| PUBLICATION DATE | EFFECTIVE DATE | RULE / DESCRIPTION | TOPIC | DFA SECTION |
| 5/17/2012 |
7/23/2012
| FDIC / FRS / OCC - Final supervisory guidance on stress testing for banking organizations with more than $10 billion in total consolidated assets. | Safety and Soundness | 165 |
| 5/10/2012 |
7/16/2013
| FDIC / FRS / OCC - Guidance on the effective date of the general prohibition on the provision of Federal assistance to a swaps entity. | Other | 716 |
| 4/30/2012 |
5/30/2012
| FDIC - Final rule regarding treatment of mutual insurance holding companies as insurance companies. | Insurance | 203, 209 |
| 4/12/2012 |
7/12/2012
| FRS - Final rule clarifying application of Regulation J to remittance transfers. | Payments, Settlement and Clearing Activities | 1073 |
| 4/11/2012 |
5/11/2012
| FSOC - Final rule on implementation of the Freedom of Information Act (FOIA). | Other | 112 |
| 4/11/2012 |
5/11/2012
| FSOC - Final rule on supervision and regulation of certain nonbank financial companies. | Safety and Soundness | 113 |
| 4/9/2012 |
10/1/2012
| CFTC - Final rules regarding risk management practices of clearing members of derivatives clearing organizations. | Derivatives Markets and Products; Payments, Settlement and Clearing Activities | 701 et seq. |
| 4/5/2012 |
4/16/2012
| SEC - Exemptions for security-based swaps issued by certain clearing agencies. | Derivatives Markets and Products | 763, 766 |
| 4/3/2012 |
4/3/2012
| CFPB - Notice regarding allowable amount for fee charged for making a disclosure to consumers. | Consumer Credit | 1088 |
| 4/3/2012 |
6/4/2012
| CFTC - Final rules regarding recordkeeping, reporting, risk management, monitoring trades, conflicts of interest, and compliance programs for swap dealers, major swap participants, futures commission merchants and introducing brokers. | Derivatives Markets and Products; Investor Protection | 725, 726, 731, 732 |
| 2/24/2012 |
4/24/2012
| CFTC - Final rule regarding compliance obligations of commodity pool operators (CPO) and commodity trading advisors (CTA). | Derivatives Markets and Products | 404, 406 |
| 2/22/2012 |
5/22/2012
| SEC - Final rule allowing investment advisers to charge performance based compensation to "qualified clients." | Derivatives Markets and Products | 205 |
| 2/17/2012 |
4/17/2012
| CFTC - Final rules on external business conduct standards for swap dealers and major swap participants. | Derivatives Markets and Products | 731 |
| 2/15/2012 |
2/15/2012
| CFPB - Final rule for Regulation C exempting certain depository institutions from collecting data in 2012. | Consumer Protection | 1094 |
| 2/7/2012 |
2/7/2012
| CFPB - Final rule related to electronic remittance transfers to other consumers or businesses in a foreign country (Regulation E). | Consumer Protection | 1073 |
| 2/7/2012 |
4/9/2012
| CFTC - Final rule regarding protection of cleared swaps customer contracts and collateral. | Derivatives Markets and Products | 724 |
| 1/23/2012 |
4/1/2012
| FDIC - Final rule requiring resolution plans for insured depository institutions with $50 billion or more in total assets. | Living Wills; Resolution Authority; Systemically Important Financial Institutions | 165 |
| 1/19/2012 |
3/19/2012
| CFTC - Final rules for registering swap dealers and major swap participants. | Derivatives Markets and Products | 731 |
| 1/19/2012 |
1/19/2012
| CFTC - Notice and order authorizing National Futures Association to perform registration functions with respect to swap dealers and major swap participants. | Derivatives Markets and Products | 731 |
| 1/13/2012 |
3/13/2012
| CFTC - Final rule on swap data recordkeeping and reporting requirements applicable to swap data repositories, derivatives clearing organizations, designated contract markets, swap execution facilities, swap dealers, major swap participants, and swap counterparties who are neither swap dealers nor major swap participants. | Derivatives Markets and Products | 727, 728, 729 |
| 1/9/2012 |
3/9/2012
| CFTC - Final rule providing for public availability of swap transaction data in real-time to enhance price discovery. | Derivatives Markets and Products; Investor Protection | 727 |
| 12/29/2011 |
2/27/2012
| SEC - Final rule amending the net worth standard for accredited investors. | Investor Protection; Securitization | 413, 944 |
| 12/28/2011 |
1/27/2012
| SEC - Final rule establishing requirements for disclosures in periodic reports filed by mine operators with the SEC. | Investor Protection | 1503 |
| 12/23/2011 |
12/23/2011
| CFTC - Amendment extending the expiration date provided in final order on temporary exemption for swaps, swap dealers, major swap participants, eligible swap participants, and certain transactions in exempt commodities. | Derivatives Markets and Products | 712, 721, 754 |
| 12/23/2011 |
2/21/2012
| CFTC - Final rules establishing registration requirements for certain foreign boards of trade (FBOT). | Derivatives Markets and Products | 738 |
| 12/19/2011 |
2/17/2012
| CFTC - Final rule regarding the investment of customer segregated funds and funds held in certain other accounts. | Investor Protection | 939A |
| 12/1/2011 |
12/30/2011
| FRS - Final rule requiring large BHCs (total consolidated assets of $50 billion or more) to submit annual capital plans and to obtain prior approval for certain capital distributions. | Safety and Soundness | 165 |
| 11/30/2011 |
11/30/2011
| NCUA - Final rule on remittance transfers. | Safety and Soundness | 1073 |
| 11/18/2011 |
1/17/2012
| CFTC - Rules addressing position limits for futures and swaps. | Derivatives Markets and Products | 737 |
| 11/16/2011 |
3/31/2012
| CFTC / SEC - Final rules on reporting requirements for registered investment advisors that advise one or more private funds, registered commodity pool operators and registered commodity trading advisors. | Derivatives Markets and Products | 401 et seq. |
| 11/8/2011 |
1/9/2012
| CFTC - Final rule regarding general provisions and core principles for derivatives clearing organizations. | Derivatives Markets and Products | 725, 802, 805, 807 |
| 11/1/2011 |
11/30/2011
| FDIC / FRS - Final rule to implement requirements for certain nonbank financial companies and bank holding companies to submit resolution plans. | Living Wills; Resolution Authority; Systemically Important Financial Institutions | 165 |
| 9/26/2011 |
9/26/2011
| FRS - Final rule temporarily excepting motor vehicle dealers from certain equal credit opportunity requirements. | Fair Lending | 1029, 1071 |
| 9/12/2011 |
9/12/2011
| CFTC - Final rules regarding retail foreign exchange transactions. | Derivatives Markets and Products | 721, 741, 742 |
| 9/1/2011 |
10/31/2011
| CFTC - Final rule establishing registration requirements, statutory duties, core principles and certain compliance obligations for registered swap data repositories (SDRs). | Derivatives Markets and Products | 728 |
| 8/25/2011 |
10/24/2011
| CFTC - Final rules implementing a whistleblower program that includes incentives and prohibits retaliation against whistleblowers. | Investor Protection | 748 |
| 8/24/2011 |
8/18/2011
| SEC - Order approving final rules for funding of oversight program related to audits of brokers and dealers. | Investor Protection | 982 |
| 8/23/2011 |
9/22/2011
| SEC - Final rule regarding suspension of the duty to file reports for classes of asset-backed securities. | Derivatives Markets and Products | 942 |
| 8/10/2011 |
12/31/2011
| CFTC - Final rules regarding agricultural swaps. | Derivatives Markets and Products | 723 |
| 8/3/2011 |
*
9/2/2011
| SEC - Removal of security ratings from rules and forms | Investor Protection; Securitization | 939A |
| 7/27/2011 |
9/26/2011
| CFTC - Final rule regarding provisions common to registered entities with respect to certification and approval for new products and contracts based on certain excluded commodities. | Derivatives Markets and Products | 745 |
| 7/27/2011 |
8/26/2011
| FSOC - Final rule on authority to designate financial market utilities (FMUs) as systemically important. | Systemically Important Financial Institutions | 804 |
| 7/26/2011 |
9/26/2011
| CFTC - Final rule on process for review of swaps for mandatory clearing. | Derivatives Markets and Products | 723, 745 |
| 7/25/2011 |
9/23/2011
| CFTC - Final rule removing any reference to or reliance on credit ratings in Commission regulations. | Investor Protection; Securitization | 939A |
| 7/22/2011 |
9/20/2011
| CFTC - Final rule on business affiliate marketing and disposal of consumer information. | Investor Protection | 1088 |
| 7/22/2011 |
9/20/2011
| CFTC - Final rule on privacy of consumer financial information; conforming amendments under Dodd-Frank Act. | Investor Protection | 1093 |
| 7/22/2011 |
9/20/2011
| CFTC - Final rules on large trader reporting for physical commodity swaps. | Derivatives Markets and Products | 737 |
| 7/21/2011 |
7/21/2011
| CFPB - Identification of enforceable rules under CFPB's authority. | Consumer Protection | 1063 |
| 7/21/2011 |
*
7/21/2011
| OCC - Final rule implementing transfer of authority from OTS to OCC | Safety and Soundness; Thrifts | 335, 603 |
| 7/20/2011 |
10/1/2011
| FRS - Final rule on debit card interchange fees and routing. | Debit Interchange Fees | 1075 |
| 7/19/2011 |
7/14/2011
| CFTC - Final order on temporary exemption for swaps, swap dealers, major swap participants, eligible swap participants, and certain transactions in exempt commodities. | Derivatives Markets and Products | 701 et seq. |
| 7/19/2011 |
*
7/21/2011
| SEC - Final rule on registration requirements for investment advisors and to the "pay-to-play" rule | Investor Protection | 410 |
| 7/18/2011 |
7/21/2011
| FRS - Final rule repealing Regulation Q, prohibition against payment of interest on demand deposits. | Safety and Soundness | 627 |
| 7/15/2011 |
8/15/2011
| FDIC - Final rule on certain orderly liquidation authority provisions. | Living Wills; Resolution Authority; Systemically Important Financial Institutions | 209 |
| 7/15/2011 |
8/15/2011
| FRS - Final rule issuing revised model adverse action notices in Regulation B, Equal Credit Opportunity. | Consumer Credit | 1100F |
| 7/15/2011 |
8/15/2011
| FRS / FTC - Final rule on risk-based pricing rules under the Fair and Accurate Credit Transactions Act. | Consumer Credit | 1100F |
| 7/14/2011 |
8/15/2011
| CFTC - Final rules to implement new anti-manipulation authority in swap markets. | Investor Protection | 753 |
| 7/14/2011 |
7/21/2011
| FDIC - Final rule rescinding regulations that implemented the statutory prohibition against the payment of interest on demand deposits. | Deposit Insurance Reform | 627 |
| 7/14/2011 |
7/15/2011
| OCC - Final rule on retail foreign exchange transactions. | Derivatives Markets and Products | 742 |
| 7/13/2011 |
9/12/2011
| CFTC - Final rule defining agricultural commodity. | Derivatives Markets and Products | 723 |
| 7/12/2011 |
7/15/2011
| FDIC - Final rule providing requirements for foreign currency futures, options on futures, and options an insured institution engages in with retail customers. | Derivatives Markets and Products | 742 |
| 7/8/2011 |
7/8/2011
| SEC - Extending expiration dates of temporary exemptions for eligible credit default swaps. | Derivatives Markets and Products | 763, 774 |
| 7/6/2011 |
7/21/2011
| FDIC / OCC - List of OTS regulations to be enforced by the OCC and FDIC upon the DFA transfer date. | Thrifts | 312, 316 |
| 7/6/2011 |
7/6/2011
| IRS - Temporary modification of Treasury regulations to remove references to credit ratings and credit agencies. | Safety and Soundness | 393 |
| 7/6/2011 |
7/21/2011
| SEC - Final rule providing exemptions from registration requirements for advisers to venture capital funds, private fund advisers with less than $150 million in assets, and foreign private advisers. | Investor Protection | 403, 409, 419 |
| 6/29/2011 |
8/29/2011
| SEC - Final rule defining "family office." | Investor Protection | 209 |
| 6/28/2011 |
7/28/2011
| FDIC / FRS / OCC - Final rule amending risk-based capital adequacy standards. | Bank Capital | 171 |
| 6/20/2011 |
1/1/2012
| FRS - Final rule increasing the threshold for exempt consumer credit transactions to $51,800. | Consumer Credit | 1100E |
| 6/20/2011 |
1/1/2012
| FRS - Final rule increasing the threshold for exempt consumer leases to $51,800. | Consumer Protection | 1100E |
| 6/14/2011 |
7/16/2011
| SEC - Final rule on beneficial ownership reporting requirements and security-based swaps. | Derivatives Markets and Products | 766 |
| 6/13/2011 |
8/12/2011
| SEC - Final rule to implement whistleblower incentives and protection provisions. | Investor Protection | 922 |
| 5/25/2011 |
6/24/2011
| NCUA - Final rule revising Part 745; Share Insurance and Appendix. | Deposit Insurance Reform | 343 |
| 5/16/2011 |
5/16/2011
| SEC - Order directing funding for the Governmental Accounting Standards Board (GASB). | Derivatives Markets and Products | 978 |
| 5/4/2011 |
4/28/2011
| FDIC - Establishment of the FDIC Systemic Resolution Advisory Committee. | Systemically Important Financial Institutions | 201 et seq. |
| 4/4/2011 |
7/21/2011
| FRS - Final rule to amend Regulation M to exempt certain consumer credit transactions in which the amount financed exceeds $50,000. | Consumer Credit | 1062, 1100H |
| 4/4/2011 |
7/21/2011
| FRS - Final rule to amend Regulation Z to exempt certain consumer credit transactions in which the amount financed exceeds $50,000. | Mortgage Reform | 1062, 1100H |
| 3/2/2011 |
4/1/2011
| FRS - Final rule providing a separate, higher threshold for determining coverage of the escrow requirement applicable to higher-priced mortgage loans under Regulation Z, Truth in Lending. | Mortgage Reform | 1461 |
| 2/25/2011 |
4/1/2011
| FDIC - Final rules regarding the assessment base and rates, large institutions assessment system, and deposit insurance fund dividends. | Deposit Insurance Reform | 331, 332, 334 |
| 2/14/2011 |
4/1/2011
| FRS - Final rule on conformance period for prohibited proprietary trading, private equity fund or hedge fund activities (Volcker rule). | Proprietary Trading by Bank | 619 |
| 2/2/2011 |
4/4/2011
| SEC - Shareholder approval of executive compensation and golden parachutes. | Executive Compensation | 951 |
| 1/27/2011 |
1/27/2011
| FDIC - Final rule amending deposit insurance regulations to allow unlimited coverage for IOLTAs. | Deposit Insurance Reform | 343 |
| 1/26/2011 |
3/28/2011
| SEC - Final rule on representations and warranties in asset-backed securities offerings. | Investor Protection; Securitization | 943 |
| 1/25/2011 |
3/28/2011
| SEC - Final rule requiring issuers of asset-backed securities to review the assets underlying each ABS and to disclose the nature of the review and findings. | Securitization | 945 |
| 1/24/2011 |
1/24/2011
| SEC - Final rule for the handling of proposed rule changes submitted by self-regulatory organizations (SROs). | Derivatives Markets and Products | 916 |
| 12/20/2010 |
1/1/2011
| FDIC - Designated reserve ratio for the Deposit Insurance Fund. | Deposit Insurance Reform | 334 |
| 11/15/2010 |
12/31/2010
| FDIC - Final rule on deposit insurance coverage for noninterest bearing transaction accounts. | Deposit Insurance Reform | 343 |
| 10/4/2010 |
10/4/2010
| SEC - Removal from regulation FD of the exemption for disclosures made to credit rating agencies for the purpose of determining a credit rating. | Securitization | 939B |
| 10/1/2010 |
10/1/2010
| SEC - Commission guidance regarding auditing, attestation, and related professional practice standards for brokers and dealers. | Corporate Governance | 982 |
| 9/24/2010 |
4/1/2011
| FRS - Truth in Lending final rule to protect consumers in the mortgage market from unfair lending practices that can arise from certain loan originator compensation practices. | Mortgage Reform | 1403 |
| 9/21/2010 |
9/21/2010
| SEC - Final rule provides that any accounting firm preparing an audit report for an issuer that is a non-accelerated filer will not be required to attest to, and report on, the internal control assessment made by the issuer's management. | Corporate Governance | 989G |
| 9/20/2010 |
7/21/2011
| CFPB - Designated transfer date for transfer of functions to the Bureau of Consumer Financial Protection. | Other | 1062 |
| 9/10/2010 |
10/18/2010
| CFTC - New regulations establishing standards for off-exchange retail foreign exchange transactions and intermediaries. | Derivatives Markets and Products | 742 |
| 9/2/2010 |
9/2/2010
| NCUA - Increase standard maximum share insurance amount (SMSIA) applicable to credit union accounts. | Deposit Insurance Reform | 335 |
| 8/13/2010 |
8/13/2010
| FDIC - Increase in standard maximum deposit insurance amount (SMDIA). | Deposit Insurance Reform | 335 |