{"description":"Documents matching 'security equity taking into account'","count":9095,"total_pages":50,"next_page_url":"https://www.federalregister.gov/api/v1/documents?conditions%5Bterm%5D=security+equity+taking+into+account&format=json&page=2","results":[{"title":"EDGAR Filer Access and Account Management","type":"Rule","abstract":"The Securities and Exchange Commission (\"Commission\") is adopting rule and form amendments concerning access to and management of accounts on the Commission's Electronic Data Gathering, Analysis, and Retrieval system (\"EDGAR\") that are related to certain technical changes to EDGAR (collectively referred to as \"EDGAR Next\"). EDGAR Next will improve the security of EDGAR, enhance filers' ability to manage their EDGAR accounts, and modernize connections to EDGAR. The amendments require electronic filers (\"filers\") to authorize and maintain designated individuals as account administrators and to take certain actions, through their account administrators, to manage their accounts on EDGAR. Further, pursuant to these amendments, filers may only authorize individuals as account administrators or in the other roles described herein if those individuals first obtain individual account credentials in the manner specified in the EDGAR Filer Manual. As part of the EDGAR Next changes, optional Application Programming Interfaces (\"APIs\") will be offered to filers for machine-to-machine communication with EDGAR. Moreover, we are amending Volume I of the EDGAR Filer Manual to accord with these changes. Filers will have 12 months from the issuance of this release to transition to EDGAR Next.","document_number":"2024-30494","html_url":"https://www.federalregister.gov/documents/2024/12/27/2024-30494/edgar-filer-access-and-account-management","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2024-12-27/pdf/2024-30494.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2024-30494.pdf?1734642915","publication_date":"2024-12-27","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":"EDGAR Next will enhance the <span class=\"match\">security</span> of filers' <span class=\"match\">accounts</span> by requiring anyone seeking to make a submission on EDGAR on behalf of a filer to sign in with individual <span class=\"match\">account</span> credentials, complete multifactor authentication, be authorized by the filer or the filer's <span class=\"match\">account</span> administrator and enter the filer's EDGAR <span class=\"match\">account</span>/central index key number (“CIK”) and central index key confirmation code (“CCC”). \n \n Commenters generally agreed that requiring individual <span class=\"match\">account</span> credentials for EDGAR access would improve EDGAR <span class=\"match\">security</span>, provide individual accountability"},{"title":"Regulations To Address Margin Adequacy and To Account for the Treatment of Separate Accounts by Futures Commission Merchants","type":"Rule","abstract":"The Commodity Futures Trading Commission (Commission or CFTC) is amending its regulations, adopted under the Commodity Exchange Act (CEA), to require a futures commission merchant (FCM) to ensure a customer does not withdraw funds from its account with the FCM if the balance in the account after the withdrawal would be insufficient to meet the customer's initial margin requirements; and relatedly, to permit an FCM, subject to certain requirements, to treat the separate accounts of a single customer as accounts of separate entities for purposes of certain Commission regulations.","document_number":"2024-31177","html_url":"https://www.federalregister.gov/documents/2025/01/22/2024-31177/regulations-to-address-margin-adequacy-and-to-account-for-the-treatment-of-separate-accounts-by","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2025-01-22/pdf/2024-31177.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2024-31177.pdf?1736889332","publication_date":"2025-01-22","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":"Lastly, regulation § 1.44(h) articulates information and disclosure requirements for FCMs that engage in separate <span class=\"match\">account</span> treatment.\n \n \n \n 52 \n  Regulation § 1.44(a) defines “<span class=\"match\">account</span>” to include futures <span class=\"match\">accounts</span> and Cleared Swaps Customer <span class=\"match\">Accounts</span>, both of which terms are defined in regulation § 1.3, and 30.7 <span class=\"match\">accounts</span>. A 30.7 <span class=\"match\">account</span> means any <span class=\"match\">account</span> maintained by an FCM for or on behalf of 30.7 customers to hold money, <span class=\"match\">securities</span>, or other property to margin, guarantee, or secure foreign futures or foreign options. 17 CFR 30.1(g).\n \n \n II. Regulations"},{"title":"Staff Report on the Definitions of “Security-Based Swap Dealer” and “Major Security-Based Swap Participant”","type":"Notice","abstract":"The Securities and Exchange Commission directed staff to prepare and is now publishing a report examining the effect and application of the definitions of \"security-based swap dealer\" and \"major security-based swap participant.\" Those definitions include an exception from designation as a security-based swap dealer for an entity that engages in a de minimis quantity of security-based swap dealing, as well as separate thresholds below which an entity would not become a major security-based swap participant. As provided in the Commission's rules, nine months after publication of this report and after considering any public comments received, the Commission may by order either terminate the phase-in period for the de minimis thresholds, thereby allowing thresholds of $3 billion for credit default swaps that constitute security-based swaps and $150 million for non-credit default swaps that constitute security-based swaps to take effect and replace the current phase-in thresholds of $8 billion and $400 million, respectively, or propose different thresholds through rulemaking; however, the Commission has issued an order providing a temporary exemption that has the effect of continuing to apply the phase-in thresholds of $8 billion and $400 million until May 8, 2028. The public is invited to comment on all aspects of this report, which may inform the Commission's consideration of potential changes to the de minimis exception and the rules further defining the terms \"security-based swap dealer\" and \"major security-based swap participant.\"","document_number":"2026-08558","html_url":"https://www.federalregister.gov/documents/2026/05/04/2026-08558/staff-report-on-the-definitions-of-security-based-swap-dealer-and-major-security-based-swap","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-05-04/pdf/2026-08558.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2026-08558.pdf?1777639507","publication_date":"2026-05-04","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":"for comment. \n \n \n SUMMARY: \n The <span class=\"match\">Securities</span> and Exchange Commission directed staff to prepare and is now publishing a report examining the effect and application of the definitions of “<span class=\"match\">security</span>-based swap dealer” and “major <span class=\"match\">security</span>-based swap participant.” Those definitions include an exception from designation as a <span class=\"match\">security</span>-based swap dealer for an entity that engages in a de minimis quantity of <span class=\"match\">security</span>-based swap dealing, as well as separate thresholds below which an entity would not become a major <span class=\"match\">security</span>-based swap participant. As provided"},{"title":"Fiduciary Duties in Selecting Designated Investment Alternatives","type":"Proposed Rule","abstract":"This document contains a proposed regulation that clarifies, and provides a safe harbor for, a fiduciary's duty of prudence under the Employee Retirement Income Security Act of 1974 (ERISA) in connection with selecting designated investment alternatives for a participant-directed individual account plan, including asset allocation funds that include alternative assets. This proposal implements section 3(c) of President Trump's Executive Order 14330, Democratizing Access to Alternative Assets for 401(k) Investors.","document_number":"2026-06178","html_url":"https://www.federalregister.gov/documents/2026/03/31/2026-06178/fiduciary-duties-in-selecting-designated-investment-alternatives","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-03-31/pdf/2026-06178.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2026-06178.pdf?1774901707","publication_date":"2026-03-31","agencies":[{"raw_name":"DEPARTMENT OF LABOR","name":"Labor Department","id":271,"url":"https://www.federalregister.gov/agencies/labor-department","json_url":"https://www.federalregister.gov/api/v1/agencies/271","parent_id":null,"slug":"labor-department"},{"raw_name":"Employee Benefits Security Administration","name":"Employee Benefits Security Administration","id":131,"url":"https://www.federalregister.gov/agencies/employee-benefits-security-administration","json_url":"https://www.federalregister.gov/api/v1/agencies/131","parent_id":271,"slug":"employee-benefits-security-administration"}],"excerpts":"reduction in <span class=\"match\">account</span> values of participants and beneficiaries of that plan. The author does acknowledge that large plans likely began adjusting menus prior to the 2015 ruling, cautioning that the analysis may underestimate the effect.\n 139 \n \n \n \n \n 138 \n  In this study, high volatility investment options include the following asset classes: domestic <span class=\"match\">equity</span> broad market, domestic <span class=\"match\">equity</span> mid cap, domestic <span class=\"match\">equity</span> small cap, domestic <span class=\"match\">equity</span> commodities, domestic <span class=\"match\">equity</span> financials, domestic <span class=\"match\">equity</span> natural resources, domestic <span class=\"match\">equity</span> gold, domestic <span class=\"match\">equity</span> real"},{"title":"Promoting the Integrity and Security of Telecommunications Certification Bodies, Measurement Facilities, and the Equipment Authorization Program","type":"Rule","abstract":"In this document, the Federal Communications Commission (Commission or FCC) requires all recognized telecommunication certification bodies (TCBs), test labs, and laboratory accreditation bodies to certify to the Commission that they are not owned by, controlled by, or subject to the direction of a prohibited entity and to report all equity or voting interests of 5% or greater by any entity. The FCC also amends it rules to state that it will not recognize--and will revoke any existing recognition of--any TCB, test lab, or laboratory accreditation body that fails to provide, or that provides a false or inaccurate, certification; or that fails to provide, or provides false or inaccurate, information regarding equity or voting interests of 5% or greater. The FCC prohibits recognition of any TCB, test lab, or laboratory accreditation body owned by, controlled by, or subject to the direction of a prohibited entity, and prohibits such TCBs, test labs, and laboratory accreditation bodies from participating in the Commission's equipment authorization program, not only with regard to the equipment certification process but also the Supplier's Declaration of Conformity (SDoC) process.","document_number":"2025-14970","html_url":"https://www.federalregister.gov/documents/2025/08/07/2025-14970/promoting-the-integrity-and-security-of-telecommunications-certification-bodies-measurement","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2025-08-07/pdf/2025-14970.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2025-14970.pdf?1754484348","publication_date":"2025-08-07","agencies":[{"raw_name":"FEDERAL COMMUNICATIONS COMMISSION","name":"Federal Communications Commission","id":161,"url":"https://www.federalregister.gov/agencies/federal-communications-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/161","parent_id":null,"slug":"federal-communications-commission"}],"excerpts":"serious instances of conduct significantly adverse to the national <span class=\"match\">security</span> interest of the United States or <span class=\"match\">security</span> and safety of United States persons.”\n \n \n The Commission finds that its efforts to ensure the integrity and <span class=\"match\">security</span> of the equipment authorization program could be hindered by the participation of entities determined to have engaged in a long-term pattern or serious instances of conduct significantly adverse to the national <span class=\"match\">security</span> of the United States or <span class=\"match\">security</span> and safety of United States persons. These findings are consistent"},{"title":"Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning a New Customer Net Margin Account Option for Agent Clearing Members in the Securities Financing Transaction Clearing Service","type":"Notice","abstract":null,"document_number":"2026-06043","html_url":"https://www.federalregister.gov/documents/2026/03/30/2026-06043/self-regulatory-organizations-national-securities-clearing-corporation-notice-of-filing-of-proposed","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-03-30/pdf/2026-06043.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2026-06043.pdf?1774615512","publication_date":"2026-03-30","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":"in any Sponsored Member Sub-<span class=\"match\">Account</span> or Agent Clearing Member Customer Omnibus <span class=\"match\">Account</span>, NSCC may (i) in the case of a Sponsored Member Sub-<span class=\"match\">Account</span>, net the SFT Positions in such Sponsored Member Sub-<span class=\"match\">Account</span>; (ii) in the case of an Agent Clearing Member Customer Net Margin <span class=\"match\">Account</span>, net the positions in such <span class=\"match\">account</span> as well as the positions in any other Agent Clearing Member Customer Net Margin <span class=\"match\">Account</span>; and (iii) in the case of an Agent Clearing Member Customer Gross Margin <span class=\"match\">Account</span>, not net the positions in the <span class=\"match\">account</span>. NSCC notes that these proposed"},{"title":"Promoting the Integrity and Security of Telecommunications Certification Bodies, Measurement Facilities, and the Equipment Authorization Program","type":"Rule","abstract":"In this document, the Federal Communications Commission (Commission or FCC) adopts measures to strengthen national security and encourage reciprocity in testing and certification. The FCC creates a fast-track priority review process for devices subject to Pre-Approval Guidance (PAG) for applications tested in Trusted Test Labs. Also, updates post-market surveillance and enforcement procedures, and establishes confidential reporting channels for industry participants to raise concerns about violations or national security threats. Lastly, directs development of a consolidated list of prohibited entities to streamline applicant screening and aligns ownership reporting timelines for publicly traded companies with U.S. Securities and Exchange Commission requirements.","document_number":"2026-09822","html_url":"https://www.federalregister.gov/documents/2026/05/15/2026-09822/promoting-the-integrity-and-security-of-telecommunications-certification-bodies-measurement","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-05-15/pdf/2026-09822.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2026-09822.pdf?1778762728","publication_date":"2026-05-15","agencies":[{"raw_name":"FEDERAL COMMUNICATIONS COMMISSION","name":"Federal Communications Commission","id":161,"url":"https://www.federalregister.gov/agencies/federal-communications-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/161","parent_id":null,"slug":"federal-communications-commission"}],"excerpts":"efforts to strengthen the integrity and <span class=\"match\">security</span> of the Equipment Authorization Program. Building on the foundation established in the \n First EA Integrity Report and Order, \n 90 FR 38045 (August 7, 2025), this action addresses emerging national <span class=\"match\">security</span> risks and supply chain vulnerabilities by refining the Commission's rules governing Telecommunications Certification Bodies (TCBs), test laboratories, and laboratory accreditation bodies.\n \n \n The Commission adopts measures to strengthen national <span class=\"match\">security</span> and incentivize domestic testing and certification"},{"title":"Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change Concerning a New Customer Net Margin Account Option for Agent Clearing Members in the Securities Financing Transaction Clearing Service","type":"Notice","abstract":null,"document_number":"2026-09743","html_url":"https://www.federalregister.gov/documents/2026/05/15/2026-09743/self-regulatory-organizations-national-securities-clearing-corporation-order-approving-proposed-rule","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-05-15/pdf/2026-09743.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2026-09743.pdf?1778762716","publication_date":"2026-05-15","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":"established in an Agent Clearing Member Customer Net Margin <span class=\"match\">Account</span>, Agent Clearing Member Customer Gross Margin <span class=\"match\">Account</span>, or Sponsored Member Sub-<span class=\"match\">Account</span>. Specifically, the revised NSCC Rules would clarify the netting treatment for closed-out SFT Positions in each type of <span class=\"match\">account</span> to correspond with the “gross” or “net” nature of the <span class=\"match\">account</span>. The revised NSCC Rules would also provide for NSCC's authority to close-out offsetting SFT Long and Short Positions in the same SFT <span class=\"match\">Security</span> without <span class=\"match\">taking</span> market action to close-out such positions. In such a situation"},{"title":"Joint Request for Comment on Further Definition of “Swap” and “Security-Based Swap” and on Alternative Compliance","type":"Proposed Rule","abstract":"The Commodity Futures Trading Commission (\"CFTC\") and the Securities and Exchange Commission (\"SEC\") (together, the \"Commissions\") request public comment on potential ways to draw clearer regulatory lines with respect to innovative products that may implicate both SEC and CFTC regulatory interests. The Commissions also request public comment on potential approaches to enable alternative compliance.","document_number":"2026-12743","html_url":"https://www.federalregister.gov/documents/2026/06/24/2026-12743/joint-request-for-comment-on-further-definition-of-swap-and-security-based-swap-and-on-alternative","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-06-24/pdf/2026-12743.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2026-12743.pdf?1782218724","publication_date":"2026-06-24","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"},{"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":"exclusions for: any put, call, straddle, option, or privilege on any <span class=\"match\">security</span>, certificate of deposit, or group or index of <span class=\"match\">securities</span>, including any interest therein or based on the value thereof, that is subject to the <span class=\"match\">Securities</span> Act of 1933 (“<span class=\"match\">Securities</span> Act”) and the <span class=\"match\">Securities</span> Exchange Act of 1934 (“Exchange Act”); \n 10 \n \n any note, bond, or evidence of indebtedness that is a <span class=\"match\">security</span>; \n 11 \n \n <span class=\"match\">security</span> forwards intended to be physically settled; \n 12 \n \n futures; \n 13 \n \n <span class=\"match\">security</span> futures products; \n 14 \n \n and SBS.\n 15 \n \n Thus, by statute, these"},{"title":"Notice of Availability and Request for Information; Federal Evidence Agenda on Disability Equity","type":"Notice","abstract":"Through this Request for information (RFI), the White House Office of Science and Technology Policy (OSTP) seeks input from the public to help inform the development of the Federal Evidence Agenda on Disability Equity. Executive Order 14091 on Further Advancing Racial Equity and Support for Underserved Communities Through the Federal Government (February 16, 2023) directed the OSTP National Science and Technology Council Subcommittee on Equitable Data (SED) to coordinate implementation of recommendations of the Equitable Data Working Group. To address the recommendations relevant to disability, the SED established the Disability Data Interagency Working Group (DDIWG). The DDIWG is tasked with the development and release of a Federal Evidence Agenda on Disability Equity, in order to improve the Federal government's ability to make data-informed policy decisions that advance equity for the disability community.","document_number":"2024-11838","html_url":"https://www.federalregister.gov/documents/2024/05/30/2024-11838/notice-of-availability-and-request-for-information-federal-evidence-agenda-on-disability-equity","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2024-05-30/pdf/2024-11838.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2024-11838.pdf?1716986722","publication_date":"2024-05-30","agencies":[{"raw_name":"OFFICE OF SCIENCE AND TECHNOLOGY POLICY","name":"Science and Technology Policy Office","id":464,"url":"https://www.federalregister.gov/agencies/science-and-technology-policy-office","json_url":"https://www.federalregister.gov/api/v1/agencies/464","parent_id":null,"slug":"science-and-technology-policy-office"}],"excerpts":"disabilitydata@ostp.eop.gov \n with “Federal Evidence Agenda on Disability <span class=\"match\">Equity</span> RFI” in the subject line, or contact Adam Politis, Senior Policy for Disability and <span class=\"match\">Equity</span>, at 202-881-8448. Individuals who use telecommunication devices for the deaf and hard of hearing (TDD) may call the Federal Relay Service (FRS) at 1-800-877-8339, 24 hours a day, every day of the year, including holidays.\n \n \n \n \n SUPPLEMENTARY INFORMATION: \n \n I. Background \n Executive Order (E.O.) 13985 on Advancing Racial <span class=\"match\">Equity</span> and Support for Underserved Communities Through the Federal"},{"title":"Order Providing Exemptive Relief To Facilitate Cross-Margining of Customer Positions Cleared at Chicago Mercantile Exchange, Inc. and Fixed Income Clearing Corporation","type":"Rule","abstract":"The Commodity Futures Trading Commission (\"CFTC\" or \"Commission\") is issuing an order pursuant to the Commodity Exchange Act (\"CEA\") that provides exemptive relief from the CEA and Commission regulations related to segregation and protection of futures customer funds. The order permits joint clearing members of the Chicago Mercantile Exchange, Inc. (\"CME\") and the Fixed Income Clearing Corporation (\"FICC\") that are dually registered as broker-dealers with the Securities and Exchange Commission (\"SEC\") and futures commission merchants (\"FCMs\") with the Commission (\"BD-FCMs\") to hold futures customer funds in a commingled customer account at FICC.","document_number":"2026-07643","html_url":"https://www.federalregister.gov/documents/2026/04/20/2026-07643/order-providing-exemptive-relief-to-facilitate-cross-margining-of-customer-positions-cleared-at","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-04-20/pdf/2026-07643.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2026-07643.pdf?1776429916","publication_date":"2026-04-20","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":"arrangement is a <span class=\"match\">securities</span> <span class=\"match\">account</span> is that the rules of [the NYUCC] apply.”).\n \n \n \n \n Under the NYUCC, with exceptions not relevant here, a person acquires a <span class=\"match\">security</span> entitlement if a <span class=\"match\">securities</span> intermediary either (1) indicates by book entry that a financial asset has been credited to the person's <span class=\"match\">securities</span> <span class=\"match\">account</span>, or (2) receives a financial asset from the person and accepts it for credit to the person's <span class=\"match\">securities</span> <span class=\"match\">account</span>.\n 69 \n \n A person who is either identified in the records of a <span class=\"match\">securities</span> intermediary as having a <span class=\"match\">security</span> entitlement against"},{"title":"Review of Submarine Cable Landing License Rules and Procedures To Assess Evolving National Security, Law Enforcement, Foreign Policy, and Trade Policy Risks; Schedule of Application Fees","type":"Proposed Rule","abstract":"The Federal Communications Commission (\"FCC\" or \"Commission\") takes another important step to protect the Nation's submarine cable infrastructure from threats in an evolving national security and law enforcement landscape by undertaking the first major comprehensive review of the Commission's submarine cable rules since 2001. This review seeks to develop forward-looking rules to better protect submarine cables, identify and mitigate harms affecting national security and law enforcement, and facilitate the deployment of submarine cables and capacity to the market. Among other things, the Commission proposes to adopt a three-year periodic reporting requirement for submarine cable landing licenses; in the alternative, the Commission seeks comment on shortening the current 25-year submarine cable license term or adopting a shorter license term in combination with periodic reporting. The Commission also proposes or seeks comment on codifying the Commission's legal jurisdiction and other legal requirements in its rules to provide regulatory certainty to submarine cable owners and operators. Additionally, the Commission proposes and seeks comment on appropriate applicant and application requirements to account for the evolution of technologies and facilities and changes in the national security landscape over the last two decades and to ensure the Commission has targeted and granular information regarding the ownership, control, use of a submarine cable system, and other things, which are critical to the Commission's review to assess potential national security risks and other important public interest factors. Further, the Commission seeks comment on improving the quality of the circuit capacity data and facilitating the sharing of such information with other Federal agencies. Through these proposals, the Commission seeks to ensure that the Commission is exercising appropriate oversight of submarine cables to safeguard U.S. communications networks.","document_number":"2025-03718","html_url":"https://www.federalregister.gov/documents/2025/03/13/2025-03718/review-of-submarine-cable-landing-license-rules-and-procedures-to-assess-evolving-national-security","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2025-03-13/pdf/2025-03718.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2025-03718.pdf?1741783507","publication_date":"2025-03-13","agencies":[{"raw_name":"FEDERAL COMMUNICATIONS COMMISSION","name":"Federal Communications Commission","id":161,"url":"https://www.federalregister.gov/agencies/federal-communications-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/161","parent_id":null,"slug":"federal-communications-commission"}],"excerpts":"seeks comment on whether a reporting threshold of 5% <span class=\"match\">equity</span> and/or voting interest adequately captures the relationship, association, and/or extent of influence that an investor may have in an applicant. Would a reporting threshold of 5% <span class=\"match\">equity</span> and/or voting interests sufficiently <span class=\"match\">account</span> for powers held by shareholders with less than 5% <span class=\"match\">equity</span> and/or voting interests but who may hold other special privileges or powers in the corporate structure? For instance, would the reporting threshold <span class=\"match\">account</span> for a situation where a foreign government interest"},{"title":"Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern","type":"Rule","abstract":"This final rule sets forth the regulations that implement Executive Order 14105 of August 9, 2023, \"Addressing United States Investments in Certain National Security Technologies and Products in Countries of Concern,\" which declares a national emergency to address the threat to the United States posed by countries of concern that seek to develop and exploit sensitive technologies or products critical for military, intelligence, surveillance, or cyber-enabled capabilities. The final rule requires United States persons to provide notification to the U.S. Department of the Treasury regarding certain transactions involving persons of a country of concern that are engaged in activities involving certain national security technologies and products that may contribute to the threat to the national security of the United States; and prohibits United States persons from engaging in certain other transactions involving persons of a country of concern that are engaged in activities involving certain other national security technologies and products that pose a particularly acute national security threat to the United States.","document_number":"2024-25422","html_url":"https://www.federalregister.gov/documents/2024/11/15/2024-25422/provisions-pertaining-to-us-investments-in-certain-national-security-technologies-and-products-in","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2024-11-15/pdf/2024-25422.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2024-25422.pdf?1730996188","publication_date":"2024-11-15","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 Investment Security","name":"Investment Security Office","id":603,"url":"https://www.federalregister.gov/agencies/investment-security-office","json_url":"https://www.federalregister.gov/api/v1/agencies/603","parent_id":497,"slug":"investment-security-office"}],"excerpts":"that the duties of the Assistant Secretary of the Treasury for Investment <span class=\"match\">Security</span>, as defined in 50 U.S.C. 4565(k)(4)(A)(ii)(II), must be “principally related to [CFIUS].” The Final Rule and the establishment of the Outbound Investment <span class=\"match\">Security</span> Program within the Treasury Department's Office of Investment <span class=\"match\">Security</span> are consistent with this requirement. <span class=\"match\">Taking</span> into <span class=\"match\">account</span> factors such as budget, personnel, and allocation of time, the Assistant Secretary for Investment <span class=\"match\">Security's</span> duties, and those of relevant Treasury Department staff, will remain principally"},{"title":"Export Administration Regulations: Removal of License Requirements for Certain Spacecraft and Related Items for Australia, Canada, and the United Kingdom","type":"Rule","abstract":"In this final rule, the Bureau of Industry and Security (BIS) amends the Export Administration Regulations (EAR) by removing controls for certain spacecraft and related items for exports and reexports to Australia, Canada, and the United Kingdom. These spacecraft and related items involve remote sensing or space-based logistics, assembly, or servicing. Taking into account the close relations with these three allied countries, including in space collaboration, as well as their inclusion in the National Technology and Industrial Base (NTIB), this final rule removes the license requirement for these countries for these spacecraft and related items.","document_number":"2024-23932","html_url":"https://www.federalregister.gov/documents/2024/10/23/2024-23932/export-administration-regulations-removal-of-license-requirements-for-certain-spacecraft-and-related","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2024-10-23/pdf/2024-23932.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2024-23932.pdf?1729196119","publication_date":"2024-10-23","agencies":[{"raw_name":"DEPARTMENT OF COMMERCE","name":"Commerce Department","id":54,"url":"https://www.federalregister.gov/agencies/commerce-department","json_url":"https://www.federalregister.gov/api/v1/agencies/54","parent_id":null,"slug":"commerce-department"},{"raw_name":"Bureau of Industry and Security","name":"Industry and Security Bureau","id":241,"url":"https://www.federalregister.gov/agencies/industry-and-security-bureau","json_url":"https://www.federalregister.gov/api/v1/agencies/241","parent_id":54,"slug":"industry-and-security-bureau"}],"excerpts":"ACTION: \n Final rule. \n \n \n SUMMARY: \n In this final rule, the Bureau of Industry and <span class=\"match\">Security</span> (BIS) amends the Export Administration Regulations (EAR) by removing controls for certain spacecraft and related items for exports and reexports to Australia, Canada, and the United Kingdom. These spacecraft and related items involve remote sensing or space-based logistics, assembly, or servicing. <span class=\"match\">Taking</span> into <span class=\"match\">account</span> the close relations with these three allied countries, including in space collaboration, as well as their inclusion in the National Technology"},{"title":"Protecting Against National Security Threats to the Communications Supply Chain Through the Equipment Authorization Program","type":"Proposed Rule","abstract":"In this document, the Federal Communications Commission (Commission or FCC) aims to further its actions in strengthening prohibitions on authorization of covered equipment and to clarify the rules and enforcement of such. The Commission seeks additional comment on modular transmitters and component parts in relation to covered equipment. The Commission addresses the partial court remand of the decision in its November 2022 EA Security R&O by proposing a definition of \"critical infrastructure\" as used on the Covered List and seeking comment on the implementation of that definition. The Commission also seeks comment on whether any modification to an authorized device by an entity identified on the Covered List should require a new application for certification. Finally, the Commission seeks comment on clarifying the scope of activities that constitute marketing of equipment and on measures to strengthen enforcement of marketing prohibitions.","document_number":"2025-21928","html_url":"https://www.federalregister.gov/documents/2025/12/04/2025-21928/protecting-against-national-security-threats-to-the-communications-supply-chain-through-the","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2025-12-04/pdf/2025-21928.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2025-21928.pdf?1764769515","publication_date":"2025-12-04","agencies":[{"raw_name":"FEDERAL COMMUNICATIONS COMMISSION","name":"Federal Communications Commission","id":161,"url":"https://www.federalregister.gov/agencies/federal-communications-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/161","parent_id":null,"slug":"federal-communications-commission"}],"excerpts":"these entities only to the extent such equipment is “for the purpose of public safety, <span class=\"match\">security</span> of government facilities, physical <span class=\"match\">security</span> surveillance of critical infrastructure, and other national <span class=\"match\">security</span> purposes.” 2019 NDAA section 889(f)(3)(B). In March 2021, consistent with the statutory language of NDAA section 889(f)(3)(B), the Commission included this same language on its Covered List.\n \n \n Equipment Authorization <span class=\"match\">Security</span> R&amp;O. \n In the EA <span class=\"match\">Security</span> R&amp;O and FNPRM, the Commission adopted several rules to prohibit authorization of"},{"title":"Regulations To Address Margin Adequacy and To Account for the Treatment of Separate Accounts by Futures Commission Merchants","type":"Proposed Rule","abstract":"On April 14, 2023, the Commodity Futures Trading Commission (Commission or CFTC) published a notice of proposed rulemaking (First Proposal) that proposed to amend the derivatives clearing organization (DCO) risk management regulations adopted under the Commodity Exchange Act (CEA) to permit futures commission merchants (FCMs) that are clearing members of DCOs (clearing FCMs), subject to specified requirements, to treat separate accounts of a single customer as accounts of separate legal entities for purposes of certain Commission regulations. In light of comments received supporting direct application of separate account treatment requirements to FCMs in the Commission's regulations, the Commission has determined to withdraw the First Proposal. The Commission now proposes regulations to require an FCM to ensure that a customer does not withdraw funds from its account with the FCM if the balance in such account after such withdrawal would be insufficient to meet the customer's initial margin requirements, and relatedly, to permit an FCM, in certain circumstances and subject to certain conditions, to treat the separate accounts of a single customer as accounts of separate entities for purposes of certain Commission regulations (Second Proposal). The proposed amendments would establish the conditions under which an FCM may engage in such separate account treatment.","document_number":"2024-04107","html_url":"https://www.federalregister.gov/documents/2024/03/01/2024-04107/regulations-to-address-margin-adequacy-and-to-account-for-the-treatment-of-separate-accounts-by","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2024-03-01/pdf/2024-04107.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2024-04107.pdf?1709214315","publication_date":"2024-03-01","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":"comply with respect to <span class=\"match\">accounts</span> for which the FCM has elected separate treatment. Eighth, proposed regulation § 1.44(h) sets out information and disclosure requirements for FCMs that engage in separate <span class=\"match\">account</span> treatment.\n \n \n \n 77 \n  Proposed regulation § 1.44(a) defines “<span class=\"match\">account</span>” to include futures <span class=\"match\">accounts</span> and Cleared Swaps Customer <span class=\"match\">Accounts</span>, both of which terms are defined in regulation § 1.3, and 30.7 <span class=\"match\">accounts</span>. A 30.7 <span class=\"match\">account</span> means any <span class=\"match\">account</span> maintained by an FCM for or on behalf of 30.7 customers to hold money, <span class=\"match\">securities</span>, or other property to"},{"title":"Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adoption of Chicago Mercantile Exchange's Rules Governing Security Futures Product Listing Standards, Adoption of Chicago Mercantile Exchange Inc.'s Rules Governing Security Futures Adjustments, and Adoption of Chicago Mercantile Exchange Inc.'s Rules Governing Cash-Settled Single Stock Security Futures","type":"Notice","abstract":null,"document_number":"2026-13712","html_url":"https://www.federalregister.gov/documents/2026/07/07/2026-13712/self-regulatory-organizations-chicago-mercantile-exchange-inc-notice-of-filing-and-immediate","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-07-07/pdf/2026-13712.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2026-13712.pdf?1783341917","publication_date":"2026-07-07","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":"Restructure <span class=\"match\">Security</span> issued or distributed to the holders of the <span class=\"match\">equity</span> <span class=\"match\">security</span> that existed prior to the ex-date of a spin-off, reorganization, recapitalization, restructuring or similar corporate transaction (`Original <span class=\"match\">Equity</span> <span class=\"match\">Security</span>'), the Exchange may consider the number of outstanding shares of the Original <span class=\"match\">Equity</span> <span class=\"match\">Security</span> prior to the spin-off, reorganization, recapitalization, restructuring or similar corporate transaction (`Restructuring Transaction').” \n Rule 70001.5, or requirement 5, requires that the underlying <span class=\"match\">security's</span> “estimated"},{"title":"The Trade-Through Rule and Locked and Crossed Markets Provisions of Regulation NMS","type":"Proposed Rule","abstract":"The Securities and Exchange Commission (\"Commission\" or \"SEC\") is proposing amendments to Regulation NMS (\"Regulation NMS\") under the Securities Exchange Act of 1934 (\"Exchange Act\"). The proposed amendments would rescind the trade-through rule for NMS stocks, the provision regarding locking and crossing quotations for NMS stocks, and certain defined terms. The proposed amendments would also make conforming changes to other related provisions.","document_number":"2026-12163","html_url":"https://www.federalregister.gov/documents/2026/06/17/2026-12163/the-trade-through-rule-and-locked-and-crossed-markets-provisions-of-regulation-nms","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-06-17/pdf/2026-12163.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2026-12163.pdf?1781613912","publication_date":"2026-06-17","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":"through (v).\n \n \n \n \n 3 \n  Rule 600(b)(64) of Regulation NMS defines “NMS <span class=\"match\">security</span>” to include “any <span class=\"match\">security</span> or class of <span class=\"match\">securities</span> for which transaction reports are collected, processed, and made available pursuant to an effective transaction reporting plan, or an effective national market system plan for reporting transactions in listed options.” \n See \n 17 CFR 242.600(b)(64). In other words, NMS <span class=\"match\">securities</span> include NMS stocks and listed options.\n \n \n \n \n 4 \n  \n See \n <span class=\"match\">Securities</span> Exchange Act Release No. 49325 (Feb. 26, 2004), 69 FR 11126 (Mar. 9, 2004)"},{"title":"Joint Industry Plan; Order Approving the Second Amendment to the National Market System Plan Regarding Consolidated Equity Market Data, as Amended by Amendment No. 1 and Modified by the Commission, To Adopt a Fee Schedule","type":"Notice","abstract":null,"document_number":"2026-13215","html_url":"https://www.federalregister.gov/documents/2026/07/01/2026-13215/joint-industry-plan-order-approving-the-second-amendment-to-the-national-market-system-plan","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-07-01/pdf/2026-13215.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2026-13215.pdf?1782823508","publication_date":"2026-07-01","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 118 \n  \n See \n Massive Letter at 4.\n \n \n \n \n 119 \n  The <span class=\"match\">Equity</span> Data Plans disseminate SIP data over three separate networks: (1) Tape A for <span class=\"match\">securities</span> listed on NYSE; (2) Tape B for <span class=\"match\">securities</span> listed on exchanges other than NYSE and Nasdaq; and (3) Tape C for <span class=\"match\">securities</span> listed on Nasdaq. These Tapes are referred to as the “consolidated tapes.” The CTA Plan governs the collection, consolidation, processing, and dissemination of last sale information for Tape A and Tape B <span class=\"match\">securities</span>. The CQ Plan governs the collection, consolidation, processing"},{"title":"Proposal of Special Measure Regarding MBaer Merchant Bank AG as a Financial Institution Operating Outside of the United States of Primary Money Laundering Concern","type":"Proposed Rule","abstract":"FinCEN is issuing a notice of proposed rulemaking, pursuant to section 311 of the USA PATRIOT Act, that finds MBaer Merchant Bank AG (MBaer), a financial institution based in Switzerland, to be of primary money laundering concern, and proposes imposing a special measure to: (1) prohibit U.S. financial institutions from opening or maintaining a correspondent account for, or on behalf of, MBaer; (2) require U.S. financial institutions to take reasonable steps not to process a transaction for the correspondent account in the United States of a foreign banking institution if such a transaction involves MBaer; and (3) require U.S. financial institutions to apply special due diligence to their foreign correspondent accounts that is reasonably designed to guard against their use to process transactions involving MBaer.","document_number":"2026-04033","html_url":"https://www.federalregister.gov/documents/2026/03/02/2026-04033/proposal-of-special-measure-regarding-mbaer-merchant-bank-ag-as-a-financial-institution-operating","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-03-02/pdf/2026-04033.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2026-04033.pdf?1772199914","publication_date":"2026-03-02","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":"Financial Crimes Enforcement Network","name":"Financial Crimes Enforcement Network","id":194,"url":"https://www.federalregister.gov/agencies/financial-crimes-enforcement-network","json_url":"https://www.federalregister.gov/api/v1/agencies/194","parent_id":497,"slug":"financial-crimes-enforcement-network"}],"excerpts":"President and Prime Minister of Russia and current Deputy Chairman of the <span class=\"match\">Security</span> Council of the Russian Federation.\n 40 \n \n According to non-public information, the funds transfers associated with these <span class=\"match\">accounts</span> are mostly large, round-dollar amounts between similarly named <span class=\"match\">accounts</span>, indicative of money laundering to disguise the ownership of the funds involved. For example, in late 2023 the PEP's MBaer <span class=\"match\">account</span> originated four transactions valued at over 14 million euros to <span class=\"match\">accounts</span> held in their name at another bank.\n \n \n \n 40 \n  \n See \n СокальINFO"}]}