{"description":"Documents matching 'risk fiduciary control governance under'","count":778,"total_pages":39,"next_page_url":"https://www.federalregister.gov/api/v1/documents?conditions%5Bterm%5D=risk+fiduciary+control+governance+under&format=json&page=2","results":[{"title":"Self-Governance PROGRESS Act Regulations","type":"Rule","abstract":"The U.S. Department of the Interior (Department), Office of the Assistant Secretary for Indian Affairs, is issuing revisions to the regulations that implement Tribal Self-Governance, as authorized by title IV of the Indian Self Determination and Education Assistance Act. This final rule has been negotiated among representatives of Self- Governance and non-Self Governance Tribes and the Department.","document_number":"2024-28302","html_url":"https://www.federalregister.gov/documents/2024/12/11/2024-28302/self-governance-progress-act-regulations","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2024-12-11/pdf/2024-28302.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2024-28302.pdf?1733751917","publication_date":"2024-12-11","agencies":[{"raw_name":"DEPARTMENT OF THE INTERIOR","name":"Interior Department","id":253,"url":"https://www.federalregister.gov/agencies/interior-department","json_url":"https://www.federalregister.gov/api/v1/agencies/253","parent_id":null,"slug":"interior-department"},{"raw_name":"Bureau of Indian Affairs","name":"Indian Affairs Bureau","id":234,"url":"https://www.federalregister.gov/agencies/indian-affairs-bureau","json_url":"https://www.federalregister.gov/api/v1/agencies/234","parent_id":253,"slug":"indian-affairs-bureau"}],"excerpts":"operated under a funding agreement before the agreement expires.\n \n \n Secretary \n means the Secretary of the Interior or his or her designee authorized to act on the behalf of the Secretary as to the matter at hand.\n \n \n Self-determination contract \n means a self-determination contract entered into under 25 U.S.C. 5321.\n \n \n Self-governance \n means the Tribal Self-Governance Program established under 25 U.S.C. 5362.\n \n \n Self-governance Tribe/Consortium \n means a Tribe or Consortium that has been selected to participate in self-governance. May also"},{"title":"Self-Governance PROGRESS Act Regulations","type":"Proposed Rule","abstract":"The U.S. Department of the Interior (Department), Office of the Assistant Secretary for Indian Affairs, proposes to revise the regulations that implement Tribal Self-Governance, as authorized by title IV of the Indian Self Determination and Education Assistance Act. This proposed rule has been negotiated among representatives of Self- Governance and non-Self Governance Tribes and the Department.","document_number":"2024-14862","html_url":"https://www.federalregister.gov/documents/2024/07/15/2024-14862/self-governance-progress-act-regulations","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2024-07-15/pdf/2024-14862.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2024-14862.pdf?1720788321","publication_date":"2024-07-15","agencies":[{"raw_name":"DEPARTMENT OF THE INTERIOR","name":"Interior Department","id":253,"url":"https://www.federalregister.gov/agencies/interior-department","json_url":"https://www.federalregister.gov/api/v1/agencies/253","parent_id":null,"slug":"interior-department"},{"raw_name":"Bureau of Indian Affairs","name":"Indian Affairs Bureau","id":234,"url":"https://www.federalregister.gov/agencies/indian-affairs-bureau","json_url":"https://www.federalregister.gov/api/v1/agencies/234","parent_id":253,"slug":"indian-affairs-bureau"}],"excerpts":"operated under a funding agreement before the agreement expires.\n \n \n Secretary \n means the Secretary of the Interior or his or her designee authorized to act on the behalf of the Secretary as to the matter at hand.\n \n \n Self-determination contract \n means a self-determination contract entered into under 25 U.S.C. 5321.\n \n \n Self-governance \n means the Tribal Self-Governance Program established under 25 U.S.C. 5362.\n \n \n Self-governance Tribe/Consortium \n means a Tribe or Consortium that has been selected to participate in self-governance. May also"},{"title":"Proposed Revisions to the Federal Reserve Policy on Payment System Risk and the Guidelines for Account and Services Requests","type":"Notice","abstract":"The Board of Governors of the Federal Reserve System (Board) is issuing a notice and request for comment on proposed revisions to the Federal Reserve Policy on Payment System Risk (PSR Policy), including the proposed addition of a new Part IV, to accommodate the provision by Reserve Banks of special-purpose accounts that would clear and settle certain payment activity (Payment Accounts). The Board is also proposing updates to its guidelines for Federal Reserve Banks (Reserve Banks) to utilize in evaluating requests for access to Reserve Bank account and services (Account Access Guidelines or Guidelines) to accommodate requests for access to Payment Accounts. Finally, the Board is encouraging Reserve Banks to pause decisions on requests for Reserve Bank accounts and services from institutions that are Tier 3 under the Account Access Guidelines until the Board has completed its policy development process on the Payment Account proposal.","document_number":"2026-10375","html_url":"https://www.federalregister.gov/documents/2026/05/26/2026-10375/proposed-revisions-to-the-federal-reserve-policy-on-payment-system-risk-and-the-guidelines-for","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-05-26/pdf/2026-10375.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2026-10375.pdf?1779453911","publication_date":"2026-05-26","agencies":[{"raw_name":"FEDERAL RESERVE SYSTEM","name":"Federal Reserve System","id":188,"url":"https://www.federalregister.gov/agencies/federal-reserve-system","json_url":"https://www.federalregister.gov/api/v1/agencies/188","parent_id":null,"slug":"federal-reserve-system"}],"excerpts":"requesting a Payment Account is not a “bank” under the BSA, a Reserve Bank should conduct a more extensive review of the institution's illicit finance risk. The Board is considering whether it would be appropriate to review access requests from institutions that do not meet the definition of a “bank” under the BSA under the full tiered review framework that applies to Master Account requests. These institutions may raise novel risks under the Account Access Guidelines, including but not limited to illicit finance risk.\n \n \n The Board does not believe that"},{"title":"Clearing Agency Governance and Conflicts of Interest","type":"Rule","abstract":"The Securities and Exchange Commission (\"Commission\") is adopting rules under the Securities Exchange Act of 1934 (\"Exchange Act\") to improve the governance of clearing agencies registered with the Commission (\"registered clearing agencies\") by reducing the likelihood that conflicts of interest may influence the board of directors or equivalent governing body (\"board\") of a registered clearing agency. The rules identify certain responsibilities of the board, increase transparency into board governance, and, more generally, improve the alignment of incentives among owners and participants of a registered clearing agency. In support of these objectives, the rules establish new requirements for board and committee composition, independent directors, management of conflicts of interest, and board oversight.","document_number":"2023-25807","html_url":"https://www.federalregister.gov/documents/2023/12/05/2023-25807/clearing-agency-governance-and-conflicts-of-interest","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2023-12-05/pdf/2023-25807.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2023-25807.pdf?1701697517","publication_date":"2023-12-05","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"excerpts":"directly or indirectly controls, is controlled by, or is under common control with the registered clearing agency. Proposed Rule 17Ad-25(b)(2) would require that a registered clearing agency broadly consider all the relevant facts and circumstances, including under proposed Rule 17Ad-25(g), on an ongoing basis, to affirmatively determine that a director does not have a material relationship with the registered clearing agency or an affiliate of the registered clearing agency, and is not precluded from being an independent director under proposed Rule 17Ad-25(f)"},{"title":"Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Governance Playbook and Seventh Amended and Restated Operating Agreement","type":"Notice","abstract":null,"document_number":"2024-29038","html_url":"https://www.federalregister.gov/documents/2024/12/11/2024-29038/self-regulatory-organizations-ice-clear-credit-llc-notice-of-filing-and-order-granting-accelerated","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2024-12-11/pdf/2024-29038.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2024-29038.pdf?1733838324","publication_date":"2024-12-11","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"excerpts":"required to be independent (\n i.e., \n either a Parent Independent Manager \n 4 \n \n or a Risk Committee Independent Manager \n 5 \n \n ). Two of the members of the Nominating Committee will be required to be Managers nominated to the Board by the Risk Committee, and one of these Risk Committee nominees will be required to be a Risk Committee Independent Manager, and the other Risk Committee nominee is not required to be an independent (\n i.e., \n they may be a Risk Committee Non-Independent Manager \n 6 \n \n ). The chairperson of the \n \n Nominating Committee"},{"title":"Guidelines Establishing Standards for Corporate Governance and Risk Management for Covered Institutions With Total Consolidated Assets of $10 Billion or More","type":"Proposed Rule","abstract":"The Federal Deposit Insurance Corporation (FDIC) is seeking comment on proposed corporate governance and risk management guidelines (Guidelines) that would apply to all insured state nonmember banks, state-licensed insured branches of foreign banks, and insured state savings associations that are subject to Section 39 of the Federal Deposit Insurance Act (FDI Act), with total consolidated assets of $10 billion or more on or after the effective date of the final Guidelines. These proposed Guidelines would be issued as Appendix C to FDIC's standards for safety and soundness regulations in part 364, pursuant to Section 39 of the FDI Act, and would be enforceable under Section 39. The FDIC also proposes to make corresponding amendments to parts 308 and 364 of its regulations to implement the proposed Guidelines.","document_number":"2023-22421","html_url":"https://www.federalregister.gov/documents/2023/10/11/2023-22421/guidelines-establishing-standards-for-corporate-governance-and-risk-management-for-covered","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2023-10-11/pdf/2023-22421.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2023-22421.pdf?1696941919","publication_date":"2023-10-11","agencies":[{"raw_name":"FEDERAL DEPOSIT INSURANCE CORPORATION","name":"Federal Deposit Insurance Corporation","id":164,"url":"https://www.federalregister.gov/agencies/federal-deposit-insurance-corporation","json_url":"https://www.federalregister.gov/api/v1/agencies/164","parent_id":null,"slug":"federal-deposit-insurance-corporation"}],"excerpts":"objective assessment of the institution's risks, and based on that risk profile, the board should establish written limits and levels of risks that the institution will accept. The independent risk management unit should develop the risk management program based on the risk profile of the institution and the risk appetite statement. At least annually and as the risks of the institution change, whether by internal or external factors, the risk management unit should review and update the risk management program. These proposed Guidelines provide the FDIC's"},{"title":"Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure","type":"Rule","abstract":"The Securities and Exchange Commission (\"Commission\") is adopting new rules to enhance and standardize disclosures regarding cybersecurity risk management, strategy, governance, and incidents by public companies that are subject to the reporting requirements of the Securities Exchange Act of 1934. Specifically, we are adopting amendments to require current disclosure about material cybersecurity incidents. We are also adopting rules requiring periodic disclosures about a registrant's processes to assess, identify, and manage material cybersecurity risks, management's role in assessing and managing material cybersecurity risks, and the board of directors' oversight of cybersecurity risks. Lastly, the final rules require the cybersecurity disclosures to be presented in Inline eXtensible Business Reporting Language (\"Inline XBRL\").","document_number":"2023-16194","html_url":"https://www.federalregister.gov/documents/2023/08/04/2023-16194/cybersecurity-risk-management-strategy-governance-and-incident-disclosure","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2023-08-04/pdf/2023-16194.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2023-16194.pdf?1691070880","publication_date":"2023-08-04","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"excerpts":"to cybersecurity risks and cyber incidents, a number of disclosure requirements may impose an obligation on registrants to disclose such risks and incidents,” and further that “material information regarding cybersecurity risks and cyber incidents is required to be disclosed when necessary in order to make other required disclosures, in light of the circumstances under which they are made, not misleading.” \n 5 \n \n The guidance pointed specifically to disclosure obligations under 17 CFR 229.503 (Regulation S-K “Item 503(c)”) (Risk factors) (since"},{"title":"Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to the Clearing Rules, Risk Management Framework, Governance Playbook and Sixth Amended and Restated Operating Agreement","type":"Notice","abstract":null,"document_number":"2024-19878","html_url":"https://www.federalregister.gov/documents/2024/09/05/2024-19878/self-regulatory-organizations-ice-clear-credit-llc-notice-of-filing-of-proposed-rule-change-as","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2024-09-05/pdf/2024-19878.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2024-19878.pdf?1725453923","publication_date":"2024-09-05","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"excerpts":"Committee and the Risk Advisory Working Group will provide a greater opportunity for meaningful participation by Non-Participant Parties in ICC's governance process than was afforded by the Advisory Committee in practice (even though it may have had more members and even though the Risk Advisory Working Group does not directly consult with the Board). \n The subsection on Risk would be updated to reflect the role of the Risk Advisory Working Group, to provide risk-based feedback to ICC on all matters that could materially affect the risk profile of ICC as"},{"title":"Federal Home Loan Bank System Boards of Directors and Executive Management","type":"Proposed Rule","abstract":"The Federal Housing Finance Agency (FHFA or the Agency) is proposing to revise regulations addressing boards of directors and overall corporate governance of the Federal Home Loan Banks (Banks) and the Bank System's Office of Finance (OF) to update and clarify regulatory requirements on a variety of topics including: FHFA's annual designation of Bank directorships; Bank director eligibility and professional qualifications; nomination, election, and removal of Bank directors; the conduct of System board and committee meetings; conflicts of interest; and the respective responsibilities of System boards of directors and executive management.","document_number":"2024-24767","html_url":"https://www.federalregister.gov/documents/2024/11/04/2024-24767/federal-home-loan-bank-system-boards-of-directors-and-executive-management","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2024-11-04/pdf/2024-24767.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2024-24767.pdf?1730465115","publication_date":"2024-11-04","agencies":[{"raw_name":"FEDERAL HOUSING FINANCE AGENCY","name":"Federal Housing Finance Agency","id":174,"url":"https://www.federalregister.gov/agencies/federal-housing-finance-agency","json_url":"https://www.federalregister.gov/api/v1/agencies/174","parent_id":null,"slug":"federal-housing-finance-agency"}],"excerpts":"to serve. As discussed above with respect to the background check required under § 1261.7(e), a Bank's board must retain the ability to address the directorship status of individuals \n \n who may pose a material risk to the Bank to fulfill its fiduciary duty to protect the Bank's interests. Proposed § 1261.8(e)(4) would authorize and require a Bank to prevent the seating of a director if it obtains information indicating the individual poses a material and unacceptable risk to the Bank that was not available to it at the time it conducted the required"},{"title":"Guidance for Resolution Plan Submissions of Domestic Triennial Full Filers","type":"Notice","abstract":"The Board and the FDIC (together, the agencies) are adopting this final guidance for the 2025 and subsequent resolution plan submissions by certain domestic banking organizations. The final guidance is meant to assist these firms in developing their resolution plans, which are required to be submitted under the Dodd-Frank Wall Street Reform and Consumer Protection Act, as amended (the Dodd-Frank Act), and the jointly issued implementing regulation (the Rule). The scope of application of the final guidance is domestic triennial full filers (specified firms or firms), which are domestic Category II and III banking organizations. The final guidance describes the agencies' expectations, depending on the resolution strategy chosen by the firm, regarding a number of key vulnerabilities in plans for an orderly resolution under the U.S. Bankruptcy Code (i.e., capital; liquidity; governance mechanisms; operational; legal entity rationalization; and insured depository institution (IDI) resolution, if applicable). The final guidance modifies and clarifies certain aspects of the proposed guidance based on the agencies' consideration of comments to the proposal, additional analysis, and further assessment of the business and risk profiles of the firms.","document_number":"2024-18191","html_url":"https://www.federalregister.gov/documents/2024/08/15/2024-18191/guidance-for-resolution-plan-submissions-of-domestic-triennial-full-filers","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2024-08-15/pdf/2024-18191.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2024-18191.pdf?1723639525","publication_date":"2024-08-15","agencies":[{"raw_name":"FEDERAL RESERVE SYSTEM","name":"Federal Reserve System","id":188,"url":"https://www.federalregister.gov/agencies/federal-reserve-system","json_url":"https://www.federalregister.gov/api/v1/agencies/188","parent_id":null,"slug":"federal-reserve-system"},{"raw_name":"FEDERAL DEPOSIT INSURANCE CORPORATION","name":"Federal Deposit Insurance Corporation","id":164,"url":"https://www.federalregister.gov/agencies/federal-deposit-insurance-corporation","json_url":"https://www.federalregister.gov/api/v1/agencies/164","parent_id":null,"slug":"federal-deposit-insurance-corporation"}],"excerpts":"IV. Governance Mechanisms \n SPOE \n \n Playbooks and Triggers. \n A firm should identify the governance mechanisms that would ensure execution of required board actions at the appropriate time (as anticipated under the firm's preferred strategy) and include pre-action triggers and existing agreements for such actions. Governance playbooks should detail the board and senior management actions necessary to facilitate the firm's preferred strategy and to mitigate vulnerabilities, and should incorporate the triggers identified below. The governance playbooks"},{"title":"Cyber Risk Management","type":"Rule","abstract":"The Farm Credit Administration (FCA, we, or our) rescinds and revises its regulations to reflect developments in cyber risk and continuously evolving business practices. We rename the regulations \"Cyber Risk Management.\" The final rule requires each Farm Credit System (System or FCS) institution to implement a comprehensive, written cyber risk management program consistent with the size, risk profile, and complexity of the institution's operations.","document_number":"2023-27102","html_url":"https://www.federalregister.gov/documents/2023/12/11/2023-27102/cyber-risk-management","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2023-12-11/pdf/2023-27102.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2023-27102.pdf?1702043126","publication_date":"2023-12-11","agencies":[{"raw_name":"FARM CREDIT ADMINISTRATION","name":"Farm Credit Administration","id":154,"url":"https://www.federalregister.gov/agencies/farm-credit-administration","json_url":"https://www.federalregister.gov/api/v1/agencies/154","parent_id":null,"slug":"farm-credit-administration"}],"excerpts":"institutions can mitigate challenges and risks through good governance and effective risk management. Strong governance principles and appropriate risk management practices, implemented through sound internal controls, can safeguard against a variety of risks, including those stemming from adopting new technology. However, an institution should never sacrifice safety and soundness for innovation. \n These cyber risk management regulations encourage System institutions to implement and develop effective and sound cyber risk management program solutions. We"},{"title":"Paxos Securities Settlement Company, LLC; Order Granting an Application for Temporary Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934","type":"Notice","abstract":null,"document_number":"2026-10808","html_url":"https://www.federalregister.gov/documents/2026/05/29/2026-10808/paxos-securities-settlement-company-llc-order-granting-an-application-for-temporary-registration-as","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-05-29/pdf/2026-10808.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2026-10808.pdf?1779972329","publication_date":"2026-05-29","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"excerpts":"\n \n PSSC would also apply a “credit risk rating” to each participant.\n 131 \n \n The credit risk rating would be based on PSSC's credit risk rating matrix, which would evaluate the credit risk posed by participants to each other.\n 132 \n \n PSSC Rules also describe the procedures related to the determination and use of the credit risk rating, including the process by which the Board approves such rating, participant appeal rights, access to potential CP Pair credit risk ratings, requests for increased credit risk rating, annual PAC review of rating"},{"title":"Guidance for Resolution Plan Submissions of Foreign Triennial Full Filers","type":"Notice","abstract":"The Board and the FDIC (together, the agencies) are adopting this final guidance for the 2025 and subsequent resolution plan submissions by certain foreign banking organizations (FBOs). The final guidance is meant to assist these firms in developing their resolution plans, which are required to be submitted under the Dodd-Frank Wall Street Reform and Consumer Protection Act, as amended (the Dodd-Frank Act), and the jointly issued implementing regulation (the Rule). The scope of application of the final guidance is foreign triennial full filers (specified firms or firms), which are foreign Category II and III banking organizations, and the guidance supersedes the joint Guidance for Resolution Plan Submissions of Certain Foreign-Based Covered Companies. The final guidance describes the agencies' expectations, depending on the resolution strategy chosen by the firm, regarding a number of key vulnerabilities in plans for an orderly resolution under the U.S. Bankruptcy Code (i.e., group resolution plan; capital; liquidity; governance mechanisms; operational; legal entity rationalization and separability; branches; and insured depository institution (IDI) resolution, if applicable). The final guidance modifies and clarifies certain aspects of the proposed guidance based on the agencies' consideration of comments to the proposal, additional analysis, and further assessment of the business and risk profiles of the firms.","document_number":"2024-18186","html_url":"https://www.federalregister.gov/documents/2024/08/15/2024-18186/guidance-for-resolution-plan-submissions-of-foreign-triennial-full-filers","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2024-08-15/pdf/2024-18186.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2024-18186.pdf?1723639524","publication_date":"2024-08-15","agencies":[{"raw_name":"FEDERAL RESERVE SYSTEM","name":"Federal Reserve System","id":188,"url":"https://www.federalregister.gov/agencies/federal-reserve-system","json_url":"https://www.federalregister.gov/api/v1/agencies/188","parent_id":null,"slug":"federal-reserve-system"},{"raw_name":"FEDERAL DEPOSIT INSURANCE CORPORATION","name":"Federal Deposit Insurance Corporation","id":164,"url":"https://www.federalregister.gov/agencies/federal-deposit-insurance-corporation","json_url":"https://www.federalregister.gov/api/v1/agencies/164","parent_id":null,"slug":"federal-deposit-insurance-corporation"}],"excerpts":" F. Governance Mechanisms \n \n The agencies proposed separate governance mechanisms expectations based on a firm's preferred resolution strategy. Specified firms that use an SPOE resolution strategy would have been expected to develop an adequate governance structure with triggers that identify the onset, continuation, and increase of financial stress to ensure that \n \n there is sufficient time to prepare for resolution-related actions. For specified firms that adopt a U.S. MPOE resolution strategy, the agencies proposed providing governance mechanisms"},{"title":"Governance Requirements for Derivatives Clearing Organizations","type":"Rule","abstract":"The Commodity Futures Trading Commission (CFTC or Commission) is adopting amendments to its rules to require derivatives clearing organizations (DCOs) to establish and consult with one or more risk management committees (RMCs) comprised of clearing members and customers of clearing members on matters that could materially affect the risk profile of the DCO. In addition, the Commission is adopting minimum requirements for RMC composition and rotation, and requiring DCOs to establish and enforce fitness standards for RMC members. The Commission is also adopting requirements for DCOs to maintain written policies and procedures governing the RMC consultation process and the role of RMC members. Finally, the Commission is adopting requirements for DCOs to establish one or more market participant risk advisory working groups (RWGs) that must convene at least two times per year, and adopt written policies and procedures related to the formation and role of the RWG.","document_number":"2023-14361","html_url":"https://www.federalregister.gov/documents/2023/07/13/2023-14361/governance-requirements-for-derivatives-clearing-organizations","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2023-07-13/pdf/2023-14361.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2023-14361.pdf?1689165914","publication_date":"2023-07-13","agencies":[{"raw_name":"COMMODITY FUTURES TRADING COMMISSION","name":"Commodity Futures Trading Commission","id":77,"url":"https://www.federalregister.gov/agencies/commodity-futures-trading-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/77","parent_id":null,"slug":"commodity-futures-trading-commission"}],"excerpts":"which requires a DCO to establish governance arrangements that are transparent, fulfill public interest requirements, and permit the consideration of the views of owners and participants,\n 4 \n \n by enhancing and standardizing DCO risk governance requirements and improving participant involvement in DCO risk management. The specific recommendations in the Proposal are consistent with recommendations made in a report by the Central Counterparty (CCP) Risk and Governance Subcommittee (Subcommittee) of the Market Risk Advisory Committee (MRAC), a discretionary"},{"title":"Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To: Amend and Restate the Seventh Amended and Restated Stockholders' Agreement of TXSE Group Inc. as the Eighth Amended and Restated Stockholders' Agreement; Adopt the Texas Certificate of Formation of TXSE Group Inc. To Replace the Sixth Amended and Restated Certification of Incorporation of TXSE Group Inc.; Adopt the Bylaws of TXSE Group Inc. To Replace the Second Amended and Restated Bylaws of TXSE Group Inc.; Adopt the Texas Certificate of Formation of the Texas Stock Exchange LLC To Replace the Delaware Certificate of Formation of the Texas Stock Exchange LLC; and Adopt the Company Agreement of the Texas Stock Exchange LLC To Replace the Third Amended and Restated Limited Liability Company Agreement of the Texas Stock Exchange LLC","type":"Notice","abstract":null,"document_number":"2026-06932","html_url":"https://www.federalregister.gov/documents/2026/04/10/2026-06932/self-regulatory-organizations-texas-stock-exchange-llc-notice-of-filing-and-immediate-effectiveness","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-04-10/pdf/2026-06932.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2026-06932.pdf?1775738710","publication_date":"2026-04-10","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"excerpts":"liability company, and a Texas corporation, respectively. By virtue of this conversion, The Exchange will convert from a limited liability company organized under the laws of the State of Delaware to a limited liability company organized under the laws of the State of Texas, and TXSE Group will convert from a corporation organized under the laws of the State of Delaware to a corporation organized under the laws of the State of Texas. In both instances all rights, privileges, powers, property, and liabilities shall vest to the newly formed entities at"},{"title":"Fair Lending, Fair Housing, and Equitable Housing Finance Plans","type":"Proposed Rule","abstract":"The Federal Housing Finance Agency (\"FHFA\" or the \"Agency\") is requesting comment on the notice of proposed rulemaking repealing the Fair Lending, Fair Housing, and Equitable Housing Finance Plans regulation.","document_number":"2025-14183","html_url":"https://www.federalregister.gov/documents/2025/07/28/2025-14183/fair-lending-fair-housing-and-equitable-housing-finance-plans","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2025-07-28/pdf/2025-14183.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2025-14183.pdf?1753447518","publication_date":"2025-07-28","agencies":[{"raw_name":"FEDERAL HOUSING FINANCE AGENCY","name":"Federal Housing Finance Agency","id":174,"url":"https://www.federalregister.gov/agencies/federal-housing-finance-agency","json_url":"https://www.federalregister.gov/api/v1/agencies/174","parent_id":null,"slug":"federal-housing-finance-agency"}],"excerpts":"establishes the board of directors responsibility for overseeing the regulated entity's overall risk management processes, ensuring management competency and that processes are in place to identify, manage, monitor, and control risk exposures.\n \n \n \n \n 29 \n \n See \n 12 CFR 1239.11(b)(2)(iii) (board risk committee responsibilities).\n \n \n \n Moreover, under recent caselaw developments, corporate directors and managers have a responsibility, under \n \n their fiduciary duties, to oversee compliance with laws that apply to their business, which could include applicable"},{"title":"Regulatory Capital Rule: Category I and II Banking Organizations, Banking Organizations With Significant Trading Activity, and Optional Adoption for Other Banking Organizations","type":"Proposed Rule","abstract":"The Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, and the Federal Deposit Insurance Corporation are proposing to modernize the capital requirements applicable to Category I and II depository institution holding companies and depository institutions, as well as revise the market risk capital framework for banking organizations with significant trading activity (the proposal). The proposal would improve the regulatory capital framework for covered banking organizations by enhancing its risk sensitivity and consistency and by simplifying core components of its design. The agencies expect the proposal would support the safety and soundness of covered banking organizations and U.S. financial stability while promoting lending and other financial intermediation activities in the banking system over a range of economic conditions.","document_number":"2026-05959","html_url":"https://www.federalregister.gov/documents/2026/03/27/2026-05959/regulatory-capital-rule-category-i-and-ii-banking-organizations-banking-organizations-with","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-03-27/pdf/2026-05959.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2026-05959.pdf?1774529111","publication_date":"2026-03-27","agencies":[{"raw_name":"DEPARTMENT OF THE TREASURY","name":"Treasury Department","id":497,"url":"https://www.federalregister.gov/agencies/treasury-department","json_url":"https://www.federalregister.gov/api/v1/agencies/497","parent_id":null,"slug":"treasury-department"},{"raw_name":"Office of the Comptroller of the Currency","name":"Comptroller of the Currency","id":80,"url":"https://www.federalregister.gov/agencies/comptroller-of-the-currency","json_url":"https://www.federalregister.gov/api/v1/agencies/80","parent_id":497,"slug":"comptroller-of-the-currency"},{"raw_name":"FEDERAL RESERVE SYSTEM","name":"Federal Reserve System","id":188,"url":"https://www.federalregister.gov/agencies/federal-reserve-system","json_url":"https://www.federalregister.gov/api/v1/agencies/188","parent_id":null,"slug":"federal-reserve-system"},{"raw_name":"FEDERAL DEPOSIT INSURANCE CORPORATION","name":"Federal Deposit Insurance Corporation","id":164,"url":"https://www.federalregister.gov/agencies/federal-deposit-insurance-corporation","json_url":"https://www.federalregister.gov/api/v1/agencies/164","parent_id":null,"slug":"federal-deposit-insurance-corporation"}],"excerpts":"Simple Approaches \n 4. Operational Risk Management \n V. Calculation of Risk-Weighted Assets Under the Market Risk Framework \n A. Market Risk \n 1. Background \n 2. Scope and Application of the Proposed Rule \n 3. Measure for Market Risk \n 4. Market Risk Covered Position \n 5. Internal Risk Transfers \n 6. General Requirements for Market Risk \n 7. Standardized Non-Default Capital Requirement \n 8. Models-Based Non-Default Capital Requirement \n 9. Default Risk Capital Requirement \n 10. Treatment of Certain Market Risk Covered Positions \n 11. Reporting and"},{"title":"Organization, Functions, and Delegations of Authority; Part G; Indian Health Service; Headquarters, Office of the Director, Office of Quality","type":"Notice","abstract":"Part G of the Statement of Organization, Functions, and Delegations of Authority of the Department of Health and Human Services (HHS) is hereby amended to reflect a reorganization of the Indian Health Service (IHS). The purpose of this reorganization proposal is to update the current approved IHS, Office of the Director (GA), Congressional and Legislative Affairs Staff (GA1) and the Office of Quality (GAP) in their entirety and replace with the following:","document_number":"2024-31273","html_url":"https://www.federalregister.gov/documents/2024/12/30/2024-31273/organization-functions-and-delegations-of-authority-part-g-indian-health-service-headquarters-office","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2024-12-30/pdf/2024-31273.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2024-31273.pdf?1735307161","publication_date":"2024-12-30","agencies":[{"raw_name":"DEPARTMENT OF HEALTH AND HUMAN SERVICES","name":"Health and Human Services Department","id":221,"url":"https://www.federalregister.gov/agencies/health-and-human-services-department","json_url":"https://www.federalregister.gov/api/v1/agencies/221","parent_id":null,"slug":"health-and-human-services-department"},{"raw_name":"Indian Health Service","name":"Indian Health Service","id":237,"url":"https://www.federalregister.gov/agencies/indian-health-service","json_url":"https://www.federalregister.gov/api/v1/agencies/237","parent_id":221,"slug":"indian-health-service"}],"excerpts":"development of risk policy, including a risk appetite statement, to guide Agency decision-making and documentation related to risk; (4) advises and collaborates in the development of the IHS ERM portfolio of enterprise risks and ensures appropriate and effective management by accountable individual risk owners; (5) integrates risk assessment activities across the IHS risk portfolio; (6) advises on ERM and provides expertise, advice, and assistance to the agency leadership on compliance matters; (7) provides guidance and training on the risk management"},{"title":"Suitability and Fitness","type":"Rule","abstract":"The Office of Personnel Management (OPM) is issuing a final rule revising regulations governing the Federal Government personnel vetting investigative and adjudicative processes for determining suitability and fitness. This final rule establishes requirements and standards for agencies to properly vet individuals to assess risk to the integrity and efficiency of the service. The regulations establish the requirements for when investigations must be conducted for appointments to the civil service, to work as a contractor employee, or to work in a Department of Defense Non appropriated Fund position. This final rule establishes the requirement for enrolling these populations, including low, moderate, and high risk, into continuous vetting. Furthermore, this rule provides adjudicative criteria for assessing suitability and fitness for much of the civil service. Nothing in this rule shall be read in derogation of any individual's rights under Title VII of the U.S. Code.","document_number":"2024-29799","html_url":"https://www.federalregister.gov/documents/2024/12/18/2024-29799/suitability-and-fitness","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2024-12-18/pdf/2024-29799.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2024-29799.pdf?1734443143","publication_date":"2024-12-18","agencies":[{"raw_name":"OFFICE OF PERSONNEL MANAGEMENT","name":"Personnel Management Office","id":406,"url":"https://www.federalregister.gov/agencies/personnel-management-office","json_url":"https://www.federalregister.gov/api/v1/agencies/406","parent_id":null,"slug":"personnel-management-office"}],"excerpts":"or employee \n for suitability reasons \n under this part is not an action under 5 \n \n CFR part 315, 359, or 752. Where conduct covered by this part may also form the basis for an action under 5 CFR part 315, 359, or 752, an agency may take the action under 5 CFR part 315, 359, or 752, as appropriate, instead of under this part. An agency must notify OPM to the extent required in § 731.103(f) if it wants to take, or has taken, action under these authorities. OPM reserves the right to also take an action under this part.\n \n (h) An agency does not need"},{"title":"Financial Market Utilities","type":"Rule","abstract":"The Board of Governors of the Federal Reserve System (Board) is publishing a final rule amending the requirements relating to operational risk management in the Board's Regulation HH, which applies to certain financial market utilities (FMUs) that have been designated as systemically important (designated FMUs) by the Financial Stability Oversight Council (FSOC) under Title VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act or Act). The amendments update, refine, and add specificity to the operational risk management requirements in Regulation HH to reflect changes in the operational risk, technology, and regulatory landscape in which designated FMUs operate. The final rule also adopts specific incident- notification requirements.","document_number":"2024-05322","html_url":"https://www.federalregister.gov/documents/2024/03/15/2024-05322/financial-market-utilities","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2024-03-15/pdf/2024-05322.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2024-05322.pdf?1710420317","publication_date":"2024-03-15","agencies":[{"raw_name":"FEDERAL RESERVE SYSTEM","name":"Federal Reserve System","id":188,"url":"https://www.federalregister.gov/agencies/federal-reserve-system","json_url":"https://www.federalregister.gov/api/v1/agencies/188","parent_id":null,"slug":"federal-reserve-system"}],"excerpts":"“operational risk” is not defined in current Regulation HH, when the Board proposed amendments to § 234.3(a)(17) in 2014, it described operational risk as the risk that deficiencies in information systems, internal processes, and personnel or disruptions from external events will result in the deterioration or breakdown of services provided by an FMU.\n 12 \n \n Consistent with an all-hazards view of managing operational risk, the Board believes operational risk could arise internally and externally. Internal sources of operational risk include the"}]}