tu ti o n asse ssme n t syste m to b e tte r d i ffe re n ti ate fo r ri sk an d b e tte r take i n to acco u n t l o sse s fro m l arge i n sti tu ti o n fai l u re s th at th e FDIC may i n cu r; an d to make te ch n i cal an d o th e r ch an ge s to th e FDIC ' s asse ssme n t ru l e s.
                    Orderly Liquidation Authority                    76 FR 16324              FDIC                                                            The FDIC is proposing and requests comments on a rule that would implement certain provisions of its authority to resolve covered financial companies under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act” or the “Act”).




         Interest on Deposits; Deposit Insurance Coverage            76 FR 21265              FDIC               Effective July 21, 2011, the s tatutory prohibition agains t the payment of interes t on demand depos its will be repealed purs uant to the Dodd-Frank W all Street Reform and Cons umer Protection Act (the DFA).1 In light of this , the FDIC propos es to res cind regulations that have implemented this prohibition with res pect to s tate-chartered nonmember (SN M) banks . Becaus e the regulations include a definition of “interes t” that may as s is t the FDIC in interpreting a recent s tatutory amendment that provides temporary, unlimited depos it ins urance coverage for noninteres t-bearing trans action accounts , the FDIC als o propos es to retain and move the definition of “interes t” into the depos it ins urance regulations .




                Retail Foreign Exchange Transactions                 76 FR 28358              FDIC                                                 The FDIC is propos ing regulations that would impos e requirements for foreign currency futures , options on futures , and options that an ins ured depos itory ins titution s upervis ed by the Federal Depos it Ins urance Corporation engages in with retail cus tomers . Purs uant to s ection 742(c) of the Dodd-Frank W all Street Reform and Cons umer Protection Act, s uch trans actions will be prohibited as of July 16, 2011, in the abs ence of the propos ed requirements . The propos ed regulations would als o impos e requirements on other foreign currency trans actions that are functionally or economically s imilar to futures , options on futures , or options .




                           Truth in Lending                          75 FR 66554       Federal Reserve           The amendments also seek to ensure that creditors and their agents pay customary and reasonable fees to appraisers. The Board seeks comment on all aspects of the interim final rule.




                           Truth in Lending                          75 FR 78636       Federal Reserve                                                  Effective July 21, 2011, the Dodd-Frank W all Street Reform and Cons umer Protection Act (Dodd-Frank Act) amends the Truth in Lending Act (TILA) by increas ing the thres hold for exempt cons umer credit trans actions from $25,000 to $50,000. In addition, the Dodd-Frank Act provides that, on or after December 31, 2011, this thres hold mus t be adjus ted annually by any annual percentage increas e in the Cons umer Price Index for U rban W age Earners and Clerical W orkers . Accordingly, the Board is propos ing to make corres ponding amendments to Regulation Z, which implements TILA, and to the accompanying s taff commentary.




                          Consumer Leasing                           75 FR 78632       Federal Reserve                                                                   Accordingly, the Board is proposing to make corresponding amendments to Regulation M, which implements the CLA, and to the accompanying staff commentary. Because the Dodd-Frank Act also increases the Truth in Lending Act's threshold for exempt consumer credit transactions from $25,000 to $50,000, the Board is proposing similar amendments to Regulation Z elsewhere in today's Federal Register.




   Definitions of “Predominantly Engaged in Financial Activities”    76 FR 7731        Federal Reserve                                                      The Board is publishing for comment proposed amendments to Regulation Y that establish the criteria for determining whether a company is “predominantly engaged in financial activities” and define the terms “significant nonbank financial company” and “significant bank holding company” for purposes of Title I of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Dodd-Frank Act” or “Act”).




 Conformance Period for Entities in Prohibited Proprietary Trading   76 FR 8265        Federal Reserve                                                                      The Board is adopting a final rule to implement the conformance period during which banking entities and nonbank financial companies supervised by the Board must bring their activities and investments into compliance with the prohibitions and restrictions on proprietary trading and relationships with hedge funds and private equity funds imposed by section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”).




                           Truth in Lending                          76 FR 11319       Federal Reserve                                                        The Board is publishing a final rule to amend Regulation Z, which implements the Truth in Lending Act (TILA). The final rule implements Section 1461 of the recently enacted Dodd-Frank Wall Street Reform and Consumer Protection Act. Section 1461 amends TILA to provide a separate, higher rate threshold for determining when the Board's escrow requirement applies to higher-priced mortgage loans that exceed the maximum principal obligation eligible for purchase by Freddie Mac.




        Fair Credit Reporting Risk-Based Pricing Regulations         76 FR 13902       Federal Reserve                                                                                                                                                                     s o       s
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                                                                                                                                                                                                                              OnJ anuar y 15, 2010, t heBoar dandt heCom m i s i npubl hedf i al ul s t oi pl m ent t her i k- bas edpr i i gpr ovi i ns i s ect i n311of t heFai andAccur at eCr edi Tr ans act i ns Act of 2003( FACTAct ) , w c ham ends t heFai Cr edi Repor t i gAct ( FCRA) . Thef i al ul s gener al r equi eacr edi or t opr ovi ear i k- bas edpr i i gnot i et oacons um er w t hecr edi or us es acons um er r epor t t ogr ant or ext endcr edi t ot hecons um er onm at er i l er m s t hat ar em at er i l l s s f avor abl t hant hem os t f avor abl t er m s avai bl t oas ubs t ant i l opor t i nof cons um er s f r om or t hr ought hat cr edi or . TheBoar dandt heCom m i s i npr opos et oam endt hei r es pect i er i k- bas edpr i i gr ul s t or equi edi cl s ur eof cr edi s cor es andi f or m at i nr el t i gt ocr edi s cor es i r i k- bas edpr i i gnot i es i acr edi s cor eof t hecons um er i us edi s et t i gt hem at er i l er m s of cr edi . Thes epr opos edam endm ent s r ef l ct t henew equi em ent s i s ect i n615( h) of t heFCRAt hat w eaddedby s ect i n1100F of t heDodd- Fr ank W al
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                          Consumer Leasing                           76 FR 18349       Federal Reserve                                                                     Effective July 21, 2011, the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) amends the Consumer Leasing Act (CLA) by increasing the threshold for exempt consumer leases from $25,000 to $50,000. In addition, the Dodd-Frank Act provides that, on or after December 31, 2011, this threshold must be adjusted annually by any annual percentage increase in the Consumer Price Index for Urban Wage Earners and Clerical Workers.




                           Truth in Lending                          76 FR 18354       Federal Reserve                                                            Effective July 21, 2011, the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) amends the Truth in Lending Act (TILA) by increasing the threshold for exempt consumer credit transactions from $25,000 to $50,000. In addition, the Dodd-Frank Act provides that, on or after December 31, 2011, this threshold must be adjusted annually by any annual percentage increase in the Consumer Price Index for Urban Wage Earners and Clerical Workers.




                      Financial Market Utilities                     76 FR 18445       Federal Reserve                                                           Under section 805(a)(1)(A) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”), the Board of Governors of the Federal Reserve System (the “Board”) is required to promulgate risk-management standards governing the operations related to the payment, clearing, and settlement activities of certain financial market utilities (“FMUs”) that are designated as systemically important by the Financial Stability Oversight Council (the “Council”).




           Incentive-Based Compensation Arrangements                 76 FR 21170       Federal Reserve                    The OCC, Board, FDIC, OTS, NCUA, SEC, and FHFA (the Agencies) are proposing rules to implement section 956 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The proposed rule would require the reporting of incentive-based compensation arrangements by a covered financial institution and prohibit incentive-based compensation arrangements at a covered financial institution that provide excessive compensation or that could expose the institution to inappropriate risks that could lead to material financial loss.




   Prohibition Against Payment of Interest on Demand Deposits        76 FR 20892       Federal Reserve                                 The proposed amendments implement the Dodd-Frank Act's repeal of Section 19(i). The proposed amendments would also repeal the Board's published interpretation of Regulation Q. The proposed amendments also remove references to Regulation Q found in the Board's other regulations, interpretations, and commentary.




      Resolution Plans and Credit Exposure Reports Required          76 FR 22648       Federal Reserve                                                                                                                                                                                                     o                           s              e
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                    Regulation Z; Truth in Lending                   76 FR 27390       Federal Reserve                                                                                                                                                                                                                            s    i n
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                                                                                                                                                                                                                                                                                                                         TheBoar di publ hi gf or publ com m ent apr opos edr ul am endi gRegul t i nZ ( Tr ut hi Lendi g) t oi pl m ent am endm ent s t ot heTr ut hi Lendi gAct ( TI LA) m adeby t heDodd- Fr ank W al r eet Ref or m andCons um er Pr ot ect i nAct ( Dodd- Fr ank Act or Act ) . Regul t i nZ cur r ent l pr ohi i s acr edi or f r om m aki gahi her - pr i edm or t gagel anw hout r egar dt ot hecons um er ' abi y t or epay t hel an. Thepr opos al oul i pl m ent s t at ut or y changes m adeby t heDodd- Fr ank Act t hat expandt hes copeof t heabi y- t o- r epay r equi em ent t ocover any cons um er cr edi t r ans act i ns ecur edby adw l g( excl di ganopen- endcr edi pl n, t i es har epl n, r ever s em or t gage, or t em por ar y l an) . I naddi i n, t hepr opos al oul es t abl hs t andar ds f or com pl i gw ht heabi y- t o- r epay r equi em ent , i cl di gby m aki ga“qual i dm or t gage. ”
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    Margin and Capital Requirements for Covered Swap Entities        76 FR 27564       Federal Reserve                                                                                                                                                                                                                                                                         e
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                                                                                                                                                                                                                                                                                                                                        TheOCC, Boar d, FDI C, FCA, andFHFA( col ct i el , t heAgenci s ) ar er eques t i gcom m ent onapr opos al oes t abl hm i i um m ar gi andcapi al equi em ent s f or r egi t er eds w deal r s , m aj r s w par t i i ant s , s ecur i y- bas eds w deal r s , andm aj r s ecur i y- bas eds w par t i i ant s f or w c honeof t heAgenci s i t hepr udent i l egul t or . Thi pr opos edr ul i pl m ent s s ect i ns 731and764of t heDodd- Fr ank W al r eet Ref or m andCons um er Pr ot ect i nAct , w c hr equi et heAgenci s t oadopt r ul s j i t l t oes t abl hcapi al equi em ent s andi i i l var i t i nm ar gi r equi em ent s f or s uchent i i s onal
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                      Electronic Fund Transfers                      76 FR 29902       Federal Reserve           The Board is proposing to amend Regulation E, which implements the Electronic Fund Transfer Act, and the official staff commentary to the regulation, which interprets the requirements of Regulation E. The proposal contains new protections for consumers who send remittance transfers to consumers or entities in a foreign country, by providing consumers with disclosures and error resolution rights. The proposed amendments implement statutory requirements set forth in the Dodd-Frank Wall Street Reform and Consumer Protection Act.




                             Capital Plans                           76 FR 35351       Federal Reserve                                          The Board is proposing amendments to Regulation Y to require large bank holding companies to submit capital plans to the Federal Reserve on an annual basis and to require such bank holding companies to provide prior notice to the Federal Reserve under certain circumstances before making a capital distribution.




                           Truth in Lending                          76 FR 35722       Federal Reserve                                                                                                                              s    s
                                                                                                                                                                                                                                         i n i r e
                                                                                                                                                                                                                           TheBoar di publ hi gaf nal ul am endi gt hes t af com m ent ar y t hat i t er pr et s t her equi em ent s of Regul t onZ, w c hi pl m ent s t heTr ut hi Lendi gAct ( TI LA) . Ef ect veJ ul 21, 2011, t heDodd- Fr ank W al r eet Ref or m andCons um er Pr ot ect onAct ( Dodd- Fr ank Act ) am ends TI LAby i cr eas i gt het hr es hol f or exem pt cons um er cr edi t r ans act ons f r om $25, 000t o$50, 000. I naddi on, t heDodd- Fr ank Act r equi es t hat t hi t hr es hol beadj s t edannual by any annual cent agei cr eas ei t heCons um er Pr i eI ndex f or Ur banW ageEar ner s andCl r i al or ker s ( CPI - W ) . Accor di gl , bas edont heannual cent agei cr eas ei t heCPI - W as of J une1, 2011, t heBoar di adj s t ngt heexem pt ont hr es hol f r om $50, 000t o$51, 800, ef ect veJ anuar y 1, 2012. Show t at onboxBecaus et heDodd- Fr ank Act al or equi es s i i r adj s t m ent s i t heCons um er Leas i gAct ' t hr es hol f or exem pt cons um er l as es , t heBoar di m aki gs i i r am endm ent s t oRegul t onM el ew ei t oday' Feder al s t er .
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                          Consumer Leasing                           76 FR 35721       Federal Reserve                                                                                                                              s    s
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                                                                                                                                                                                                                           TheBoar di publ hi gaf nal ul am endi gt hes t af com m ent ar y t hat i t er pr et s t her equi em ent s of Regul t onM , w c hi pl m ent s t heCons um er Leas i gAct ( CLA) . Ef ect veJ ul 21, 2011, t heDodd- Fr ank W al r eet Ref or m andCons um er Pr ot ect onAct ( Dodd- Fr ank Act ) am ends t heCLAby i cr eas i gt het hr es hol f or exem pt cons um er l as es f r om $25, 000t o$50, 000. I naddi on, t heDodd- Fr ank Act r equi es t hat t hi t hr es hol beadj s t edannual by any annual cent agei cr eas ei t heCons um er Pr i eI ndex f or Ur banW ageEar ner s andCl r i al or ker s ( CPI - W ) . Accor di gl , bas edont heannual cent agei cr eas ei t heCPI - W as of J une1, 2011, t heBoar di adj s t ngt heexem pt ont hr es hol f r om $50, 000t o$51, 800, ef ect veJ anuar y 1, 2012. Show t at onboxBecaus et heDodd- Fr ank Act al or equi es s i i r adj s t m ent s i t heTr ut hi Lendi gAct ' t hr es hol f or exem pt cons um er cr edi t r ans act ons , t heBoar di m aki gs i i r am endm ent s t oRegul t onZ el ew ei t oday' Feder al s t er .
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               Regulation B; Equal Credit Opportunity                76 FR 36885       Federal Reserve                                                                                                                                       s
                                                                                                                                                                                                                                    TheBoar di publ hi gf or publ com m ent apr opos edr ul am endi gRegul t i nB( Equal edi Oppor t uni y) . Sect i n704Bof t heEqual edi Oppor t uni y Act ( ECOA) , as addedby Sect i n1071of t heDodd- Fr ank W al r eet Ref or m andCons um er Pr ot ect i nAct ( Dodd- Fr ank Act or Act ) , r equi es t hat f i anci l s t i ut i ns col ct andr epor t i f or m at i nconcer ni gcr edi appl at i ns m adeby w en- or m i or i y- ow bus i es s es andby s m al i es s es . ECOASect i n704Bbecom es ef f ect i eont hedat et hat r ul m aki gaut hor i y f or ECOAi t r ans f er r edt ot heCons um er Fi anci l ot ect i nBur eau( CFPB) , w c hi J ul 21, 2011. Al hought heCFPBw
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Risk-Based Capital Standards: Capital Adequacy Framework-Basel II    76 FR 37620       Federal Reserve                                                    The Office of the Comptroller of the Currency (OCC), Board of G overnors of the Federal Res erve Sys tem (Board), and the Federal Depos it Ins urance Corporation (FDIC) (collectively, the agencies ) are amending the advanced ris k-bas ed capital adequacy s tandards (advanced approaches rules ) in a manner that is cons is tent with certain provis ions of the Dodd-Frank W all Street Reform and Cons umer Protection Act (the Act), and the general ris k-bas ed capital rules to provide limited flexibility cons is tent with s ection 171(b) of the Act for recogniz ing the relative ris k of certain as s ets generally not held by depos itory ins titutions .




                Federal Home Loan Bank Investments                   76 FR 29147    Federal Housing Agency                                           The Federal H ous ing Finance Agency (FH FA) is re-organiz ing and re-adopting exis ting inves tment regulations that apply to the Federal H ome Loan Banks (Banks ) and that were previous ly adopted by the Federal H ous ing Finance Board (Finance Board). The regulation is being adopted as a new part in FH FA's regulations . As part of this rulemaking, FH FA will incorporate limits on the Banks ' inves tment in mortgage-backed s ecurities (MBS) and certain as s et-backed s ecurities (ABS) that were previous ly s et forth in the Finance Board's Financial Management Policy (FMP). The FMP will terminate as of the effective date of this rule.




       Authority To Require Regulation of Certain Nonbank            76 FR 4555    Financial Stability Council                                          Section 113 of the Dodd-Frank W all Street Reform and Cons umer Protection Act (the “DFA”) provides the Financial Stability Overs ight Council (the “Council”) the authority to require that a nonbank financial company be s upervis ed by the Board of G overnors of the Federal Res erve Sys tem (“Board of G overnors ”) and be s ubject to prudential s tandards in accordance with Title I of the DFA if the Council determines that material financial dis tres s at s uch a firm, or the nature, s cope, s iz e, s cale, concentration, interconnectednes s , or mix of the activities of the firm, could pos e a threat to the financial s tability of the U nited States .




   Authority To Designate Financial Market Utilities as Important    76 FR 17047   Financial Stability Council                                                                                                                                                                                 Sect i n804of t heDodd- Fr ank W al r eet Ref or m andCons um er Pr ot ect i nAct ( t he“DFA”) pr ovi es t heFi anci l abi y Over s i ht Counci t he“Counci ) t heaut hor i y t odes i nat eaf i anci l ar ket ut i y ( an“FM U”) t heCounci er m i es i or i l el t obecom es ys t em i al i por t ant —t hat i , t hef ai r eof or adi r upt i nt ot hef unct i ni gof w c hcoul cr eat e, or i cr eas e, t her i k of s i ni i ant l ui i y or cr edi pr obl m s s pr eadi gam ongf i anci l s t i ut i ns or m ar ket s andt her eby t hr eat ent hes t abi y of t heUni edSt at es f i anci l ys t em . Thi not i eof pr opos edr ul m aki g( NPR) des cr i es t hecr i er i t hat w f or m , andt hepr oces s es andpr ocedur es es t abl hedunder t heDFAf or , t heCounci des i nat i nof FM Us as s ys t em i al i por t ant under t heDFA. TheCounci onDecem ber 21, 2010, publ hedanadvancenot i eof pr opos edr ul m aki gr egar di gt hedes i nat i ncr i er i i s ect i n804.
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              Emergency Homeowners' Loan Program                     76 FR 11946              HUD                                                                                               The Dodd-Frank W all Street Reform and Cons umer Protection Act, recently enacted into law, reauthoriz ed the 1975 s tatute, with certain amendments , and made $1 billion available for this 1975 program during Fis cal Year (FY) 2011. Accordingly, H U D is reins tating the regulations for the program, under the title of “Emergency H omeowners ' Loan Program,” with s uch modifications as neces s ary to mirror the s tatutory changes to the Emergency H omeowners ' Relief Act of 1975 made by the Dodd-Frank W all Street Reform and Cons umer Protection Act.




                        Credit Risk Retention                        76 FR 24090              HUD                                                           The OCC, Board, FDIC, Commission, FHFA, and HUD (the Agencies) are proposing rules to implement the credit risk retention requirements of section 15G of the Securities Exchange Act of 1934 (15 U.S.C. 78o-11), as added by section 941 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Section 15G generally requires the securitizer of asset-backed securities to retain not less than five percent of the credit risk of the assets collateralizing the asset-backed securities.




Modification of Treasury Regulations, Section 939A of Dodd-Frank     76 FR 39278               IRS                                                                                                                                                                                                     s                 n
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                    Share Insurance and Appendix                     75 FR 80367             NCUA                                                                 Section 343 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act)1 provides that, on a temporary basis, the NCUA Board shall fully insure the net amount that any member or depositor at an insured credit union maintains in a noninterest-bearing transaction account.




       Removing References to Credit Ratings in Regulations          76 FR 11164             NCUA                                                             NCUA is proposing rules to implement certain statutory provisions in Title IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act). The proposed rules replace or remove references to credit ratings in NCUA regulations.




                    Share Insurance and Appendix                     76 FR 30250             NCUA                                      Section 343 of the Dodd-Frank W all Street Reform and Cons umer Protection Act (Dodd-Frank Act)1 provides that, on a temporary bas is , N CU A s hall fully ins ure the net amount that any member or depos itor at an ins ured credit union maintains in a noninteres t-bearing trans action account. Although this ins urance coverage is s elf-implementing, and therefore already in place, this final rule: Clarifies the definition of the term “noninteres t-bearing trans action account;” provides that this new ins urance coverage is s eparate from, and in addition to, other coverage provided in N CU A's s hare ins urance rules ; and impos es certain notice and dis clos ure requirements .




     Disclosure of Asset-Backed Securities Required by FinReg        75 FR 62718              SEC                                            Our proposals would require securitizers of asset-backed securities to disclose fulfilled and unfulfilled repurchase requests across all transactions. Our proposals would also require nationally recognized statistical rating organizations to include information regarding the representations, warranties and enforcement mechanisms available to investors in an asset-backed securities offering in any report accompanying a credit rating issued in connection with such offerings, including a preliminary credit rating.
           Issuer Review in Offerings of Asset-Backed Securities        75 FR 64182   SEC                                                                      We are proposing new requirements in order to implement Section 945 and a portion of Section 932 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Act”). First, we are proposing a new rule under the Securities Act of 1933 to require any issuer registering the offer and sale of an asset-backed security (“ABS”) to perform a review of the assets underlying the ABS.




            Reporting of Security-Based Swap Transaction Data           75 FR 64643   SEC                                                                       Section 766 of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) requires the Securities and Exchange Commission (“Commission”) to adopt an interim final rule for the reporting of security-based swaps entered into before July 21, 2010, the terms of which had not expired as of that date (“pre-enactment security-based swap transactions”), within 90 days of the enactment of the Dodd-Frank Act.




            Governance Requirements for Security-Based Swap             75 FR 65882   SEC   Regulation MC is designed to mitigate potential conflicts of interest that could exist at these entities. Specifically, the Commission seeks to mitigate the potential conflicts of interest through conditions and structures relating to ownership, voting, and governance of security-based swap clearing agencies, SB SEFs, and SBS exchanges.




             Shareholder Approval of Executive Compensation             75 FR 66590   SEC                 Section 14A requires companies soliciting votes to approve merger or acquisition transactions to provide disclosure of certain “golden parachute” compensation arrangements and, in certain circumstances, to conduct a separate shareholder advisory vote to approve the golden parachute compensation arrangements.




          Reporting of Proxy Votes on Executive Compensation            75 FR 66622   SEC   The Securities and Exchange Commission is proposing rule and form amendments under the Securities Exchange Act of 1934 and the Investment Company Act of 1940 that, if adopted, would require an institutional investment manager that is subject to Section 13(f) of the Securities Exchange Act to report annually how it voted proxies relating to executive compensation matters as required by Section 14A of the Securities Exchange Act, which was added by the Dodd-Frank Wall Street Reform and Consumer Protection Act.




      Extension of Temporary Exemptions for Credit Default Swaps        75 FR 72660   SEC                                                       We are extending the expiration dates in our temporary rules that provide exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for certain credit default swaps in order to continue facilitating the operation of one or more central counterparties for those credit default swaps until the implementation of the clearing provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act.




    Regulation SBSR-Reporting of Security-Based Swap Information        75 FR 75208   SEC                 Proposed Regulation SBSR would provide for the reporting of security-based swap information to registered security-based swap data repositories or the Commission and the public dissemination of security-based swap transaction, volume, and pricing information.




   Rules Implementing Amendments to the Investment Advisers Act         75 FR 77052   SEC                               The Securities and Exchange Commis s ion is propos ing new rules and rule amendments under the Inves tment Advis ers Act of 1940 to implement provis ions of the Dodd-Frank W all Street Reform and Cons umer Protection Act. Thes e rules and rule amendments are des igned to give effect to provis ions of Title IV of the Dodd-Frank Act that, among other things , increas e the s tatutory thres hold for regis tration by inves tment advis ers with the Commis s ion, require advis ers to hedge funds and other private funds to regis ter with the Commis s ion, and require reporting by certain inves tment advis ers that are exempt from regis tration.




             Security-Based Swap Data Repository Registration           75 FR 77306   SEC                                                          In accordance with Section 763(i) of Title VII (“Title VII”) of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”), the Securities and Exchange Commission (“Commission”) is proposing new rules under the Securities Exchange Act of 1934 (“Exchange Act”) governing the security-based swap data repository (“SDR”) registration process, duties, and core principles.




      End-User Exception to Mandatory Clearing of Security Swaps        75 FR 79992   SEC                                                                          In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”), the Securities and Exchange Commission (“Commission”) is proposing new Rule 3Cg-1 under the Securities Exchange Act of 1934 (“Exchange Act”) governing the exception to mandatory clearing of security-based swaps available for counterparties meeting certain conditions.




                            Mine Safety Disclosure                      75 FR 80374   SEC                   W e are propos ing amendments to our rules to implement Section 1503 of the Dodd-Frank W all Street Reform and Cons umer Protection Act. Section 1503(a) of the Act requires is s uers that are operators , or that have a s ubs idiary that is an operator, of a coal or other mine to dis clos e in their periodic reports filed with the Commis s ion information regarding s pecified health and s afety violations , orders and citations , related as s es s ments and legal actions , and mining-related fatalities . Section 1503(b) of the Act mandates the filing of a Form 8-K dis clos ing the receipt of certain orders and notices from the Mine Safety and H ealth Adminis tration.




      Process for Submissions for Review of Security-Based Swaps        75 FR 82490   SEC               In acco rd an ce wi th Se cti o n 7 6 3 (a) o f th e Do d d -Fran k W al l Stre e t R e fo rm an d C o n su me r P ro te cti o n Act o f 2 0 1 0 (“Do d d -Fran k Act”), th e Se cu ri ti e s an d Exch an ge C o mmi ssi o n (“C o mmi ssi o n ”) i s p ro p o si n g ru l e s u n d e r th e Se cu ri ti e s Exch an ge Act o f 1 9 3 4 (“Exch an ge Act”) to sp e ci fy th e p ro ce ss fo r a re gi ste re d cl e ari n g age n cy' s su b mi ssi o n fo r re vi e w o f an y se cu ri ty-b ase d swap , o r an y gro u p , cate go ry, typ e o r cl ass o f se cu ri ty-b ase d swap s, th at th e cl e ari n g age n cy p l an s to acce p t fo r cl e ari n g, th e man n e r o f n o ti ce th e cl e ari n g age n cy mu st p ro vi d e to i ts me mb e rs o f su ch su b mi ssi o n an d th e p ro ce d u re b y wh i ch th e C o mmi ssi o n may stay th e re q u i re me n t th at a se cu ri ty-b ase d swap i s su b je ct to man d ato ry cl e ari n g wh i l e th e cl e ari n g o f th e se cu ri ty-b ase d swap i s re vi e we d .




                      Registration of Municipal Advisors                 76 FR 824    SEC                                                                                                     Section 975 of Title IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) amended Section 15B of the Securities Exchange Act of 1934 (as amended, the “Exchange Act”) to require municipal advisors, as defined below, to register with the Securities and Exchange Commission (“Commission” or “SEC”) effective October 1, 2010.




     Suspension of Duty To File Reports for Classes of Asset-Backed     76 FR 2049    SEC                                                                 Section 942(a) of the Dodd-Frank W all Street Reform and Cons umer Protection Act eliminated the automatic s us pens ion of the duty to file under Section 15(d) of the Securities Exchange Act of 1934 for as s et-backed s ecurities is s uers and granted the Commis s ion the authority to is s ue rules providing for the s us pens ion or termination of s uch duty. W e are propos ing to permit s us pens ion of the reporting obligations for as s et-backed s ecurities is s uers when there are no longer as s et-backed s ecurities of the clas s s old in a regis tered trans action held by non-affiliates of the depos itor.




         Trade Verification of Security-Based Swap Transactions         76 FR 3859    SEC       In accordance with Section 764(a) of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”), the Securities and Exchange Commission (“Commission”) is proposing rule 15Fi-1 under the Securities Exchange Act of 1934 (“Exchange Act”), 15 U.S.C. 78a et seq., which would require security-based swap dealers and major security-based swap participants to provide trade acknowledgments and to verify those trade acknowledgments in security-based swap transactions.




                               Rules of Practice                        76 FR 4066    SEC                                                                                                                                                                                                                n                           s                       o
                                                                                                                                                                                                                                                                                         Am ongot her t hi gs , t heDodd- Fr ank Act ' am endm ent s t oSect i n19of t heExchangeAct r equi et heSecur i i s andExchangeCom m i s i n( “Com m i s i n”) t opr om ul at er ul s s et t i gf or t ht hepr ocedur al equi em ent s of pr oceedi gs t odet er m i ew her apr opos edr ul changes houl bedi appr oved. I ns at i f act i nof t hi r equi em ent , t heCom m i s i ni adopt i gnew es of Pr act i et of or m al et hepr oces s i w ew conduct i gpr oceedi gs t odet er m i ew her anSRO' pr opos edr ul changes houl bedi appr ovedunder Sect i n19( b) ( 2) of t heExchangeAct . Thenew ul s ar ei t endedt oaddt r ans par ency t ot heCom m i s i n' conduct of t hos epr oceedi gs andaddr es s t hepr oces s t heCom m i s i nw ol w oi s t i ut epr oceedi gs andpr ovi enot i eof t hegr ounds f or di appr oval
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     Issuer Review of Assets in Offerings of Asset-Backed Securities    76 FR 4231    SEC                                                                      W e are adopting new requirements in order to implement Section 945 of the Dodd-Frank W all Street Reform and Cons umer Protection Act of 2010 (the “Act”). W e are adopting a new rule under the Securities Act of 1933 to require any is s uer regis tering the offer and s ale of an as s et-backed s ecurity (“ABS”) to perform a review of the as s ets underlying the ABS. W e als o are adopting amendments to Item 1111 of Regulation AB that would require an ABS is s uer to dis clos e the nature of its review of the as s ets and the findings and conclus ions of the is s uer's review of the as s ets .




     Disclosure for Asset-Backed Securities Required by Section 943     76 FR 4489    SEC    Purs uant to Section 943 of the Dodd-Frank W all Street Reform and Cons umer Protection Act,1 we are adopting new rules related to repres entations and warranties in as s et-backed s ecurities offerings . The final rules require s ecuritiz ers of as s et-backed s ecurities to dis clos e fulfilled and unfulfilled repurchas e reques ts . Our rules als o require nationally recogniz ed s tatis tical rating organiz ations to include information regarding the repres entations , warranties and enforcement mechanis ms available to inves tors in an as s et-backed s ecurities offering in any report accompanying a credit rating is s ued in connection with s uch offering, including a preliminary credit rating.




                Net Worth Standard for Accredited Investors             76 FR 5307    SEC                       W e are p ro p o si n g ame n d me n ts to th e accre d i te d i n ve sto r stan d ard s i n o u r ru l e s u n d e r th e Se cu ri ti e s Act o f 1 9 3 3 to re fl e ct th e re q u i re me n ts o f Se cti o n 4 1 3 (a) o f th e Do d d -Fran k W al l Stre e t R e fo rm an d C o n su me r P ro te cti o n Act. Se cti o n 4 1 3 (a) re q u i re s th e d e fi n i ti o n s o f “accre d i te d i n ve sto r” i n o u r Se cu ri ti e s Act ru l e s to e xcl u d e th e val u e o f a p e rso n ' s p ri mary re si d e n ce fo r p u rp o se s o f d e te rmi n i n g wh e th e r th e p e rso n q u al i fi e s as an “accre d i te d i n ve sto r” o n th e b asi s o f h avi n g a n e t wo rth i n e xce ss o f $ 1 mi l l i o n . Th i s ch an ge to th e n e t wo rth stan d ard was e ffe cti ve u p o n e n actme n t b y o p e rati o n o f th e Do d d -Fran k statu te , b u t Se cti o n 4 1 3 (a) al so re q u i re s u s to re vi se o u r cu rre n t Se cu ri ti e s Act ru l e s to re fl e ct th e n e w stan d ard .




        Shareholder Approval, Compensation, Golden Parachute            76 FR 6010    SEC                                                                                  vW e are adopting amendments to our rules to implement the provis ions of the Dodd-Frank W all Street Reform and Cons umer Protection Act relating to s hareholder approval of executive compens ation and “golden parachute” compens ation arrangements . Section 951 of the Dodd-Frank Act amends the Securities Exchange Act of 1934 by adding Section 14A, which requires companies to conduct a s eparate s hareholder advis ory vote to approve the compens ation of executives , as dis clos ed purs uant to Item 402 of Regulation S-K or any s ucces s or to Item 402.




                               Security Ratings                         76 FR 8946    SEC                                                           This is one of s everal releas es that we will be cons idering relating to the us e of s ecurity ratings by credit rating agencies in our rules and forms . In this releas e, purs uant to the provis ions of Section 939A of the Dodd-Frank W all Street Reform and Cons umer Protection Act, we propos e to replace rule and form requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934 for s ecurities offering or is s uer dis clos ure rules that rely on, or make s pecial accommodations for, s ecurity ratings (for example, Forms S-3 and F-3 eligibility criteria) with alternative requirements .




          Regulation of Security-Based Swap Execution Facilities        76 FR 10948   SEC                            In acco rd an ce wi th Se cti o n 7 6 3 (“Se cti o n 7 6 3 ”) o f Ti tl e VII (“Ti tl e VII”) o f th e Do d d -Fran k W al l Stre e t R e fo rm an d C o n su me r P ro te cti o n Act o f 2 0 1 0 (“Do d d -Fran k Act”), th e Se cu ri ti e s an d Exch an ge C o mmi ssi o n (“SEC ” o r “C o mmi ssi o n ”) i s p ro p o si n g R e gu l ati o n SB SEF u n d e r th e Se cu ri ti e s Exch an ge Act o f 1 9 3 4 (“Exch an ge Act”) th at i s d e si gn e d to cre ate a re gi strati o n frame wo rk fo r se cu ri ty-b ase d swap e xe cu ti o n faci l i ti e s (“SB SEFs”); e stab l i sh ru l e s wi th re sp e ct to th e Do d d -Fran k Act' s re q u i re me n t th at a SB SEF mu st co mp l y wi th th e fo u rte e n e n u me rate d co re p ri n ci p l e s (“C o re P ri n ci p l e s”) an d e n fo rce co mp l i an ce wi th th o se p ri n ci p l e s; an d i mp l e me n t a p ro ce ss fo r a SB SEF to su b mi t to th e C o mmi ssi o n p ro p o se d ch an ge s to th e SB SEF' s ru l e s.




          Ownership Limitations, Security-Based Swap Clearing           76 FR 12645   SEC                                                                                                                                                                                                   te                     s o             s o s              n
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                                                                                                                                                                                                                                                                                                                                                                            c                           a o                       te                                            hi s      g         tg              aconf l t s of i t er es t at cl ar i gagenci s t hat cl ar s ecur i y- bas eds w ( “s ecur i y- bas eds w cl ar i gagenci s ”) , s ecur i y- bas eds w execut i nf aci i s ( “SBSEFs ”) , andnat i nal ecur i i s exchanges t hat pos t or m akeavai bl f or t r adi gs ecur i y- bas eds w ( “SBS exchanges ”) . Thepr opos al as or i i al publ hedi Secur i i s ExchangeAct Rel as eNo. 63107( Oct ober 14, 2010) , 75FR65882( Oct ober 26, 2010) ( “Regul t i nM CPr opos i gRel as e”) . TheCom m i s i ni r eopeni gt heper i df or publ com m ent t os ol i f ur t her com m ent onRegul t i nM Ci l ht of ot her m or er ecent pr opos edr ul m aki gs t hat concer nconf l t s of i t er es t at s ecur i y- bas eds w cl ar i gagenci s andSBSEFs .
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     References to Credit Ratings in Investment Company Act Rules       76 FR 12896   SEC                                                                                This is one of several releases that the Securities and Exchange Commission (“Commission”) will be considering relating to the use of credit ratings in our rules and forms. In this release, we are proposing a new rule as well as rule and form amendments under the Securities Act of 1933 and the Investment Company Act of 1940 to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”).




        Clearing Agency Standards for Operation and Governance          76 FR 14472   SEC                                                        In accordance with Section 763 of Title VII (“Title VII”) of the Dodd-Frank W all Street Reform and Cons umer Protection Act of 2010 (“Dodd-Frank Act”), Section 805 of Title VIII (“Title VIII”) of the Dodd-Frank Act, and Section 17A of the Securities Exchange Act of 1934 (“Exchange Act”), the Securities and Exchange Commis s ion (“SEC” or “Commis s ion”) is propos ing rules regarding regis tration of clearing agencies and s tandards for the operation and governance of clearing agencies . The propos ed rules are des igned to enhance the regulatory framework for the s upervis ion of clearing agencies .




     Beneficial Ownership Reporting Requirements, Security Swaps        76 FR 15874   SEC     To pres erve the application of our exis ting beneficial owners hip rules to pers ons who purchas e or s ell s ecurity-bas ed s waps after the effective date of new Section 13(o) of the Securities Exchange Act of 1934, we are propos ing to readopt without change the relevant portions of Rules 13d-3 and 16a-1. The propos als are intended to clarify that following the July 16, 2011 s tatutory effective date of Section 13(o), which was added by Section 766 of the Dodd-Frank W all Street Reform and Cons umer Protection Act (“Dodd-Frank Act”), pers ons who purchas e or s ell s ecurity-bas ed s waps will remain within the s cope of thes e rules to the s ame extent as they are now.




    Rule 17Ad-17; Transfer Agents', Brokers', and Dealers' Obligation   76 FR 16707   SEC                                                                                                                                                      l
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                                                                                                                                                                                                                            TheDodd- Fr ank W al r eet Ref or m andCons um er Pr ot ect i nAct ( “Dodd- Fr ank Act ”) am endedt heSecur i i s ExchangeAct of 1934( “ExchangeAct ”) by addi gas ubs ect i nent i l d, “DueDi encef or t heDel er y of Di i ends , I nt er es t , andOt her Val abl Pr oper t y Ri ht s . ” Theam endm ent di ect s t heSecur i i s andExchangeCom m i s i n( “Com m i s i n”) t or evi eExchangeAct Rul 17Ad- 17, “Tr ans f er Agent s ' i at i nt oSear chf or Los t Secur i yhol er s ” t o: ext endt obr oker s anddeal r s t her equi em ent of Rul 17Ad- 17t os ear chf or l s t s ecur i yhol er s ; addt oRul 17Ad- 17ar equi em ent t hat “payi gagent s ” not i y “m i s i gs ecur i y hol er s ” i w i i gt hat t hepayi gagent has s ent t hem i s i gs ecur i y hol er acheck t hat has not yet beennegot i t ed; addt oRul 17Ad- 17anexcl s i nf or payi gagent s f r om t henot i i at i nr equi em ent s w t heval eof t henot yet negot i t edcheck i l s s t han$25; andaddt oRul 17Ad- 17apr ovi i ncl r i yi gt hat t hew i t ennot i i at i nr equi em ent s s hal
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              Listing Standards for Compensation Committees             76 FR 18966   SEC                                                                    W e are propos ing a new rule and rule amendments to implement the provis ions of Section 952 of the Dodd-Frank W all Street Reform and Cons umer Protection Act of 2010, which adds Section 10C to the Securities Exchange Act of 1934 (the “Exchange Act”). Section 10C requires the Commis s ion to adopt rules directing the national s ecurities exchanges (the “exchanges ”) and national s ecurities as s ociations to prohibit the lis ting of any equity s ecurity of an is s uer that is not in compliance with Section 10C's compens ation committee and compens ation advis er requirements .




              Removal of Certain References to Credit Ratings           76 FR 26550   SEC                                                                                                                               ss                pr          e
                                                                                                                                                                                                                      Thi i oneof s ever al opos edr ul s t hat t heSecur i i s andExchangeCom m i s i n( t he“Com m i s i n”) w cons i er i gr el t i gt ot heus eof cr edi r at i gs i Com m i s i nr ul s andf or m s . Sect i n939Aof t heDodd- Fr ank Act W al r eet Ref or m andCons um er Pr ot ect i nAct ( t he“Dodd- Fr ank Act ”) r equi es t heCom m i s i nt or em oveany r ef er ences t ocr edi r at i gs f r om i s r egul t i ns andt os ubs t i ut es uchs t andar dof cr edi w t hi es s as t heCom m i s i ndet er m i es t obeappr opr i t e. I nt hi r el as e, t heCom m i s i ni pr opos i gt oam endcer t ai r ul s andonef or m under t heSecur i i s ExchangeAct of 1934( t he“ExchangeAct ”) appl abl t obr oker - deal r f i anci l es pons i i y, di t r i ut i ns of s ecur i i s , andconf i m at i ns of t r ans act i ns . TheCom m i s i nal oi r eques t i gcom m ent onpot ent i l t andar ds of cr edi w t hi es s f or pur pos es of ExchangeAct Sect i ns 3( a) ( 41) and3( a) ( 53) , w c hdef i et het er m s “m or t gager el t eds ecur i y” and“s m al i es s r el t eds ecur i y, ” r es pect i el , as t heCom m i s i ncons i er s h
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              Investment Adviser Performance Compensation               76 FR 27959   SEC                  Th e Se cu ri ti e s an d Exch an ge C o mmi ssi o n (“C o mmi ssi o n ” o r “SEC ”) i n te n d s to i ssu e an o rd e r th at wo u l d ad ju st two d o l l ar amo u n t te sts i n th e ru l e u n d e r th e In ve stme n t Ad vi se rs Act o f 1 9 4 0 th at p e rmi ts i n ve stme n t ad vi se rs to ch arge p e rfo rman ce b ase d co mp e n sati o n to “q u al i fi e d cl i e n ts.” Th e ad ju stme n ts wo u l d re vi se th e d o l l ar amo u n t te sts to acco u n t fo r th e e ffe cts o f i n fl ati o n . Th e C o mmi ssi o n i s al so p ro p o si n g to ame n d th e ru l e to : p ro vi d e th at th e C o mmi ssi o n wi l l i ssu e an o rd e r e ve ry fi ve ye ars ad ju sti n g fo r i n fl ati o n th e d o l l ar amo u n t te sts; e xcl u d e th e val u e o f a p e rso n ' s p ri mary re si d e n ce fro m th e te st o f wh e th e r a p e rso n h as su ffi ci e n t n e t wo rth to b e co n si d e re d a “q u al i fi e d cl i e n t;” an d ad d ce rtai n tran si ti o n p ro vi si o n s to th e ru l e .




Disqualification of Felons and Other “Bad Actors” From Rule 506         76 FR 31518   SEC                                                       W e are propos ing amendments to our rules to implement Section 926 of the Dodd-Frank W all Street Reform and Cons umer Protection Act. Section 926 requires us to adopt rules that dis qualify s ecurities offerings involving certain “felons and other `bad actors '” from reliance on the s afe harbor from Securities Act regis tration provided by Rule 506 of Regulation D. The rules mus t be “s ubs tantially s imilar” to Rule 262, the dis qualification provis ions of Regulation A under the Securities Act, and mus t als o cover matters enumerated in Section 926 (including certain s tate regulatory orders and bars ).




          Nationally Recognized Statistical Rating Organizations        76 FR 33420   SEC                                                                                                                                                 I naccor dancew ht heDodd- Fr ank W al r eet Ref or m andCons um er Pr ot ect i nAct ( t he“Dodd- Fr ank Act ”) andt oenhanceover s i ht , t heSecur i i s andExchangeCom m i s i n( “Com m i s i n”) i pr opos i gam endm ent s t oexi t i gr ul s andnew ul s t hat w dappl t ocr edi r at i gagenci s r egi t er edw ht heCom m i s i nas nat i nal r ecogni eds t at i t i al at i gor gani at i ns ( “NRSROs ”) . I naddi i n, i accor dancew ht heDodd- Fr ank Act , t heCom m i s i ni pr opos i ganew ul andf or m t hat w dappl t opr ovi er s of t hi d- par t y duedi ences er vi es f or as s et - backeds ecur i i s . Fi al , t heCom m i s i ni pr opos i gam endm ent s t oexi t i gr ul s andanew ul t hat w di pl m ent ar equi em ent addedby t heDodd- Fr ank Act t hat i s uer s andunder w i er s of as s et - backeds ecur i i s m akepubl l avai bl t hef i di gs andconcl s i ns of any t hi d- par t y duedi encer epor t obt ai edby t hei s uer or under w i er . TheCom m i s i ni r eques t i gcom m ent ont hepr opos edr ul am endm ent s andnew ul s .
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            Securities Whistleblower Incentives and Protections         76 FR 34300   SEC                                                                                                                                                                                                                                               s o s          n e                      m e
                                                                                                                                                                                                                                                                                                                               TheCom m i s i ni adopt i gr ul s andf or m s t oi pl m ent Sect i n21F of t heSecur i i s ExchangeAct of 1934( “ExchangeAct ”) ent i l d“Secur i i s W hi t l bl w I ncent i es andPr ot ect i n. ” TheDodd- Fr ank W al r eet Ref or m andCons um er Pr ot ect i nAct , enact edonJ ul 21, 2010( “Dodd- Fr ank”) , es t abl hedaw s t l bl w pr ogr am t hat r equi es t heCom m i s i nt opay anaw d, under r egul t i ns pr es cr i edby t heCom m i s i nands ubj ct t ocer t ai l i at i ns , t oel i l w s t l bl w s w vol nt ar i pr ovi et heCom m i s i nw hor i i al f or m at i nabout avi l t i nof t heFeder al ecur i i s l w t hat l ads t ot hes ucces s f ul or cem ent of acover edj di i l adm i i t r at i eact i n, or ar el t edact i n. Dodd- Fr ank al opr ohi i s r et al t i nby em pl yer s agai s t i di i ual w pr ovi et heCom m i s i nw hi f or m at i nabout pos s i l s ecur i i s vi l t i ns .
                                                                                                                                                                                                                                                                                                                                                                                                o                   te                                             te          te       s e o er           v                 o                         St
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    Exemptions for Security-Based Swaps, Certain Clearing Agencies      76 FR 34920   SEC                                                   W e are propos ing exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trus t Indenture Act of 1939 for s ecurity-bas ed s waps is s ued by certain clearing agencies s atis fying certain conditions . The propos ed rules would exempt trans actions by clearing agencies in thes e s ecurity-bas ed s waps from all provis ions of the Securities Act, other than the Section 17(a) anti-fraud provis ions , as well as exempt thes e s ecurity-bas ed s waps from Exchange Act regis tration requirements and from the provis ions of the Trus t Indenture Act, provided certain conditions are met.
       Temporary Exemptions and Other Temporary Relief               76 FR 36287           SEC                                                           The Securities and Exchange Commis s ion (“Commis s ion”) is is s uing an exemptive order granting temporary exemptive relief and other temporary relief from compliance with certain provis ions of the Securities Exchange Act of 1934 (“Exchange Act”) concerning s ecurity-bas ed s waps . The Commis s ion als o is providing guidance regarding compliance with other provis ions of the Exchange Act concerning s ecurity-bas ed s waps that were amended or added by the Dodd-Frank W all Street Reform and Cons umer Protection Act of 2010 (“Dodd-Frank Act”) and reques ting comments on s uch guidance and the temporary relief granted.




                     Broker-Dealer Reports                           76 FR 37572           SEC                                                                                                                                                                  te                     s o                 s o s               n
                                                                                                                                                                                                                                                       TheSecur i i s andExchangeCom m i s i n( t he“Com m i s i n”) i pr opos i gam endm ent s t ot hebr oker - deal r f i anci l epor t i gr ul under t heSecur i i s ExchangeAct of 1934( t he“ExchangeAct ”) . Thef i s t s et of am endm ent s w d, am ongot her t hi gs , updat et heexi t i gr equi em ent s of ExchangeAct Rul 17a- 5, f aci at et heabi y of t hePubl Com pany Account i gOver s i ht Boar d( t he“PCAOB”) t oi pl m ent over s i ht of i dependent publ account ant s of br oker - deal r s as r equi edby t heDodd- Fr ank W al r eet Ref or m andCons um er Pr ot ect i nAct ( t he“Dodd- Fr ank Act ”) , andel i at epot ent i l r edundant r equi em ent s f or cer t ai br oker - deal r s af f i t edw h, or dual - r egi t er edas , i ves t m ent advi er s . Thes econds et of am endm ent s w dr equi ebr oker - deal r s t hat ei her cl ar t r ans act i ns or car r y cus t om er account s t ocons ent t oal w gt heCom m i s i nanddes i nat edexam i i gaut hor i i s ( “DEAs ”) t ohaveacces s t oi dependent publ account ant s t odi cus s t hei f i di gs w hr es pect t oannual t s of t hebr o
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Exemptions for Advisers to Venture Capital Funds, Private Advisers   76 FR 39646           SEC          Th e Se cu ri ti e s an d Exch an ge C o mmi ssi o n (th e “C o mmi ssi o n ”) i s ad o p ti n g ru l e s to i mp l e me n t n e w e xe mp ti o n s fro m th e re gi strati o n re q u i re me n ts o f th e In ve stme n t Ad vi se rs Act o f 1 9 4 0 fo r ad vi se rs to ce rtai n p ri vate l y o ffe re d i n ve stme n t fu n d s; th e se e xe mp ti o n s we re e n acte d as p art o f th e Do d d -Fran k W al l Stre e t R e fo rm an d C o n su me r P ro te cti o n Act (th e “Do d d -Fran k Act”). As re q u i re d b y Ti tl e IV o f th e Do d d -Fran k Act—th e P ri vate Fu n d In ve stme n t Ad vi se rs R e gi strati o n Act o f 2 0 1 0 —th e n e w ru l e s d e fi n e “ve n tu re cap i tal fu n d ” an d p ro vi d e an e xe mp ti o n fro m re gi strati o n fo r ad vi se rs wi th l e ss th an $ 1 5 0 mi l l i o n i n p ri vate fu n d asse ts u n d e r man age me n t i n th e Un i te d State s. Th e n e w ru l e s al so cl ari fy th e me an i n g o f ce rtai n te rms i n cl u d e d i n a n e w e xe mp ti o n fro m re gi strati o n fo r “fo re i gn p ri vate ad vi se rs.”




Extension of Temporary Exemptions, Eligible Credit Default Swaps     76 FR 40223           SEC                                                                                   We are extending the expiration dates in our temporary rules that provide exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for certain credit default swaps in order to continue facilitating the operation of one or more central counterparties for those credit default swaps as we consider rules implementing the clearing provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act.




    Risk-Based Capital Standards: Advanced Capital Adequacy          76 FR 12611   Thrift Supervision                                                                          The Office of Thrift Supervision (OTS) proposes to: Amend its advanced risk-based capital adequacy standards (advanced approaches rules)1 to be consistent with certain provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Act)2 and amend the general risk-based capital rules3 to provide limited flexibility consistent with section 171(b) of the Act for recognizing the relative risk of certain assets generally not held by depository institutions.
                                                                                                                                                                                                      Cost (Millions)   CBO Mandate   Law      Link     Calculation
                                                                                                                                                                                                                                       X    http://federalregister.gov/a/2011-13256
                                                                                                                                                                                                                                            http://federalregister.gov/a/2011-15984
                                                                                                                                                                                                                                            http://federalregister.gov/a/2010-20567
                                                                                                                                                                                                                                       X    http://www.federalregister.gov/a/2010-21729/p-120
                                                                                                                                                                                                                                       X    http://federalregister.gov/a/2010-21726
                                                                                                                                                                                                                                            http://federalregister.gov/a/2010-24198
                                                                                                                                                                                                                                            http://federalregister.gov/a/2010-25322
                                                                                                                                                                                                                                       X    http://federalregister.gov/a/2010-25325
                                                                                                                                                                                                                                            http://federalregister.gov/a/2010-26220
                                                                                                                                                                                                                                            http://www.federalregister.gov/a/2010-26951/p-128
                                                                                                                                                                                                                                            http://federalregister.gov/a/2010-26912
                                                                                                                                                                                                                                            http://www.federalregister.gov/a/2010-26893/p-147
                                                                                                                                                                                                                                            http://federalregister.gov/a/2010-27555
                                                                                                                                                                                                                                            http://www.federalregister.gov/a/2010-27538/p-76
ese proposed rules apply to the review of swaps by the Commission to determine whether the swaps are required to be cleared.                                                                                                                http://www.federalregister.gov/a/2010-27532/p-64
                                                                                                                                                                                                                                            http://www.federalregister.gov/a/2010-27533/p-135
                                                                                                                                                                                                                                            http://federalregister.gov/a/2010-27547
                                                                                                                                                                                                                                            http://www.federalregister.gov/a/2010-27657/p-239
                                                                                                                                                                                                                                            http://www.federalregister.gov/a/2010-27541/p-108
                                                                                                                                                                                                                                            http://www.federalregister.gov/a/2010-29003/p-78
                                                                                                                                                                                                           6.2                              http://www.federalregister.gov/a/2010-29021/p-105
                                                                                                                                                                                                                                            http://www.federalregister.gov/a/2010-29023/p-220
                                                                                                                                                                                                                                            http://www.federalregister.gov/a/2010-29024/p-181
participants (MSPs) for the purpose of ensuring that such persons implement adequate policies and procedures in compliance with the Commodity Exchange Act (CEA), as amended by the Dodd-Frank Act.                                         http://www.federalregister.gov/a/2010-29006/p-76
                                                                                                                                                                                                           6.1                              http://www.federalregister.gov/a/2010-29009/p-121
                                                                                                                                                                                                                                            http://www.federalregister.gov/a/2010-29836/p-68
                                                                                                                                                                                                           3.5                              http://www.federalregister.gov/a/2010-29831/p-92
                                                                                                                                                                                                                                            http://www.federalregister.gov/a/2010-29022/p-184
                                                                                                                                                                                                                                            http://www.federalregister.gov/a/2010-29994/p-485
                                                                                                                                                                                                                                            http://www.federalregister.gov/a/2010-30476/p-401
                                                                                                                                                                                                                                            http://www.federalregister.gov/a/2010-30884/p-128
                                                                                                                                                                                                                                            http://www.federalregister.gov/a/2010-31029/p-196
                                                                                                                                                                                                                                            http://www.federalregister.gov/a/2010-31131/p-181
        X   http://www.federalregister.gov/a/2010-31579/p-68
            http://www.federalregister.gov/a/2010-31130/p-454
            http://www.federalregister.gov/a/2010-31458/p-543
            http://www.federalregister.gov/a/2010-31588/p-404
            http://www.federalregister.gov/a/2010-31578/p-119
            http://www.federalregister.gov/a/2010-31133/p-534
            http://www.federalregister.gov/a/2010-31943/p-436
            http://www.federalregister.gov/a/2010-32264/p-205
            http://www.federalregister.gov/a/2010-31898/p-248
            http://www.federalregister.gov/a/2010-32358/p-415
            http://www.federalregister.gov/a/2011-690/p-461
            http://www.federalregister.gov/a/2011-1154/p-154
            http://www.federalregister.gov/a/2011-1685/p-190
            http://www.federalregister.gov/a/2011-2642/p-113
            http://www.federalregister.gov/a/2011-2643/p-189
46.0                     30.2+15.8
            http://www.federalregister.gov/a/2011-2175/p-358
            http://federalregister.gov/a/2011-2437
            http://www.federalregister.gov/a/2011-4657/p-50
            http://www.federalregister.gov/a/2011-4799/p-51
            http://www.federalregister.gov/a/2011-4707/p-131
            http://federalregister.gov/a/2011-6399
            http://www.federalregister.gov/a/2011-9446/p-155
            http://www.federalregister.gov/a/2011-9598/p-262
            http://www.federalregister.gov/a/2011-10881/p-288
            http://www.federalregister.gov/a/2011-11008/p-933
            http://www.federalregister.gov/a/2011-12270/p-265
136.0       http://www.federalregister.gov/a/2011-10737/p-236
            http://www.federalregister.gov/a/2011-15195/p-104
            http://federalregister.gov/a/2011-12859
        X   http://federalregister.gov/a/2010-28627
            http://federalregister.gov/a/2010-26049
            http://federalregister.gov/a/2010-27036
        X   http://federalregister.gov/a/2011-1732
        X   http://federalregister.gov/a/2011-3086
                                                                                                                                                                                                                                                                                                   http://federalregister.gov/a/2011-6705
in interpreting a recent s tatutory amendment that provides temporary, unlimited depos it ins urance coverage for noninteres t-bearing trans action accounts , the FDIC als o propos es to retain and move the definition of “interes t” into the depos it ins urance regulations .                http://federalregister.gov/a/2011-9210
                                                                                                                                                                                                                                                                                                   http://federalregister.gov/a/2011-11853
ers. The Board seeks comment on all aspects of the interim final rule.                                                                                                                                                                                                                         X   http://federalregister.gov/a/2010-26671
                                                                                                                                                                                                                                                                                                   http://federalregister.gov/a/2010-31529
                                                                                                                                                                                                                                                                                                   http://federalregister.gov/a/2010-31530
                                                                                                                                                                                                                                                                                                   http://federalregister.gov/a/2011-2978
                                                                                                                                                                                                                                                                                               X   http://federalregister.gov/a/2011-3199
                                                                                                                                                                                                                                                                                               X   http://federalregister.gov/a/2011-4384
                                                                                                                                                                                                                                                                                       45.6        http://www.federalregister.gov/a/2011-5413/p-96
                                                                                                                                                                                                                                                                                               X   http://federalregister.gov/a/2011-7377
                                                                                                                                                                                                                                                                                               X   http://federalregister.gov/a/2011-7376
                                                                                                                                                                                                                                                                                                   http://federalregister.gov/a/2011-7812
                                                                                                                                                                                                                                                                                       26.5        http://www.federalregister.gov/a/2011-7937/p-377
                                                                                                                                                                                                                                                                                                   http://federalregister.gov/a/2011-9002
                                                                                                                                                                                                                                                                                                   http://federalregister.gov/a/2011-9357
                                                                                                                                                                                                                                                                                                   http://www.federalregister.gov/a/2011-9766/p-1042
                                                                                                                                                                                                                                                                                                   http://federalregister.gov/a/2011-10432
viding consumers with disclosures and error resolution rights. The proposed amendments implement statutory requirements set forth in the Dodd-Frank Wall Street Reform and Consumer Protection Act.                                                                                                http://federalregister.gov/a/2011-12019
                                                                                                                                                                                                                                                                                                   http://www.federalregister.gov/a/2011-14831/p-154
                                                                                                                                                                                                                                                                                               X   http://federalregister.gov/a/2011-15178
                                                                                                                                                                                                                                                                                               X   http://federalregister.gov/a/2011-15180
                                                                                                                                                                                                                                                                                                   http://federalregister.gov/a/2011-15654
                                                                                                                                                                                                                                                                                               X   http://federalregister.gov/a/2011-15669
                                                                                                                                                                                                                                                                                               X   http://federalregister.gov/a/2011-12358
                                                                                                                                                                                                                                                                                                   http://www.federalregister.gov/a/2011-1551/p-132
                                                                                                                                                                                                                                                                                                   http://federalregister.gov/a/2011-7003
                                                                                                                                                                                                                                                                                      165.86   X          87.3+11.3+23.96+43.3
                                                                                                                                                                                                                                                                                                   http://www.federalregister.gov/a/2011-4816/p-43
                                                                                                                                                                                                                                                                                                   http://www.federalregister.gov/a/2011-8364/p-985
                                                                                                                                                                                                                                                                                               X   http://federalregister.gov/a/2011-16856
                                                                                                                                                                                                                                                                                                   http://federalregister.gov/a/2010-32129
                                                                                                                                                                                                                                                                                                   http://federalregister.gov/a/2011-4070
                                                                                                                                                                                                                                                                                                   http://www.federalregister.gov/a/2011-12826/p-27
                                                                                                                                                                                                                                                                                       13.6        http://www.federalregister.gov/a/2010-25361/p-212
13.9        http://www.federalregister.gov/a/2010-26172/p-191
56.4    X       http://www.gao.gov/decisions/majrule/d11173r.htm
                       6.2+43.9+6.3             http://www.federalregister.gov/a/2010-26217/p-150
                                                           http://www.federalregister.gov/a/2010-26217/p-154
            http://www.federalregister.gov/a/2010-26217/p-152
            http://federalregister.gov/a/2010-26315
8.1         http://www.federalregister.gov/a/2010-26535/p-367
16.0                   13.5 +2.5     http://www.federalregister.gov/a/2010-26536/p-265
            http://www.federalregister.gov/a/2010-26536/p-260
        X   http://www.federalregister.gov/a/2010-29702/p-66
            http://federalregister.gov/a/2010-29710
 79.5                  39.7 + 39.8 http://www.federalregister.gov/a/2010-29956/p-523
            http://www.federalregister.gov/a/2010-29956/p-513
245.0       http://www.federalregister.gov/a/2010-29719/p-1097
 25.9       http://www.federalregister.gov/a/2010-31973/p-290
            http://federalregister.gov/a/2010-31941
 8.2                   7.9+.249+.108
            http://www.federalregister.gov/a/2010-32085/p-373
 9.4                   .402+9.050 http://www.federalregister.gov/a/2010-32445/p-937
            http://www.federalregister.gov/a/2010-32445/p-1051
            http://www.federalregister.gov/a/2011-416/p-101
10.3                   5.4+4.9
            http://www.federalregister.gov/a/2011-1218/p-232
        X   http://www.federalregister.gov/a/2011-1199/p-62
        X   http://www.federalregister.gov/a/2011-1503/p-152
        X   http://www.federalregister.gov/a/2011-1504/p-408
            http://www.federalregister.gov/a/2011-1922/p-129
        X   http://www.federalregister.gov/a/2011-1971/p-644
            http://www.federalregister.gov/a/2011-3259/p-195
85.1                   http://www.federalregister.gov/articles/2011/02/28/2011-2696/registration-and-regulation-of-security-ba
                                     20+65.1
            http://www.federalregister.gov/a/2011-2696/p-1424
            http://federalregister.gov/a/2011-5183
0.226       http://www.federalregister.gov/a/2011-5184/p-227
 8.5        http://www.federalregister.gov/a/2011-5182/p-635
        X   http://federalregister.gov/a/2011-14572
            http://www.federalregister.gov/a/2011-6940/p-72
 3.1        http://www.federalregister.gov/a/2011-7948/p-364
            http://www.federalregister.gov/a/2011-10619/p-367
            http://www.federalregister.gov/a/2011-11801/p-109
            http://www.federalregister.gov/a/2011-13370/p-383
115.5       http://www.federalregister.gov/a/2011-12659/p-2274
        X   http://www.federalregister.gov/a/2011-13382/p-976
            http://www.federalregister.gov/a/2011-14717/p-208
         X   http://federalregister.gov/a/2011-15432
129.66                    45.7+14.2+.660+69.1
             http://www.federalregister.gov/a/2011-15341/p-505
 0.35    X       http://www.federalregister.gov/a/2011-16118/p-965
                        .110+.120+.120
             http://www.federalregister.gov/a/2011-16118/p-836
         X   http://www.federalregister.gov/a/2011-17132/p-81
             http://federalregister.gov/a/2011-5011

				
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