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Bankruptcy Regulations
The Commodity Futures Trading Commission (the ``Commission'') is amending its regulations governing bankruptcy proceedings of commodity brokers. The amendments are meant comprehensively to update those regulations to reflect current market practices and lessons learned from past commodity broker bankruptcies.
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Market Data Infrastructure
The Securities and Exchange Commission (``Commission'' or ``SEC'') is amending Regulation National Market System (``Regulation NMS'') under the Securities Exchange Act of 1934 (``Exchange Act'') to modernize the national market system for the collection, consolidation, and dissemination of information with respect to quotations for and...
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Holding Foreign Companies Accountable Act Disclosure
We are adopting interim final amendments to Forms 20-F, 40-F, 10-K, and N-CSR to implement the disclosure and submission requirements of the Holding Foreign Companies Accountable Act (``HFCA Act''). The interim final amendments will apply to registrants that the Securities and Exchange Commission (``Commission'') identifies as having filed an...
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Regulatory Capital Rule: Emergency Capital Investment Program
In order to support and facilitate the timely implementation and acceptance of the Congressionally authorized Emergency Capital Investment Program (ECIP) for the Department of the Treasury to make capital investments in low- and moderate-income community financial institutions, the OCC, Board, and FDIC (together, the agencies) are issuing an...
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Investment Adviser Marketing
The Securities and Exchange Commission (the ``Commission'' or the ``SEC'') is adopting amendments under the Investment Advisers Act of 1940 (the ``Advisers Act'' or the ``Act'') to update rules that govern investment adviser marketing. The amendments will create a merged rule that will replace both the current advertising and cash solicitation...
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Capital Planning and Stress Testing Requirements for Large Bank Holding Companies, Intermediate Holding Companies and Savings and Loan Holding Companies
The Board is adopting a final rule (final rule) to tailor the requirements in the Board's capital plan rule (capital plan rule) based on risk. Specifically, as indicated in the Board's October 2019 rulemaking that updated the prudential framework for large bank holding companies and U.S. intermediate holding companies of foreign banking...
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Administration of the Electronic Data Gathering, Analysis, and Retrieval System
The Securities and Exchange Commission (``Commission'') is adopting a new rule that specifies several actions that the Commission, in its administration of the Electronic Data Gathering, Analysis, and Retrieval system (``EDGAR''), may take to promote the reliability and integrity of EDGAR submissions. The new rule establishes a process for the...
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Adoption of Updated EDGAR Filer Manual, Proposed Collection and Comment Request for Form ID
The Securities and Exchange Commission (the ``Commission'') is adopting revisions to Volumes I and II of the Electronic Data Gathering, Analysis, and Retrieval system (``EDGAR'') Filer Manual (``EDGAR Filer Manual'' or ``Filer Manual'') and related rules. The revisions substantially reduce the length of Volume I, and amend Volume I and related...
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Exemption From the Definition of “Clearing Agency” for Certain Activities of Security-Based Swap Dealers and Security-Based Swap Execution Facilities
The Securities and Exchange Commission (``Commission'') is adopting a rule pursuant to Section 36 of the Securities Exchange Act of 1934 (``Exchange Act'') to exempt from the definition of ``clearing agency'' in Section 3(a)(23) of the Exchange Act certain activities of a registered security-based swap dealer, a registered security-based swap...
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Financial Crimes Enforcement Network; Inflation Adjustment of Civil Monetary Penalties
FinCEN publishes this final rule to reflect inflation adjustments to its civil monetary penalties (``CMPs'') as mandated by the Federal Civil Penalties Inflation Adjustment Act of 1990, as amended. This rule adjusts certain CMPs within the jurisdiction of FinCEN to the maximum amount required by that act.
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Unsafe and Unsound Banking Practices: Brokered Deposits and Interest Rate Restrictions
The FDIC is finalizing revisions to its regulations relating to the brokered deposits and interest rate restrictions that apply to less than well capitalized insured depository institutions. For brokered deposits, the final rule establishes a new framework for analyzing certain provisions of the ``deposit broker'' definition, including...
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Disclosure of Payments by Resource Extraction Issuers
We are adopting a rule under the Securities Exchange Act of 1934 (``Exchange Act'') and an amendment to Form SD to implement Section 13(q) of the Exchange Act. Section 13(q) directs the Commission to issue rules requiring resource extraction issuers to include in an annual report information relating to payments made to a foreign government or...
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Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets
We are adopting amendments to facilitate capital formation and increase opportunities for investors by expanding access to capital for small and medium-sized businesses and entrepreneurs across the United States. Specifically, the amendments simplify, harmonize, and improve certain aspects of the exempt offering framework to promote capital...
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Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information
We are adopting amendments to modernize, simplify, and enhance certain financial disclosure requirements in Regulation S-K. Specifically, we are eliminating the requirement for Selected Financial Data, streamlining the requirement to disclose Supplementary Financial Information, and amending Management's Discussion & Analysis of Financial...
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Good Faith Determinations of Fair Value
The Securities and Exchange Commission (``Commission'') is adopting a new rule under the Investment Company Act of 1940 (``Investment Company Act'' or the ``Act'') that will address valuation practices and the role of the board of directors with respect to the fair value of the investments of a registered investment company or business...
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Regulatory Capital Treatment for Investments in Certain Unsecured Debt Instruments of Global Systemically Important U.S. Bank Holding Companies, Certain Intermediate Holding Companies, and Global Systemically Important Foreign Banking Organizations; Total Loss-Absorbing Capacity Requirements
The OCC, Board, and FDIC (collectively, the agencies) are adopting a final rule that applies to advanced approaches banking organizations with the aim of reducing both interconnectedness within the financial system and systemic risks. The final rule requires deduction from a banking organization's regulatory capital for certain investments in...
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Activities and Operations of National Banks and Federal Savings Associations
The Office of the Comptroller of the Currency is issuing a final rule to revise and reorganize its regulations relating to the activities and operations of national banks and Federal savings associations and to amend its rules relating Federal savings association corporate governance. This rule clarifies and codifies recent OCC interpretations,...
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Use of Derivatives by Registered Investment Companies and Business Development Companies
The Securities and Exchange Commission (the ``Commission'') is adopting 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 regulation of...
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Equal Participation of Faith-Based Organizations in the Federal Agencies' Programs and Activities
This rule amends the regulations of the agencies listed above (``the Agencies'') to implement Executive Order 13831 of May 3, 2018 (Establishment of a White House Faith and Opportunity Initiative). This rule provides clarity about the rights and obligations of faith-based organizations participating in the Agencies' Federal financial assistance...
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Enterprise Regulatory Capital Framework
The Federal Housing Finance Agency (FHFA or the Agency) is adopting a final rule (final rule) that establishes risk-based and leverage capital requirements for the Federal National Mortgage Association (Fannie Mae) and the Federal Home Loan Mortgage Corporation (Freddie Mac, and with Fannie Mae, each an Enterprise). The final rule also makes...