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Dodd-Frank Regulatory Reform Rules

Proposed

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PUBLICATION DATE		COMMENT PERIOD ENDEDRULE / DESCRIPTIONTOPICDFA SECTION
4/18/20135/3/2013CFPB - Proposed rule clarifying exemptions from escrow requirements for higher-priced mortgage loans (Regulation Z).Mortgage Reform1061, 1100, 1022
3/4/20135/3/2013FRS - Notice of proposed rulemaking regarding financial market utilities.Payments, Settlement and Clearing Activities805, 806
2/27/20134/8/2013CFPB - Request for information regarding an initiative to promote student loan affordability.Consumer Protection1035
2/5/20133/18/2013CFPB - Request for information regarding financial products marketed to students enrolled in institutions of higher education.Consumer Protection1021
1/30/20132/25/2013CFPB - Proposed rule regarding ability-to-repay standards under the Truth In Lending Act (Regulation Z). Consumer Protection1411, 1412, 1414
1/7/20132/6/2013CFTC - Further proposed guidance regarding compliance with certain swap regulations.Derivatives Markets and Products722
1/2/20132/1/2013CFTC - Proposed extension of compliance dates for certain business conduct standards for swap dealers and major swap participants.Derivatives Markets and Products731
12/31/20121/15/2013CFPB - Proposed rule and request for comment related to remittance transfers (Regulation E).Consumer Protection1073
12/28/20124/30/2013FRS - Proposed rule regarding enhanced prudential standards and early remediation requirements for foreign banking organizations and foreign nonbank financial companies.Safety and Soundness165, 166
12/17/20122/15/2013CFPB - Proposed policy to encourage trial disclosure programs. Consumer Protection1021, 1032
12/6/20121/25/2013FRS / TREAS - Notice of proposed rulemaking regarding definitions of transmittal of funds and funds transfer under the Bank Secrecy Act.Consumer Protection1073
11/23/20122/15/2013FRS - Proposed policy statement on the scenario design framework for stress testing. Safety and Soundness165
11/19/20122/15/2013FSOC - Proposed recommendations regarding money market mutual fund reform.Safety and Soundness120
11/14/20122/15/2013CFTC - Proposed rule enhancing protections for customers and customer funds held by futures commission merchants and derivatives clearing organizations. Consumer Protection724, 806
11/7/20121/7/2013CFPB - Proposed rule removing credit card independent ability-to-pay requirements for consumers 21 and over pursuant to the Truth in Lending Act, Regulation Z. Consumer Credit1022, 1061
11/6/201212/4/2012FHFA - Proposed rule implementing annual stress tests for regulated entities. Safety and Soundness165
10/12/201211/13/2012OCC - Notice of proposed rulemaking regarding retail foreign exchange transactions.Derivatives Markets and Products742
10/12/201211/13/2012SEC - Proposed rule extending temporary rule for investment advisers registered as broker-dealers.Investor Protection913
10/2/201211/1/2012CFTC / SEC - Reopening of comment period on study to determine whether stable value contracts fall within the definition of a swap.Corporate Governance719
10/2/201211/26/2012FCA / FDIC / FHFA / FRS / OCC - Reopening of comment period for proposed rule to establish swap margin and capital requirements.Derivatives Markets and Products731, 764
9/17/201210/9/2012CFPB - Proposed mortgage servicing rules for adjustable-rate mortgages (Regulation Z).Consumer Protection; Fair Lending1481, 1420, 1463, 1464
9/17/201210/9/2012CFPB - Proposed rules for mortgage loan servicer obligations (Regulation X).Consumer Protection; Fair Lending1418, 1420, 1463, 1464
9/7/201210/16/2012CFPB - Proposal amending loan originator compensation rules (Regulation Z).Consumer Protection1061, 1100A, 1402, 1403, 1414
9/5/201210/15/2012CFPB / FDIC / FHFA / FRS / NCUA / OCC - Proposed appraisal standards and disclosures for higher-risk mortgages.Consumer Protection; Mortgage Reform1471
8/30/201210/22/2012FDIC / FRS / OCC - Proposed advanced approaches and market risk capital rules.Bank Capital171, 939A
8/30/201210/22/2012FDIC / FRS / OCC - Proposed revisions to risk-based and leverage capital requirements consistent with Basel III, including tier 1 capital requirements, a supplementary leverage ratio, and limits on capital distributions and certain discretionary bonus payments.Bank Capital171
8/30/201210/22/2012FDIC / FRS / OCC - Proposed standardized approach for calculating risk-weighted assets.Bank Capital171, 939A
8/28/20129/27/2012CFTC - Proposed exemption for certain transactions under a protocol or tariff approved by FERC or a State regulatory authority.Derivatives Markets and Products712
8/23/201211/6/2012CFPB - Proposed amendments to regulations under the Truth in Lending Act Act (Regulation Z) and the Real Estate Settlement Procedures Act (Regulation X) to establish new disclosure requirements and compliance guidance for closed-end consumer mortgagesConsumer Protection1032, 1098, 1100
8/23/20129/22/2012CFTC - Proposed amendments to exempt certain transactions involving not-for-profit electric utilities.Derivatives Markets and Products722
8/21/201210/22/2012CFPB - Intent to make preemption determination concerning state laws in Maine and Tennessee relating to unclaimed gift cards.Consumer Protection1022
8/21/201210/15/2012CFPB - Proposed amendments to Regulation B (Equal Credit Opportunity) concerning appraisals. Consumer Protection1474
8/21/20129/20/2012CFTC - Proposed rule exempting swaps between certain affiliated entities from the clearing requirement.Derivatives Markets and Products723
8/15/201211/6/2012CFPB - Proposed amendments to Truth in Lending Act regulations to implement home ownership counseling related requirements and other protectionsConsumer Protection1011, 1021, 1061, 1098
8/7/20129/6/2012CFTC - Proposed clearing requirement for credit default swaps (CDS) and interest rate swaps (IRS).Derivatives Markets and Products723
8/2/201210/31/2012CFPB - Request for information on effective financial education.Consumer Protection1013
7/17/20128/16/2012CFTC - Proposed swap clearing exemption limited to cooperatives whose members are eligible for the end-user exception.Derivatives Markets and Products723
7/12/20129/14/2012CFTC - Proposal to address initial and variation margin requirements for uncleared swaps for swap dealers and major swap participants. Consumer Protection; Derivatives Markets and Products731
7/12/20128/13/2012CFTC - Proposed exemptive order regarding compliance with certain swap regulations.Derivatives Markets and Products722, 752
7/12/20128/27/2012CFTC - Proposed interpretive guidance and policy statement regarding cross-border application of certain swaps provisions.Derivatives Markets and Products701 et seq.
7/2/20128/31/2012CFPB - Request for information on reverse mortgage study.Consumer Protection1076
6/27/20127/27/2012CFTC - Proposed rules pertaining to block trades in swap contracts.Derivatives Markets and Products; Investor Protection727
6/27/20128/27/2012TREAS - Request for comment on matters to include in the report of the Federal Insurance Office (FIO) on the U.S. and global reinsurance market.Insurance502
6/22/20127/19/2012CFPB - Proposed policy statement on disclosure of consumer complaint data about financial services other than credit cards.Consumer Protection1001 et seq.
6/19/20128/20/2012CFPB - Request for information regarding impact of consumer financial products and services on seniors.Consumer Protection1013
6/18/20128/17/2012FDIC - Proposed clarification of definition of "predominantly engaged in financial activities" for purposes of FDIC's orderly liquidation authority.Resolution Authority201, 209, 210
6/15/20128/14/2012CFTC - Proposal regarding registration and supervision of persons associated with swap dealers (SD) and major swap participants (MSP) to address situations in which an individual conducts swaps-related activity on behalf of more than one Swap Entity (SD and/or MSP).Derivatives Markets and Products731
6/14/20128/13/2012CFPB - Request for information regarding complaints from private education loan borrowers.Consumer Protection; Fair Lending1035
5/30/20126/29/2012CFTC - Proposed modifications to aggregation and position limits for futures contracts and swaps. Derivatives Markets and Products737
5/25/20127/24/2012CFPB - Proposed rule to establish supervisory authority over certain nonbanks based on risk determination.Consumer Protection1024
5/24/20127/23/2012CFPB - Advanced notice of proposed rulemaking related to protections for consumers who use general purpose reloadable prepaid cards.Consumer Protection1061, 1084
5/16/20125/30/2012CFTC - Proposal extending expiration dates and modifying temporary exemption for swaps, swap dealers, major swap participants, eligible swap participants, and certain transactions in exempt commodities. Derivatives Markets and Products701 et seq.
5/7/20126/6/2012CFTC - Proposed interpretive statement concerning confidentiality and indemnification for swap data repositories.Derivatives Markets and Products728
4/27/20126/23/2012CFPB - Request for information for upcoming study on use of arbitration agreements in consumer transactions.Consumer Protection1028
4/12/20126/11/2012CFPB - Proposed amendment to limits on total fees a credit card issuer may require a consumer to pay with respect to an account (Regulation Z).Consumer Credit1022
4/10/20125/25/2012FRS - Proposed clarification for determining whether a company is "predominantly engaged in financial activities."Safety and Soundness113
3/27/20125/29/2012FDIC - Proposed rule amending the definitions used to determine assessment rates for large, complex institutions. Deposit Insurance Reform331, 332, 334
3/27/20125/29/2012FDIC - Proposed rule implementing enforcement of subsidiary and affiliate contracts by the FDIC as receiver of a covered financial company.Resolution Authority; Systemically Important Financial Institutions210
3/22/20124/23/2012CFPB - Request for comment on payday lending hearing transcript.Consumer Protection; Fair Lending1024
3/22/20124/16/2012TREAS - Notice establishing the Federal Research Advisory Committee and seeking applications for committee members.Other152
3/15/20124/16/2012CFPB - Proposed rules relating to confidential treatment of privileged information.Other1022
3/15/20125/14/2012CFTC - Proposal to establish appropriate minimum block sizes for large notional off-facility swaps and block trades.Derivatives Markets and Products; Investor Protection727
3/13/20126/4/2012CFPB - Public input sought to set priorities for updating regulations that the CFPB inherited from other agencies.Consumer Protection1001 et seq.
3/6/20125/7/2012CFTC / SEC - Proposed rules regarding identity theft prevention programs.Consumer Protection1088
2/28/20126/29/2012CFPB - Request for information on the impact of overdraft programs on consumers.Consumer Protection1075
2/23/20123/30/2012CFPB - Establishment of the Consumer Advisory Board and request for nominations.Consumer Protection1014
2/17/20124/17/2012CFPB - Proposed rule defining larger participants in markets for consumer debt collection and consumer reporting. Consumer Protection1024
2/14/20124/16/2012CFTC - Proposed rule for banks and nonbank financial companies restricting proprietary trading and relationships with hedge funds and other covered funds.Proprietary Trading by Bank619
2/7/20124/9/2012CFPB - Proposal and request for comment regarding electronic remittance transfers to consumers or businesses in a foreign country (Regulation E).Consumer Protection1073
1/24/20124/30/2012OCC - Proposed rule regarding annual stress tests for national banks and federal savings associations.Safety and Soundness165
1/23/20124/30/2012FDIC - Proposed rule regarding annual stress tests for state nonmember banks and state savings associations.Safety and Soundness165
1/23/20123/23/2012SEC - Request for comment for study regarding financial literacy among investors.Investor Protection917
1/5/20124/30/2012FRS - Proposal to implement prudential standards and early remediation requirements for large bank holding companies and certain nonbank financial institutions (Regulation YY).Safety and Soundness165, 166
1/3/20123/5/2012TREAS - Proposed rule to assess fees on large bank holding companies and nonbank financial companies to cover expenses of the Office of Financial Research.Other118, 155, 210
12/21/20112/3/2012FDIC / FRS / OCC - Proposal to amend proposed market risk capital rule to provide methodologies for calculating specific risk capital requirements (Regulation H and Y).Safety and Soundness939A
12/15/20112/13/2012FDIC - Comments sought on proposed guidance for savings associations to determine whether a corporate debt security is eligible for investment.Safety and Soundness939
12/15/20112/13/2012FDIC - Proposed rule requiring savings associations to determine whether an issuer of a corporate debt security can satisfy commitments for the projected life of the investment.Safety and Soundness939
12/14/20112/13/2012CFTC - Comments sought on CFTC interpretation of Dodd Frank Act Section 742(a) addressing retail commodity transactions.Derivatives Markets and Products742
12/14/20112/13/2012CFTC - Proposed rule providing a process for a designated contract market or swap execution facility to make a swap available to trade.Derivatives Markets and Products723
12/13/20112/13/2012FDIC - Proposed rule to treat mutual insurance holding companies as insurance companies.Insurance203, 209
12/8/20111/30/2012CFPB - Request for comment on proposed policy statement addressing disclosure of certain credit card complaint data.Consumer Protection1001 et seq.
11/29/201112/29/2011OCC - Proposed alternatives to the use of external credit ratings in OCC regulations.Derivatives Markets and Products; Investor Protection939, 939A
11/29/201112/29/2011OCC - Proposed guidance on due diligence requirements in determining whether investment securities are eligible for investment.Derivatives Markets and Products; Investor Protection939A
11/25/20111/24/2012FDIC / TREAS - Proposed rule on calculation of the maximum obligations that the FDIC may issue or incur in connection with the orderly liquidation of a covered financial company.Resolution Authority210
11/18/20111/17/2012FCA - Request for comment on approach to removing references to credit ratings.Investor Protection939A
11/17/20111/17/2012CFPB - Request for information on private education loans and private educational lenders.Consumer Protection; Fair Lending1077
11/7/20112/13/2012FDIC / FRS / OCC / SEC - Proposed rule to implement certain prohibitions and restrictions on banking entities and nonbank financial companies supervised by the Board (the Volcker Rule).Proprietary Trading by Bank619
11/2/201112/2/2011DOE - Proposed rule to remove references to credit ratings and credit assessments from regulatory provisions.Safety and Soundness939A
10/25/201111/25/2011CFTC - Proposed amendment extending expiration dates 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 Products701 et seq.
10/18/201112/19/2011FRS - Proposal clarifying Regulation J's application to remittance transfers.Payments, Settlement and Clearing Activities1073
10/18/201112/19/2011FSOC - Second proposal regarding criteria, processes and procedures to require enhanced supervision of certain nonbank financial companies.Safety and Soundness113
9/28/20112/13/2012SEC - Prohibition against conflicts of interest in certain securitizations.Securitization621
9/27/201111/28/2011TREAS - Proposal to replace references to credit ratings in the liquid capital rule.Derivatives Markets and Products939A
9/20/201111/4/2011CFTC - Swap transaction compliance and implementation schedule for clearing and trade execution.Derivatives Markets and Products712, 723
9/20/201111/4/2011CFTC - Swap transaction compliance and implementation schedule for trading documentation and margining requirements.Derivatives Markets and Products712, 731
9/16/201112/15/2011IRS - Swap exclusion for Section 1256 contracts.Derivatives Markets and Products1601
9/13/201111/14/2011TREAS - Notice and request for comment on financial access activities.Other1204
9/7/201111/7/2011SEC - Request for comment on proposed treatment of asset-backed issuers under federal securities laws.Securitization939A
9/6/20119/20/2011CFPB - Request for information on consumer financial products and services offered to or used by service members.Consumer Protection1013
9/6/201110/6/2011NCUA - Request for comment on amendments to the proposed rule removing references to credit ratings in regulations applicable to corporate credit unions.Safety and Soundness939A
9/2/201110/11/2011FRS - Proposed rule on supervised securities holding companies registration.Other618
8/26/201111/25/2011FCA - Request for comment on alternatives to using credit ratings in risk-based capital regulations.Safety and Soundness939A
8/18/201111/16/2011FCA - Proposal to strengthen investment rules and request for comment on removal of credit ratings.Investor Protection939A
8/5/201110/4/2011SEC - Re-proposal of shelf eligibility conditions for asset-backed securities.Derivatives Markets and Products939A, 942
8/3/201110/11/2011FRS - Retail foreign exchange transactions.Derivatives Markets and Products742
8/1/20119/30/2011CFTC - Clearing member risk management.Derivatives Markets and Products; Payments, Settlement and Clearing Activities701 et seq.
8/1/20119/30/2011CFTC - Customer clearing documentation and timing of acceptance of clearing.Derivatives Markets and Products; Payments, Settlement and Clearing Activities701 et seq.
7/26/20119/26/2011CFTC / SEC - Proposal regarding study for international swap regulations.Derivatives Markets and Products719
7/22/20118/31/2011FRS - Notice of intent to continue enforcing certain OTS-issued regulations for savings and loan holding companies.Thrifts312, 316
7/6/20118/30/2011IRS - Proposed rulemaking modifying Treasury regulations to remove references to credit ratings and credit agencies.Safety and Soundness393
6/29/20118/15/2011CFPB - Request for comment on implementation of a risk-based supervision program.Consumer Protection1001 et seq.
6/27/20118/26/2011SEC - Proposed rule amending the broker-dealer financial reporting rule.Consumer Protection; Payments, Settlement and Clearing Activities982
6/23/20117/29/2011FRS - Proposed rule temporarily excepting motor vehicle dealers from certain equal credit opportunity requirements.Fair Lending1029, 1071
6/17/20117/1/2011CFTC - Proposed temporary exemption for swaps, swap dealers, major swap participants, eligible swap participants, and certain transactions in exempt commodities.Derivatives Markets and Products754
6/17/20118/5/2011FRS - Proposed capital plan requirement for large bank holding companies.Safety and Soundness165
6/16/20118/15/2011FCA - Advance notice of proposed rulemaking regarding Farmer Mac and alternatives to using credit ratings, use of creditworthiness in stress tests, and emphasis on diversity and inclusion.Safety and Soundness939A
6/15/20117/25/2011SEC - Proposed rules on exemptions for security-based swaps issued by certain clearing agencies.Derivatives Markets and Products763, 766
6/10/20118/1/2011FDIC / FHFA / FRS / HUD / OCC / SEC - Joint proposal to implement credit risk retention requirements. Consumer Credit941
6/9/20118/8/2011CFTC - Proposed rule on protecting cleared swaps customer contracts and amending commodity broker bankruptcy provisions.Derivatives Markets and Products; Investor Protection724
6/8/20118/8/2011SEC - Proposed rule for nationally recognized statistical rating organizations.Consumer Credit901 et seq.
6/7/20118/8/2011CFTC - Adaptation of regulations to incorporate swaps.Derivatives Markets and Products701 et seq.
6/1/20117/14/2011SEC - Disqualification of felons and other "bad actors" from Rule 506 offerings.Investor Protection; Securitization926
5/31/20116/30/2011CFPB - List of enforceable rules to come under CFPB's authority.Consumer Protection1001 et seq.
5/26/20116/27/2011OCC - Proposed rules to implement transfer of authority from OTS to OCC and to implement DFA changes in banking law.Safety and Soundness; Thrifts335, 603
5/23/20117/22/2011CFTC / SEC - Joint proposed rule and proposed interpretive guidance on the definitions of the terms "swap," "security-based swap," and "security-based swap agreement."Derivatives Markets and Products712, 721, 761
5/23/20117/22/2011FRS - Proposal to amend Regulation E to add new protections for consumers who send remittance transfers to designated recipients in a foreign country.Consumer Protection; Payments, Settlement and Clearing Activities1073
5/17/20116/16/2011FDIC - Proposed requirements for foreign currency futures, options on futures, and options an insured institution engages in with retail customers.Derivatives Markets and Products742
5/16/20119/13/2011SEC - Solicitation of comment to assist in study on assigned credit ratings.Safety and Soundness939F
5/13/20115/31/2011TREAS - Notice of establishment of the Federal Advisory Committee on Insurance (FACI) and solicitation of applications for committee membership.Other502
5/12/20117/11/2011CFTC - Proposal to adopt capital requirements of swap dealers and major swap participants.Derivatives Markets and Products; Investor Protection724
5/11/20117/9/2012CFPB - Proposal to amend the ability-to-repay requirement in Regulation Z, Truth in Lending.Mortgage Reform1061, 1100, 1411, 1412, 1414
5/9/20116/23/2011SEC - Request for comment on the short sale reporting study.Derivatives Markets and Products; Investor Protection417
5/6/20117/5/2011SEC - Proposal to remove certain references to credit ratings.Safety and Soundness939A
5/5/20116/6/2011TREAS - Proposal to exempt foreign exchange swaps and foreign exchange forwards from the definition of "swap" under the Commodity Exchange Act.Derivatives Markets and Products721
5/4/20116/3/2011CFTC - Reopening and extension of comment periods for rulemakings on the new framework for regulation of swaps.Derivatives Markets and Products701 et seq.
4/29/20115/31/2011FRS - Request for information relating to studies regarding the resolution of financial companies under the Bankruptcy Code.Resolution Authority216, 217
4/25/20116/9/2011CFTC - Proposal to establish recordkeeping and reporting requirements for pre-enactment swaps and transition swaps.Derivatives Markets and Products; Investor Protection723, 728, 729
4/22/20116/10/2011FDIC / FRS - Joint proposed rule to implement requirements for certain nonbank financial companies and bank holding companies to submit resolution plans and credit exposure reports.Living Wills; Resolution Authority; Systemically Important Financial Institutions165
4/22/20115/23/2011FRS - Notice of intent to apply certain supervisory guidance to saving and loan holding companies (SLHCs).Safety and Soundness312
4/22/20115/23/2011OCC - Proposed rule on retail foreign exchange transactions.Derivatives Markets and Products742
4/22/20116/21/2011SEC - Request for comment on the effectiveness of existing private and public efforts to educate investors.Investor Protection917
4/15/20115/16/2011FDIC - Proposal to rescind regulations that have implemented the statutory prohibition against the payment of interest on demand deposits.Deposit Insurance Reform627
4/14/20115/31/2011FDIC / FHFA / FRS / NCUA / OCC / OTS / SEC - Joint proposal to require reporting of incentive-based compensation arrangements.Executive Compensation956
4/14/20115/16/2011FRS - Repeal of Regulation Q, prohibition against payment of interest on demand deposits.Safety and Soundness627
4/6/20115/19/2011SEC - Extension of comment period on proposed rules to establish listing standards for compensation committees.Derivatives Markets and Products; Investor Protection952
4/4/20115/19/2011FRS - Risk management standards regarding certain financial market utilities (FMUs).Payments, Settlement and Clearing Activities805, 806
3/28/20115/27/2011FSOC - Authority to designate financial market utilities as systemically important.Systemically Important Financial Institutions804
3/28/20115/27/2011FSOC - Implementation of the Freedom of Information Act (FOIA).Other112
3/25/20116/3/2011FRS - Proposed rules to facilitate electronic check collection and return (Regulation CC).Consumer Protection; Payments, Settlement and Clearing Activities1086
3/25/20115/9/2011SEC - Proposed rule concerning due diligence of transfer agents, brokers, dealers, and paying agents in searching for lost or missing securityholders.Investor Protection929W
3/24/20116/3/2011CFTC - Proposed regulations for compliance with derivatives clearing organization (DCO) Core Principles.Derivatives Markets and Products725, 802
3/23/20115/23/2011FDIC - Proposed rule concerning provisions of orderly liquidation authority.Resolution Authority201, 209, 210
3/22/20114/15/2011SEC - Beneficial ownership reporting requirements and security-based swaps.Derivatives Markets and Products766
3/18/20115/17/2011CFTC - Interpretive guidance on statutory disruptive practices.Derivatives Markets and Products747
3/15/20114/14/2011FRS - Proposed amendments to model adverse action notices in Regulation B, Equal Credit Opportunity.Consumer Credit1100F
3/15/20114/14/2011FRS / FTC - Proposed amendments to risk-based pricing rules under the Fair and Accurate Credit Transactions Act.Consumer Credit1100F
3/10/20116/3/2011CFTC - Proposed requirements for processing, clearing, and transfer of customer positions.Derivatives Markets and Products; Payments, Settlement and Clearing Activities731
3/9/20116/3/2011CFTC - Proposed amendments for registration of intermediaries.Derivatives Markets and Products721
3/9/20114/25/2011SEC - Proposal to remove references to credit ratings in SEC forms and regulations.Investor Protection; Securitization939A
3/8/20115/9/2011OTS - Proposal to amend risk-based capital standards and rules and to establish a risk-based capital floor.Bank Capital171
3/3/20116/3/2011CFTC - Proposed amendments to commodity pool operator and commodity trading advisor regulations.Derivatives Markets and Products; Investor Protection721
3/2/20115/2/2011FRS - Proposed changes regarding mandatory escrow account and disclosure requirements in Regulation Z, Truth in Lending.Mortgage Reform1461, 1462
3/1/20115/2/2011NCUA - Proposal removing references to credit ratings in regulations and proposing alternatives to the use of credit ratings.Safety and Soundness939A
2/16/20113/28/2011SEC - Proposal to remove references to credit ratings in SEC forms and regulations.Investor Protection; Securitization939A
2/11/20114/12/2011CFTC - Proposed new data collection and compliance obligations for commodity pool operators and commodity trading advisors.Derivatives Markets and Products404, 406
2/11/20114/12/2011CFTC / SEC - Proposed 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 Products404
2/11/20113/30/2011FRS - Proposed criteria for determining whether a company is "predominantly engaged in financial activities" and definitions of "significant nonbank financial company" and "significant bank holding company."Mortgage Reform113
2/8/20116/3/2011CFTC - Proposal to establish requirements for swap trading relationship documentation requirements for swap dealers and major swap participants.Derivatives Markets and Products; Investor Protection731
2/8/20116/3/2011CFTC - Proposal to include orderly liquidation termination provision in swap trading relationship documentation for swap dealers and major swap participants.Derivatives Markets and Products; Investor Protection731
2/8/20114/11/2011FRS - Federal Reserve reporting forms for savings and loan holding companies.Thrifts312, 316, 321, 326
2/8/20113/10/2011FSOC - Comments requested on proposed modifications to the concentration limit on large financial companies.Systemically Important Financial Institutions622
2/3/20116/3/2011CFTC - Proposal to allow commodity options and agricultural swaps to transact subject to the same rules as all other swaps.Derivatives Markets and Products721, 723, 733, 735
1/31/20113/17/2011FHFA / FHFB / OFHEO - Alternatives to use of credit ratings in regulations governing Fannie Mae, Freddie Mac and the Federal Home Loan Banks.Safety and Soundness939A
1/31/20113/11/2011SEC - Net worth standard for accredited investors.Investor Protection; Securitization413, 944
1/26/20113/28/2011CFTC - Proposed rules to establish i) position limits for certain physical commodity futures and option contracts, and, ii) aggregate position limits that would apply across different trading venues to contracts based on the same underlying commodity.Derivatives Markets and Products737
1/26/20112/25/2011FSOC - Proposal regarding criteria, processes and procedures to require enhanced supervision of certain nonbank financial companies.Safety and Soundness939A
1/12/20112/7/2011SEC - Suspension of the duty to file reports for classes of asset-backed securities.Derivatives Markets and Products942
1/11/20114/11/2011FDIC / FRS / OCC - Proposed revisions to risk-based capital guidelines related to market risk capital rules.Bank Capital171, 606, 616
1/7/20116/3/2011CFTC - Proposed new rules, guidance and acceptable practices for swap execution facilities (SEFs).Derivatives Markets and Products723, 733
1/6/20116/3/2011CFTC - Proposed reporting requirements, transparency in decision-making, and limitations on use or disclosure of non-public information related to resolving conflicts of interest for clearing organizations, designated contract markets, and swap facilities.Derivatives Markets and Products; Investor Protection725, 726
1/6/20112/22/2011SEC - Registration of municipal advisors (Rules 15Ba1-1 through 15Ba1-7 and new Forms MA, MA-I, MA-W, and MA-NR).Derivatives Markets and Products975
12/30/20102/28/2011FDIC / FRS / OCC - Amendments to risk-based capital adequacy standards.Bank Capital171
12/30/20102/14/2011SEC - Proposed notice and filing requirements for clearing agencies concerning Security-Based Swap Submissions.Derivatives Markets and Products; Investor Protection763, 806
12/28/20106/3/2011CFTC - Proposed standards for swap dealers and major swap participants related to timely and accurate confirmation, processing, netting, documentation, and valuation of swaps.Derivatives Markets and Products; Investor Protection731
12/28/20102/22/2011FRS - Proposed new Regulation II establishing standards for setting interchange fees received or charged with respect to electronic debit transactions.Debit Interchange Fees1075
12/23/20106/3/2011CFTC - Proposed new requirements governing the elective exception to mandatory clearing of swaps available for certain swap counterparties.Derivatives Markets and Products723
12/23/20106/3/2011CFTC - Proposed new rule that establishes registration requirements, statutory duties, core principles and certain compliance obligations for registered swap data repositories (SDRs).Derivatives Markets and Products728
12/23/20103/2/2011SEC - Proposed annual reporting requirements for resource extraction issuers concerning payments to a foreign government or the Federal Government. Derivatives Markets and Products; Investor Protection1504
12/23/20103/2/2011SEC - Proposed changes to the annual reporting requirements of certain issuers concerning whether minerals originated in the Democratic Republic of the Congo or an adjoining country.Derivatives Markets and Products; Investor Protection1502
12/23/20102/7/2011SEC - Request for comment on study concerning standardizing credit ratings terminology and market stress conditions under which ratings are evaluated.Investor Protection; Securitization939
12/22/20106/3/2011CFTC - Proposed core principles and other requirements for designated contract markets (DCMs).Derivatives Markets and Products; Investor Protection723, 733, 735
12/22/20106/3/2011CFTC - Proposed rules on external business conduct standards for swap dealers and major swap participants.Derivatives Markets and Products; Investor Protection731
12/22/20102/22/2011NCUA - Proposed Rule 745, Share Insurance and Appendix.Deposit Insurance Reform343
12/22/20103/2/2011SEC - Proposed rule establishing requirements for disclosures in periodic reports filed by mine operators with the SEC. Investor Protection1503
12/21/20106/3/2011CFTC / SEC - Proposed definitions for "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant."Derivatives Markets and Products721
12/21/20101/20/2011FSOC - Proposed framework for designating systemically important financial market utilities.Systemically Important Financial Institutions803, 804
12/16/20102/1/2011FRS - Proposed amendments to exempt certain consumer credit transactions in which the amount financed exceeds $50,000.Mortgage Reform1100E
12/16/20102/1/2011FRS - Proposed amendments to exempt consumer leases from Reg M where the lease exceeds $50,000.Consumer Credit1100E
12/15/20106/3/2011CFTC - Proposed rules on reporting, recordkeeping, public information and information sharing for derivatives clearing organizations (DCOs).Derivatives Markets and Products; Investor Protection725
12/13/20106/3/2011CFTC - Proposed rules establishing compliance with Core Principles by derivatives clearing organizations.Derivatives Markets and Products; Investor Protection725
12/10/20101/24/2011SEC - Proposed amendments to registration requirements for investment advisors and to the "pay-to-play" rule.Investor Protection410
12/10/20101/24/2011SEC - Proposed 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 Protection403, 409, 419;
12/9/20106/3/2011CFTC - Proposed reporting and recordkeeping requirements for swap dealers and major swap participants.Derivatives Markets and Products731
12/9/201012/31/2010CFTC / SEC - Public submissions on a study concerning the feasibility of requiring the derivatives industry to adopt standard computer-readable algorithmic descriptions of financial derivatives.Derivatives Markets and Products719
12/8/20106/3/2011CFTC - Proposed 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 Products727, 728, 729
12/7/20106/3/2011CFTC - Proposed rules that provide for public availability of swap transaction data in real-time to enhance price discovery.Derivatives Markets and Products; Investor Protection727
12/6/20102/4/2011CFTC - Proposed rules implementing a whistleblower program that includes incentives and prohibits retaliation against whistleblowers.Investor Protection748
12/3/20106/3/2011CFTC - Proposed requirements on swap dealers and major swap participants concerning collateral posted by counterparties to uncleared swaps, and proposed treatment under Bankruptcy Code of securities in portfolio margining account.Derivatives Markets and Products; Investor Protection713, 724
12/2/20101/18/2011CFTC - Proposal concerning protection of collateral posted by customers clearing swaps.Derivatives Markets and Products; Investor Protection724
11/30/20101/31/2011OFR - Statement on legal entity identification for financial contracts.Other153
11/26/201012/17/2010CFTC - Requesting comment concerning the interagency group study on oversight of existing and prospective carbon markets.Derivatives Markets and Products750
11/26/20101/10/2011FRS - Conformance period for prohibited proprietary trading, private equity fund or hedge fund activities (Volcker rule).Proprietary Trading by Bank619
11/24/20101/3/2011FDIC - Proposed rules regarding assessments, the assessment base, and rates.Deposit Insurance Reform331, 334
11/24/20101/3/2011FDIC - Risk-based deposit insurance assessments for large institutions.Deposit Insurance Reform331, 334
11/23/20106/3/2011CFTC - Proposed rules establishing duties of swap dealers with regard to risk management; monitoring position limits; business continuity and other matters. Derivatives Markets and Products731
11/23/20106/3/2011CFTC - Proposed rules establishing conflict of interest requirements for swap dealers and major swap participants. Derivatives Markets and Products; Investor Protection726, 732
11/23/20106/3/2011CFTC - Proposed rules for registering swap dealers and major swap participants. Derivatives Markets and Products731
11/19/20106/3/2011CFTC - Proposal regarding designation, qualifications, and duties of a chief compliance officer of a futures merchant or swap dealer.Derivatives Markets and Products; Investor Protection725
11/19/20106/3/2011CFTC - Proposed rules establishing registration requirement for certain foreign boards of trade (FBOT).Derivatives Markets and Products738
11/17/20106/3/2011CFTC - Proposed rules establishing conflicts of interest requirements for futures commission merchants and introducing brokers.Derivatives Markets and Products; Investor Protection732
11/17/201012/17/2010SEC - Proposed rules to implement whistleblower incentives and protection provisions.Investor Protection922
11/12/201012/13/2010HUD - Notice of Allocation of funding for State programs similar to federal Emergency Homeowners' Loan Program.Mortgage Reform1496
11/8/20101/10/2011SEC - Request for comment on options discussed in the report on possible money market fund reforms.Derivatives Markets and Products932
11/3/20106/3/2011CFTC - Proposed rules regarding the investment of customer segregated funds and funds held in certain other accounts.Investor Protection939A
11/3/20101/3/2011CFTC - Proposed rules to implement new anti-manipulation authority in swap markets.Investor Protection753
11/2/20106/3/2011CFTC - Process for review of swaps for mandatory clearing.Derivatives Markets and Products723
11/2/201012/2/2010CFTC - Proposed rules for implementing and enforcing aggregate position limits for certain physical commodity derivatives.Derivatives Markets and Products737
11/2/20101/3/2011CFTC - Provisions common to registered entities with respect to certification and approval for new products and contracts based on certain excluded commodities.Derivatives Markets and Products745
11/2/20101/3/2011CFTC - Request for comment about disruptive practices in trading.Derivatives Markets and Products747
11/2/201012/2/2010CFTC - Request for comment on alternative measures of credit-worthiness that may be used in lieu of credit ratings of a security or money market instrument.Investor Protection; Securitization939A
10/28/201011/18/2010SEC - Advisory vote of shareholders on executive compensation and golden parachute compensation.Executive Compensation951
10/28/201011/18/2010SEC - Reporting of proxy votes on executive compensation and other matters.Executive Compensation951
10/28/201011/29/2010TREAS - Proposed exemption from the definition of "swap" for foreign exchange swaps and foreign exchange forwards.Derivatives Markets and Products721
10/27/201012/27/2010CFTC - Business affiliate marketing and disposal of consumer information rules.Investor Protection1088
10/27/201012/27/2010CFTC - Privacy of consumer financial information; conforming amendments under Dodd-Frank Act.Investor Protection1093
10/27/201011/26/2010FDIC - Proposed rule to manage the deposit insurance fund includes changes to dividends, assessment rates and the designated reserve ratio.Deposit Insurance Reform334
10/26/20106/3/2011CFTC - Proposed definition of agricultural commodity.Derivatives Markets and Products721, 723, 733, 737
10/20/201012/6/2010SEC - Study regarding compliance with Section 404(b) of the Sarbanes-Oxley Act.Corporate Governance989G
10/19/201011/18/2010FDIC - Proposed rule implementing certain orderly liquidation authority provisions of the Dodd-Frank Act.Living Wills209
10/19/201011/15/2010SEC - Issuer review of assets in offerings of asset-backed securities.Securitization932, 945
10/18/20106/3/2011CFTC - Requirements for derivatives clearing organizations, designated contract markets, and swap execution facilities regarding the mitigation of conflicts of interest.Derivatives Markets and Products; Investor Protection721
10/14/20106/3/2011CFTC - Financial resources requirements for derivatives clearing organizations.Derivatives Markets and Products725, 802, 805
10/14/201011/15/2010OTS - Alternatives to the use of external credit ratings in the regulations of the OTS.Safety and Soundness939A
10/13/201011/15/2010SEC - Disclosure for asset-backed securities required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.Investor Protection; Securitization943
10/6/201011/5/2010FSOC - Advance notice of proposed rulemaking regarding authority to require supervision and regulation of certain nonbank financial companies.Safety and Soundness113
10/6/201011/5/2010FSOC - Public input for the study regarding the implementation of the prohibitions on proprietary trading and certain relationships with hedge funds and private equity funds (the Volcker Rule).Proprietary Trading by Bank619
9/30/201010/15/2010FDIC - Proposal to provide for unlimited deposit insurance for "noninterest-bearing transaction accounts."Deposit Insurance Reform343
9/28/201010/28/2010CFTC - Request for comment on regulation of Agriculture Swaps.Derivatives Markets and Products723
9/24/201010/25/2010FRS - Truth in Lending changes providing a separate, higher threshold for determining coverage of the escrow requirement applicable to higher-priced mortgage loans.Mortgage Reform1461
8/26/20108/26/2010CFTC - Notice of acceptance of public submissions on regulation of OTC derivatives marketplace.Derivatives Markets and Products711-774
8/25/201010/25/2010FDIC / FRS / OCC / OTS - Request for comment on alternatives to using credit ratings in risk-based capital guidelines.Safety and Soundness939A
8/20/20109/20/2010CFTC / SEC - Request for comment on key definitions related to swaps and regulation of "mixed swaps."Derivatives Markets and Products721, 761
8/13/201010/12/2010OCC - Request for comment on alternative measures of credit-worthiness that may be used in lieu of credit ratings of a security or money market instrument.Safety and Soundness939A
7/30/20108/30/2010SEC - Request for comment on the scope of a study to evaluate standards applicable to brokers, dealers, and investment advisers.Investor Protection913
The Financial Crisis - A Timeline of Events and Policy Actions Reforming the Nation’s Financial System - A Timeline Foreclosure Resource Center