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Publication Date
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Topic
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Section
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Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8
We are proposing to amend certain procedural requirements and the provision relating to resubmitted proposals under the shareholder- proposal rule. The proposed amendments to the procedural requirements would replace the current ownership requirements with a tiered approach that would provide three options for demonstrating an ownership stake...
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Amendments to Exemptions From the Proxy Rules for Proxy Voting Advice
The Securities and Exchange Commission (``Commission'') is proposing amendments to its rules governing proxy solicitations to help ensure that investors who use proxy voting advice receive more accurate, transparent, and complete information on which to make their voting decisions, in a manner that does not impose undue costs or delays that...
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Investment Adviser Advertisements; Compensation for Solicitations
The Securities and Exchange Commission (the ``Commission'' or the ``SEC'') is proposing amendments under the Investment Advisers Act of 1940 (the ``Advisers Act'' or the ``Act'') to the rules that prohibit certain investment adviser advertisements and payments to solicitors, respectively. The proposed amendments to the advertising rule reflect...
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Federal Reserve Bank Capital Stock
The Board of Governors (Board) is publishing a final rule that applies an inflation adjustment to the threshold for total consolidated assets in Regulation I. Federal Reserve Bank (Reserve Bank) stockholders that have total consolidated assets above the threshold receive a different dividend rate on their Reserve Bank stock than stockholders...
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Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers
In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''), the Securities and Exchange Commission (``Commission''), pursuant to the Securities Exchange Act of 1934 (``Exchange Act''), is adopting recordkeeping, reporting, and notification requirements applicable to security-based swap dealers...
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Filing Fee Disclosure and Payment Methods Modernization
We are proposing amendments that would modernize filing fee disclosure and payment methods. We are proposing to amend most fee- bearing forms, schedules, statements, and related rules to require each fee table and accompanying disclosure to include all required information for fee calculation in a structured format. The proposed amendments would...
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Employment Contracts, Mutual to Stock Conversions, Technical Amendments
The OCC seeks comment on a proposed rule that would implement changes recommended in the March 2017 Economic Growth and Regulatory Paperwork Reduction Act report, including the repeal of the OCC's employment contract rule for Federal savings associations, and amend the OCC's fiduciary rules. The proposed rule also would amend the OCC's rule for...
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Amendments to Rule 2-01, Qualifications of Accountants
We are proposing amendments to update certain auditor independence requirements as a result of recent feedback received from the public and our experience administering these requirements since their initial adoption nearly two decades ago. The proposed amendments would more effectively focus the independence analysis on those relationships or...
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Disclosure of Payments by Resource Extraction Issuers
We are proposing Rule 13q-1 and an amendment to Form SD to implement Section 1504 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the ``Dodd-Frank Act'') relating to disclosure of payments by resource extraction issuers. Section 1504 of the Dodd- Frank Act added Section 13(q) to the Securities Exchange Act of 1934. Section...
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Amending the “Accredited Investor” Definition
We are proposing amendments to the definition of ``accredited investor'' in our rules to add new categories of qualifying natural persons and entities and to make certain other modifications to the existing definition. The proposed amendments are intended to update and improve the definition in order to identify more effectively institutional...
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Removal of Transferred OTS Regulations Regarding Certain Regulations for the Operations of State Savings Associations and Conforming Amendments to Other Regulations
The Federal Deposit Insurance Corporation (FDIC) is adopting a final rule (final rule) to rescind and remove certain regulations transferred in 2011 to the FDIC from the former Office of Thrift Supervision (OTS) pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act) because they are unnecessary, redundant,...
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Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence by Broker-Dealers and Registered Investment Advisers Regarding Retail Customers' Transactions in Certain Leveraged/Inverse Investment Vehicles
The Securities and Exchange Commission (the ``Commission'') is re-proposing rule 18f-4, a new exemptive rule under the Investment Company Act of 1940 (the ``Investment Company Act'') designed to address the investor protection purposes and concerns underlying section 18 of the Act and to provide an updated and more comprehensive approach to the...
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Cross-Border Application of Certain Security-Based Swap Requirements
The Securities and Exchange Commission (``SEC'' or ``Commission'') is adopting rule amendments and providing guidance to address the cross-border application of certain security-based swap requirements under the Securities Exchange Act of 1934 (``Exchange Act'') that were added by Title VII of the Dodd-Frank Wall Street Reform and Consumer...
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Risk Mitigation Techniques for Uncleared Security-Based Swaps
The Securities and Exchange Commission (``SEC'' or ``Commission'') is adopting final rules requiring the application of specific risk mitigation techniques to portfolios of uncleared security-based swaps. In particular, these final rules establish requirements for each registered security-based swap dealer (``SBS dealer'') and each registered...
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Unsafe and Unsound Banking Practices: Brokered Deposits Restrictions
The FDIC is inviting comment on proposed revisions to its regulations relating to the brokered deposits restrictions that apply to less than well capitalized insured depository institutions. The proposed rule would create a new framework for analyzing certain provisions of the ``deposit broker'' definition, including ``facilitating'' and...
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Adoption of Updated EDGAR Filer Manual
The Securities and Exchange Commission (the ``Commission'') is adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (``EDGAR'') Filer Manual (``EDGAR Filer Manual'' or ``Filer Manual'') and related rules. The EDGAR system was upgraded on January 27, 2020.
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Commission Guidance on Management's Discussion and Analysis of Financial Condition and Results of Operations
We are providing guidance on key performance indicators and metrics in Management's Discussion and Analysis of Financial Condition and Results of Operations (``MD&A'').
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Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information
We are proposing amendments to modernize, simplify, and enhance certain financial disclosure requirements in Regulation S-K. Specifically, we are proposing to eliminate Item 301 of Regulation S-K, Selected Financial Data and Item 302 of Regulation S-K, Supplementary Financial Information because they are largely duplicative of other requirements...
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Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
The OCC, Board, FDIC, SEC, and CFTC (together, the agencies) are inviting comment on a proposal that would amend the regulations implementing section 13 of the Bank Holding Company Act (BHC Act). Section 13 contains certain restrictions on the ability of a banking entity or nonbank financial company supervised by the Board to engage in...
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Control and Divestiture Proceedings
The Board is adopting a final rule to revise the Board's regulations related to determinations of whether a company has the ability to exercise a controlling influence over another company for purposes of the Bank Holding Company Act or the Home Owners' Loan Act. The final rule expands the number of presumptions for use in such determinations....