| PUBLICATION DATE | COMMENT PERIOD ENDED | RULE / DESCRIPTION | TOPIC | DFA SECTION |
| 3/22/2012 | 4/23/2012 | CFPB - Request for comment on payday lending hearing transcript. | Consumer Protection; Fair Lending | 1024 |
| 3/22/2012 | 4/16/2012 | TREAS - Notice establishing the Federal Research Advisory Committee and seeking applications for committee members. | Other | 152 |
| 3/15/2012 | 4/16/2012 | CFPB - Proposed rules relating to confidential treatment of privileged information. | Other | 1022 |
| 3/15/2012 | 5/14/2012 | CFTC - Proposal to establish appropriate minimum block sizes for large notional off-facility swaps and block trades. | Derivatives Markets and Products; Investor Protection | 727 |
| 3/6/2012 | 5/7/2012 | CFTC / SEC - Proposed rules regarding identity theft prevention programs. | Consumer Protection | 1088 |
| 2/23/2012 | 3/30/2012 | CFPB - Establishment of the Consumer Advisory Board and request for nominations. | Consumer Protection | 1014 |
| 2/17/2012 | 4/17/2012 | CFPB - Proposed rule defining larger participants in markets for consumer debt collection and consumer reporting. | Consumer Protection | 1024 |
| 2/14/2012 | 4/16/2012 | CFTC - Proposed rule for banks and nonbank financial companies restricting proprietary trading and relationships with hedge funds and other covered funds. | Proprietary Trading by Bank | 619 |
| 2/7/2012 | 4/9/2012 | CFPB - Proposal and request for comment regarding electronic remittance transfers to consumers or businesses in a foreign country (Regulation E). | Consumer Protection | 1073 |
| 1/24/2012 | 4/30/2012 | OCC - Proposed rule regarding annual stress tests for national banks and federal savings associations. | Safety and Soundness | 165 |
| 1/23/2012 | 4/30/2012 | FDIC - Proposed rule regarding annual stress tests for state nonmember banks and state savings associations. | Safety and Soundness | 165 |
| 1/23/2012 | 3/23/2012 | SEC - Request for comment for study regarding financial literacy among investors. | Investor Protection | 917 |
| 1/5/2012 | 4/30/2012 | FRS - Proposal to implement prudential standards and early remediation requirements for large bank holding companies and certain nonbank financial institutions (Regulation YY). | Safety and Soundness | 165, 166 |
| 1/3/2012 | 3/5/2012 | TREAS - Proposed rule to assess fees on large bank holding companies and nonbank financial companies to cover expenses of the Office of Financial Research. | Other | 118, 155, 210 |
| 12/21/2011 | 2/3/2012 | FDIC / 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 Soundness | 939A |
| 12/15/2011 | 2/13/2012 | FDIC - Comments sought on proposed guidance for savings associations to determine whether a corporate debt security is eligible for investment. | Investor Protection | 939 |
| 12/15/2011 | 2/13/2012 | FDIC - 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. | Investor Protection | 939 |
| 12/14/2011 | 2/13/2012 | CFTC - Comments sought on CFTC interpretation of Dodd Frank Act Section 742(a) addressing retail commodity transactions. | Derivatives Markets and Products | 742 |
| 12/14/2011 | 2/13/2012 | CFTC - Proposed rule providing a process for a designated contract market or swap execution facility to make a swap available to trade. | Derivatives Markets and Products | 723 |
| 12/13/2011 | 2/13/2012 | FDIC - Proposed rule to treat mutual insurance holding companies as insurance companies. | Insurance | 203, 209 |
| 12/8/2011 | 1/30/2012 | CFPB - Request for comment on proposed policy statement addressing disclosure of certain credit card complaint data. | Consumer Protection | 1001 et seq. |
| 11/29/2011 | 12/29/2011 | OCC - Proposed alternatives to the use of external credit ratings in OCC regulations. | Derivatives Markets and Products; Investor Protection | 939, 939A |
| 11/29/2011 | 12/29/2011 | OCC - Proposed guidance on due diligence requirements in determining whether investment securities are eligible for investment. | Derivatives Markets and Products; Investor Protection | 939A |
| 11/25/2011 | 1/24/2012 | FDIC / 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 Authority | 210 |
| 11/18/2011 | 1/17/2012 | FCA - Request for comment on approach to removing references to credit ratings. | Investor Protection | 939A |
| 11/17/2011 | 1/17/2012 | CFPB - Request for information on private education loans and private educational lenders. | Consumer Protection; Fair Lending | 1077 |
| 11/7/2011 | 2/13/2012 | FDIC / 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 Bank | 619 |
| 11/2/2011 | 12/2/2011 | DOE - Proposed rule to remove references to credit ratings and credit assessments from regulatory provisions. | Safety and Soundness | 939A |
| 10/25/2011 | 11/25/2011 | CFTC - 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 Products | 701 et seq. |
| 10/24/2011 | 12/19/2011 | SEC - Proposed rule providing for the registration of security-based swap entities. | Derivatives Markets and Products | 764 |
| 10/18/2011 | 12/19/2011 | FRS - Proposal clarifying Regulation J's application to remittance transfers. | Payments, Settlement and Clearing Activities | 1073 |
| 10/18/2011 | 12/19/2011 | FSOC - Second proposal regarding criteria, processes and procedures to require enhanced supervision of certain nonbank financial companies. | Safety and Soundness | 113 |
| 9/28/2011 | 2/13/2012 | SEC - Prohibition against conflicts of interest in certain securitizations. | Securitization | 621 |
| 9/27/2011 | 11/28/2011 | TREAS - Proposal to replace references to credit ratings in the liquid capital rule. | Derivatives Markets and Products | 939A |
| 9/20/2011 | 11/4/2011 | CFTC - Swap transaction compliance and implementation schedule for clearing and trade execution. | Derivatives Markets and Products | 712, 723 |
| 9/20/2011 | 11/4/2011 | CFTC - Swap transaction compliance and implementation schedule for trading documentation and margining requirements. | Derivatives Markets and Products | 712, 731 |
| 9/16/2011 | 12/15/2011 | IRS - Swap exclusion for Section 1256 contracts. | Derivatives Markets and Products | 1601 |
| 9/13/2011 | 11/14/2011 | TREAS - Notice and request for comment on financial access activities. | Other | 1204 |
| 9/7/2011 | 11/7/2011 | SEC - Request for comment on proposed treatment of asset-backed issuers under federal securities laws. | Securitization | 939A |
| 9/6/2011 | 9/20/2011 | CFPB - Request for information on consumer financial products and services offered to or used by service members. | Consumer Protection | 1013 |
| 9/6/2011 | 10/6/2011 | NCUA - Request for comment on amendments to the proposed rule removing references to credit ratings in regulations applicable to corporate credit unions. | Safety and Soundness | 939A |
| 9/2/2011 | 10/11/2011 | FRS - Proposed rule on supervised securities holding companies registration. | Other | 618 |
| 8/26/2011 | 11/25/2011 | FCA - Request for comment on alternatives to using credit ratings in risk-based capital regulations. | Safety and Soundness | 939A |
| 8/25/2011 | 9/26/2011 | CFTC / SEC - Request for comment on study to determine whether stable value contracts fall within the definition of a swap. | Derivatives Markets and Products | 719 |
| 8/18/2011 | 11/16/2011 | FCA - Proposal to strengthen investment rules and request for comment on removal of credit ratings. | Investor Protection | 939A |
| 8/5/2011 | 10/4/2011 | SEC - Re-proposal of shelf eligibility conditions for asset-backed securities. | Derivatives Markets and Products | 939A, 942 |
| 8/3/2011 | 10/11/2011 | FRS - Retail foreign exchange transactions. | Derivatives Markets and Products | 742 |
| 8/1/2011 | 9/30/2011 | CFTC - Clearing member risk management. | Derivatives Markets and Products; Payments, Settlement and Clearing Activities | 701 et seq. |
| 8/1/2011 | 9/30/2011 | CFTC - Customer clearing documentation and timing of acceptance of clearing. | Derivatives Markets and Products; Payments, Settlement and Clearing Activities | 701 et seq. |
| 7/26/2011 | 9/26/2011 | CFTC / SEC - Proposal regarding study for international swap regulations. | Derivatives Markets and Products | 719 |
| 7/22/2011 | 8/31/2011 | FRS - Notice of intent to continue enforcing certain OTS-issued regulations for savings and loan holding companies. | Thrifts | 312, 316 |
| 7/18/2011 | 8/29/2011 | SEC - Proposed rules relating to external business conduct standards for security-based swap (SBS) dealers and major security-based swap (SBS) participants. | Derivatives Markets and Products; Investor Protection | 764 |
| 7/6/2011 | 8/30/2011 | IRS - Proposed rulemaking modifying Treasury regulations to remove references to credit ratings and credit agencies. | Safety and Soundness | 393 |
| 6/29/2011 | 8/15/2011 | CFPB - Request for comment on implementation of a risk-based supervision program. | Consumer Protection | 1001 et seq. |
| 6/27/2011 | 8/26/2011 | SEC - Proposed rule amending the broker-dealer financial reporting rule. | Consumer Protection; Payments, Settlement and Clearing Activities | 982 |
| 6/23/2011 | 7/29/2011 | FRS - Proposed rule temporarily excepting motor vehicle dealers from certain equal credit opportunity requirements. | Fair Lending | 1029, 1071 |
| 6/17/2011 | 7/1/2011 | CFTC - Proposed temporary exemption for swaps, swap dealers, major swap participants, eligible swap participants, and certain transactions in exempt commodities. | Derivatives Markets and Products | 754 |
| 6/17/2011 | 8/5/2011 | FRS - Proposed capital plan requirement for large bank holding companies. | Safety and Soundness | 165 |
| 6/16/2011 | 8/15/2011 | FCA - 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 Soundness | 939A |
| 6/15/2011 | 7/25/2011 | SEC - Proposed rules on exemptions for security-based swaps issued by certain clearing agencies. | Derivatives Markets and Products | 763, 766 |
| 6/10/2011 | 8/1/2011 | FDIC / FHFA / FRS / HUD / OCC / SEC - Joint proposal to implement credit risk retention requirements. | Consumer Credit | 941 |
| 6/9/2011 | 8/8/2011 | CFTC - Proposed rule on protecting cleared swaps customer contracts and amending commodity broker bankruptcy provisions. | Derivatives Markets and Products; Investor Protection | 724 |
| 6/8/2011 | 8/8/2011 | SEC - Proposed rule for nationally recognized statistical rating organizations. | Consumer Credit | 901 et seq. |
| 6/7/2011 | 8/8/2011 | CFTC - Adaptation of regulations to incorporate swaps. | Derivatives Markets and Products | 701 et seq. |
| 6/1/2011 | 7/14/2011 | SEC - Disqualification of felons and other "bad actors" from Rule 506 offerings. | Investor Protection; Securitization | 926 |
| 5/31/2011 | 6/30/2011 | CFPB - List of enforceable rules to come under CFPB's authority. | Consumer Protection | 1001 et seq. |
| 5/26/2011 | 6/27/2011 | OCC - Proposed rules to implement transfer of authority from OTS to OCC and to implement DFA changes in banking law. | Safety and Soundness; Thrifts | 335, 603 |
| 5/23/2011 | 7/22/2011 | CFTC / 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 Products | 712, 721, 761 |
| 5/23/2011 | 7/22/2011 | FRS - 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 Activities | 1073 |
| 5/17/2011 | 6/16/2011 | FDIC - Proposed requirements for foreign currency futures, options on futures, and options an insured institution engages in with retail customers. | Derivatives Markets and Products | 742 |
| 5/16/2011 | 9/13/2011 | SEC - Solicitation of comment to assist in study on assigned credit ratings. | Safety and Soundness | 939F |
| 5/13/2011 | 5/31/2011 | TREAS - Notice of establishment of the Federal Advisory Committee on Insurance (FACI) and solicitation of applications for committee membership. | Other | 502 |
| 5/12/2011 | 7/11/2011 | CFTC - Proposal to adopt capital requirements of swap dealers and major swap participants. | Derivatives Markets and Products; Investor Protection | 724 |
| 5/11/2011 | 7/11/2011 | FCA / FDIC / FHFA / FRS / OCC - Proposal to establish swap margin and capital requirements. | Derivatives Markets and Products | 731, 764 |
| 5/11/2011 | 7/22/2011 | FRS - Proposal to amend the ability-to-repay requirement in Regulation Z, Truth in Lending. | Mortgage Reform | 1411, 1412, 1414 |
| 5/9/2011 | 6/23/2011 | SEC - Request for comment on the short sale reporting study. | Derivatives Markets and Products; Investor Protection | 417 |
| 5/6/2011 | 7/5/2011 | SEC - Proposal to remove certain references to credit ratings. | Safety and Soundness | 939A |
| 5/5/2011 | 6/6/2011 | TREAS - Proposal to exempt foreign exchange swaps and foreign exchange forwards from the definition of "swap" under the Commodity Exchange Act. | Derivatives Markets and Products | 721 |
| 5/4/2011 | 6/3/2011 | CFTC - Reopening and extension of comment periods for rulemakings on the new framework for regulation of swaps. | Derivatives Markets and Products | 701 et seq. |
| 5/4/2011 | 5/19/2011 | SEC - Extension of comment period on proposed rules to establish listing standards for compensation committees. | Derivatives Markets and Products; Investor Protection | 952 |
| 4/29/2011 | 5/31/2011 | FRS - Request for information relating to studies regarding the resolution of financial companies under the Bankruptcy Code. | Resolution Authority | 216, 217 |
| 4/28/2011 | 7/11/2011 | CFTC - Proposal to address initial and variation margin requirements for uncleared swaps for swap dealers and major swap participants. | Derivatives Markets and Products; Investor Protection | 731 |
| 4/25/2011 | 6/9/2011 | CFTC - Proposal to establish recordkeeping and reporting requirements for pre-enactment swaps and transition swaps. | Derivatives Markets and Products; Investor Protection | 723, 728, 729 |
| 4/22/2011 | 6/10/2011 | FDIC / 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 Institutions | 165 |
| 4/22/2011 | 5/23/2011 | FRS - Notice of intent to apply certain supervisory guidance to saving and loan holding companies (SLHCs). | Safety and Soundness | 312 |
| 4/22/2011 | 5/23/2011 | OCC - Proposed rule on retail foreign exchange transactions. | Derivatives Markets and Products | 742 |
| 4/22/2011 | 6/21/2011 | SEC - Request for comment on the effectiveness of existing private and public efforts to educate investors. | Investor Protection | 917 |
| 4/15/2011 | 5/16/2011 | FDIC - Proposal to rescind regulations that have implemented the statutory prohibition against the payment of interest on demand deposits. | Deposit Insurance Reform | 627 |
| 4/14/2011 | 5/31/2011 | FDIC / FHFA / FRS / NCUA / OCC / OTS / SEC - Joint proposal to require reporting of incentive-based compensation arrangements. | Executive Compensation | 956 |
| 4/14/2011 | 5/16/2011 | FRS - Repeal of Regulation Q, prohibition against payment of interest on demand deposits. | Safety and Soundness | 627 |
| 4/4/2011 | 5/19/2011 | FRS - Risk management standards regarding certain financial market utilities (FMUs). | Payments, Settlement and Clearing Activities | 805, 806 |
| 3/28/2011 | 5/27/2011 | FSOC - Authority to designate financial market utilities as systemically important. | Systemically Important Financial Institutions | 804 |
| 3/28/2011 | 5/27/2011 | FSOC - Implementation of the Freedom of Information Act (FOIA). | Other | 112 |
| 3/25/2011 | 6/3/2011 | FRS - Proposed rules to facilitate electronic check collection and return (Regulation CC). | Consumer Protection; Payments, Settlement and Clearing Activities | 1086 |
| 3/25/2011 | 5/9/2011 | SEC - Proposed rule concerning due diligence of transfer agents, brokers, dealers, and paying agents in searching for lost or missing securityholders. | Investor Protection | 929W |
| 3/24/2011 | 6/3/2011 | CFTC - Proposed regulations for compliance with derivatives clearing organization (DCO) Core Principles. | Derivatives Markets and Products | 725, 802 |
| 3/23/2011 | 5/23/2011 | FDIC - Proposed rule concerning provisions of orderly liquidation authority. | Resolution Authority | 201, 209, 210 |
| 3/22/2011 | 4/15/2011 | SEC - Beneficial ownership reporting requirements and security-based swaps. | Derivatives Markets and Products | 766 |
| 3/18/2011 | 5/17/2011 | CFTC - Interpretive guidance on statutory disruptive practices. | Derivatives Markets and Products | 747 |
| 3/16/2011 | 4/29/2011 | SEC - Proposed rules setting standards for registration, operation and governance of clearing agencies. | Derivatives Markets and Products | 763, 805 |
| 3/15/2011 | 4/14/2011 | FRS - Proposed amendments to model adverse action notices in Regulation B, Equal Credit Opportunity. | Consumer Credit | 1100F |
| 3/15/2011 | 4/14/2011 | FRS / FTC - Proposed amendments to risk-based pricing rules under the Fair and Accurate Credit Transactions Act. | Consumer Credit | 1100F |
| 3/10/2011 | 6/3/2011 | CFTC - Proposed requirements for processing, clearing, and transfer of customer positions. | Derivatives Markets and Products; Payments, Settlement and Clearing Activities | 731 |
| 3/9/2011 | 6/3/2011 | CFTC - Proposed amendments for registration of intermediaries. | Derivatives Markets and Products | 721 |
| 3/9/2011 | 4/25/2011 | SEC - Proposal to remove references to credit ratings in SEC forms and regulations. | Investor Protection; Securitization | 939A |
| 3/8/2011 | 5/9/2011 | OTS - Proposal to amend risk-based capital standards and rules and to establish a risk-based capital floor. | Bank Capital | 171 |
| 3/8/2011 | 4/29/2011 | SEC - Ownership limitations and governance requirements for security-based swap clearing agencies, security-based swap execution facilities, and national securities exchanges with respect to security-based swaps. | Derivatives Markets and Products; Investor Protection | 765 |
| 3/3/2011 | 6/3/2011 | CFTC - Proposed amendments to commodity pool operator and commodity trading advisor regulations. | Derivatives Markets and Products; Investor Protection | 721 |
| 3/2/2011 | 5/2/2011 | FRS - Proposed changes regarding mandatory escrow account and disclosure requirements in Regulation Z, Truth in Lending. | Mortgage Reform | 1461, 1462 |
| 3/1/2011 | 5/2/2011 | NCUA - Proposal removing references to credit ratings in regulations and proposing alternatives to the use of credit ratings. | Safety and Soundness | 939A |
| 2/28/2011 | 4/4/2011 | SEC - Proposed registration framework for security-based swap execution facilities (SB SEF) and rules for compliance with core principles. The SEC is also proposing guidance concerning the definition of SB SEFs. | Derivatives Markets and Products | 763 |
| 2/16/2011 | 3/28/2011 | SEC - Proposal to remove references to credit ratings in SEC forms and regulations. | Investor Protection; Securitization | 939A |
| 2/11/2011 | 4/12/2011 | CFTC - Proposed new data collection and compliance obligations for commodity pool operators and commodity trading advisors. | Derivatives Markets and Products | 404, 406 |
| 2/11/2011 | 4/12/2011 | CFTC / 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 Products | 404 |
| 2/11/2011 | 3/30/2011 | FRS - 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 Reform | 113 |
| 2/8/2011 | 6/3/2011 | CFTC - Proposal to establish requirements for swap trading relationship documentation requirements for swap dealers and major swap participants. | Derivatives Markets and Products; Investor Protection | 731 |
| 2/8/2011 | 6/3/2011 | CFTC - Proposal to include orderly liquidation termination provision in swap trading relationship documentation for swap dealers and major swap participants. | Derivatives Markets and Products; Investor Protection | 731 |
| 2/8/2011 | 4/11/2011 | FRS - Federal Reserve reporting forms for savings and loan holding companies. | Thrifts | 312, 316, 321, 326 |
| 2/8/2011 | 3/10/2011 | FSOC - Comments requested on proposed modifications to the concentration limit on large financial companies. | Systemically Important Financial Institutions | 622 |
| 2/3/2011 | 6/3/2011 | CFTC - Proposal to allow commodity options and agricultural swaps to transact subject to the same rules as all other swaps. | Derivatives Markets and Products | 721, 723, 733, 735 |
| 1/31/2011 | 3/17/2011 | FHFA / FHFB / OFHEO - Alternatives to use of credit ratings in regulations governing Fannie Mae, Freddie Mac and the Federal Home Loan Banks. | Safety and Soundness | 939A |
| 1/31/2011 | 3/11/2011 | SEC - Net worth standard for accredited investors. | Investor Protection; Securitization | 413, 944 |
| 1/26/2011 | 3/28/2011 | CFTC - 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 Products | 737 |
| 1/26/2011 | 2/25/2011 | FSOC - Proposal regarding criteria, processes and procedures to require enhanced supervision of certain nonbank financial companies. | Safety and Soundness | 939A |
| 1/21/2011 | 2/22/2011 | SEC - Trade acknowledgment and verification of security-based swap transactions. | Derivatives Markets and Products | 764 |
| 1/12/2011 | 2/7/2011 | SEC - Suspension of the duty to file reports for classes of asset-backed securities. | Derivatives Markets and Products | 942 |
| 1/11/2011 | 4/11/2011 | FDIC / FRS / OCC - Proposed revisions to risk-based capital guidelines related to market risk capital rules. | Bank Capital | 171, 606, 616 |
| 1/7/2011 | 6/3/2011 | CFTC - Proposed new rules, guidance and acceptable practices for swap execution facilities (SEFs). | Derivatives Markets and Products | 723, 733 |
| 1/6/2011 | 6/3/2011 | CFTC - 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 Protection | 725, 726 |
| 1/6/2011 | 2/22/2011 | SEC - Registration of municipal advisors (Rules 15Ba1-1 through 15Ba1-7 and new Forms MA, MA-I, MA-W, and MA-NR). | Derivatives Markets and Products | 975 |
| 12/30/2010 | 2/28/2011 | FDIC / FRS / OCC - Amendments to risk-based capital adequacy standards. | Bank Capital | 171 |
| 12/30/2010 | 2/14/2011 | SEC - Proposed notice and filing requirements for clearing agencies concerning Security-Based Swap Submissions. | Derivatives Markets and Products; Investor Protection | 763, 806 |
| 12/28/2010 | 6/3/2011 | CFTC - 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 Protection | 731 |
| 12/28/2010 | 2/22/2011 | FRS - Proposed new Regulation II establishing standards for setting interchange fees received or charged with respect to electronic debit transactions. | Debit Interchange Fees | 1075 |
| 12/23/2010 | 6/3/2011 | CFTC - Proposed new requirements governing the elective exception to mandatory clearing of swaps available for certain swap counterparties. | Derivatives Markets and Products | 723 |
| 12/23/2010 | 6/3/2011 | CFTC - Proposed new rule that establishes registration requirements, statutory duties, core principles and certain compliance obligations for registered swap data repositories (SDRs). | Derivatives Markets and Products | 728 |
| 12/23/2010 | 3/2/2011 | SEC - Proposed annual reporting requirements for resource extraction issuers concerning payments to a foreign government or the Federal Government. | Derivatives Markets and Products; Investor Protection | 1504 |
| 12/23/2010 | 3/2/2011 | SEC - 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 Protection | 1502 |
| 12/23/2010 | 2/7/2011 | SEC - Request for comment on study concerning standardizing credit ratings terminology and market stress conditions under which ratings are evaluated. | Investor Protection; Securitization | 939 |
| 12/22/2010 | 6/3/2011 | CFTC - Proposed core principles and other requirements for designated contract markets (DCMs). | Derivatives Markets and Products; Investor Protection | 723, 733, 735 |
| 12/22/2010 | 6/3/2011 | CFTC - Proposed rules on external business conduct standards for swap dealers and major swap participants. | Derivatives Markets and Products; Investor Protection | 731 |
| 12/22/2010 | 2/22/2011 | NCUA - Proposed Rule 745, Share Insurance and Appendix. | Deposit Insurance Reform | 343 |
| 12/22/2010 | 3/2/2011 | SEC - Proposed rule establishing requirements for disclosures in periodic reports filed by mine operators with the SEC. | Investor Protection | 1503 |
| 12/21/2010 | 6/3/2011 | CFTC / 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 Products | 721 |
| 12/21/2010 | 1/20/2011 | FSOC - Proposed framework for designating systemically important financial market utilities. | Systemically Important Financial Institutions | 803, 804 |
| 12/21/2010 | 2/4/2011 | SEC - Proposed exception to mandatory clearing of security-based swaps for counterparties meeting certain conditions. | Derivatives Markets and Products | 712 |
| 12/16/2010 | 2/1/2011 | FRS - Proposed amendments to exempt certain consumer credit transactions in which the amount financed exceeds $50,000. | Mortgage Reform | 1100E |
| 12/16/2010 | 2/1/2011 | FRS - Proposed amendments to exempt consumer leases from Reg M where the lease exceeds $50,000. | Consumer Credit | 1100E |
| 12/15/2010 | 6/3/2011 | CFTC - Proposed rules on reporting, recordkeeping, public information and information sharing for derivatives clearing organizations (DCOs). | Derivatives Markets and Products; Investor Protection | 725 |
| 12/13/2010 | 6/3/2011 | CFTC - Proposed rules establishing compliance with Core Principles by derivatives clearing organizations. | Derivatives Markets and Products; Investor Protection | 725 |
| 12/10/2010 | 1/24/2011 | SEC - Proposed amendments to registration requirements for investment advisors and to the "pay-to-play" rule. | Investor Protection | 410 |
| 12/10/2010 | 1/24/2011 | SEC - 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 Protection | 403, 409, 419; |
| 12/10/2010 | 1/24/2011 | SEC - Security-based swap data repository registration, duties, and core principles. | Derivatives Markets and Products; Investor Protection | 763 |
| 12/9/2010 | 6/3/2011 | CFTC - Proposed reporting and recordkeeping requirements for swap dealers and major swap participants. | Derivatives Markets and Products | 731 |
| 12/9/2010 | 12/31/2010 | CFTC / 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 Products | 719 |
| 12/8/2010 | 6/3/2011 | CFTC - 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 Products | 727, 728, 729 |
| 12/7/2010 | 6/3/2011 | CFTC - Proposed rules that provide for public availability of swap transaction data in real-time to enhance price discovery. | Derivatives Markets and Products; Investor Protection | 727 |
| 12/6/2010 | 2/4/2011 | CFTC - Proposed rules implementing a whistleblower program that includes incentives and prohibits retaliation against whistleblowers. | Investor Protection | 748 |
| 12/3/2010 | 6/3/2011 | CFTC - 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 Protection | 713, 724 |
| 12/2/2010 | 1/18/2011 | CFTC - Proposal concerning protection of collateral posted by customers clearing swaps. | Derivatives Markets and Products; Investor Protection | 724 |
| 12/2/2010 | 1/18/2011 | SEC - Proposal on reporting and disseminating security-based swap information (Regulation SBSR). | Derivatives Markets and Products | 763, 766 |
| 11/30/2010 | 1/31/2011 | OFR - Statement on legal entity identification for financial contracts. | Other | 153 |
| 11/26/2010 | 12/17/2010 | CFTC - Requesting comment concerning the interagency group study on oversight of existing and prospective carbon markets. | Derivatives Markets and Products | 750 |
| 11/26/2010 | 1/10/2011 | FRS - Conformance period for prohibited proprietary trading, private equity fund or hedge fund activities (Volcker rule). | Proprietary Trading by Bank | 619 |
| 11/24/2010 | 1/3/2011 | FDIC - Proposed rules regarding assessments, the assessment base, and rates. | Deposit Insurance Reform | 331, 334 |
| 11/24/2010 | 1/3/2011 | FDIC - Risk-based deposit insurance assessments for large institutions. | Deposit Insurance Reform | 331, 334 |
| 11/23/2010 | 6/3/2011 | CFTC - Proposed rules establishing duties of swap dealers with regard to risk management; monitoring position limits; business continuity and other matters. | Derivatives Markets and Products | 731 |
| 11/23/2010 | 6/3/2011 | CFTC - Proposed rules establishing conflict of interest requirements for swap dealers and major swap participants. | Derivatives Markets and Products; Investor Protection | 726, 732 |
| 11/23/2010 | 6/3/2011 | CFTC - Proposed rules for registering swap dealers and major swap participants. | Derivatives Markets and Products | 731 |
| 11/19/2010 | 6/3/2011 | CFTC - Proposal regarding designation, qualifications, and duties of a chief compliance officer of a futures merchant or swap dealer. | Derivatives Markets and Products; Investor Protection | 725 |
| 11/19/2010 | 6/3/2011 | CFTC - Proposed rules establishing registration requirement for certain foreign boards of trade (FBOT). | Derivatives Markets and Products | 738 |
| 11/17/2010 | 6/3/2011 | CFTC - Proposed rules establishing conflicts of interest requirements for futures commission merchants and introducing brokers. | Derivatives Markets and Products; Investor Protection | 732 |
| 11/17/2010 | 12/17/2010 | SEC - Proposed rules to implement whistleblower incentives and protection provisions. | Investor Protection | 922 |
| 11/12/2010 | 12/13/2010 | HUD - Notice of Allocation of funding for State programs similar to federal Emergency Homeowners' Loan Program. | Mortgage Reform | 1496 |
| 11/8/2010 | 12/23/2010 | SEC - New rule intended to prevent fraud in connection with the offer, purchase or sale of any security-based swap. | Investor Protection | 761 |
| 11/8/2010 | 1/10/2011 | SEC - Request for comment on options discussed in the report on possible money market fund reforms. | Derivatives Markets and Products | 932 |
| 11/3/2010 | 6/3/2011 | CFTC - Proposed rules regarding the investment of customer segregated funds and funds held in certain other accounts. | Investor Protection | 939A |
| 11/3/2010 | 1/3/2011 | CFTC - Proposed rules to implement new anti-manipulation authority in swap markets. | Investor Protection | 753 |
| 11/2/2010 | 6/3/2011 | CFTC - Process for review of swaps for mandatory clearing. | Derivatives Markets and Products | 723 |
| 11/2/2010 | 12/2/2010 | CFTC - Proposed rules for implementing and enforcing aggregate position limits for certain physical commodity derivatives. | Derivatives Markets and Products | 737 |
| 11/2/2010 | 1/3/2011 | CFTC - 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 |
| 11/2/2010 | 1/3/2011 | CFTC - Request for comment about disruptive practices in trading. | Derivatives Markets and Products | 747 |
| 11/2/2010 | 12/2/2010 | CFTC - 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; Securitization | 939A |
| 10/28/2010 | 11/18/2010 | SEC - Advisory vote of shareholders on executive compensation and golden parachute compensation. | Executive Compensation | 951 |
| 10/28/2010 | 11/18/2010 | SEC - Reporting of proxy votes on executive compensation and other matters. | Executive Compensation | 951 |
| 10/28/2010 | 11/29/2010 | TREAS - Proposed exemption from the definition of "swap" for foreign exchange swaps and foreign exchange forwards. | Derivatives Markets and Products | 721 |
| 10/27/2010 | 12/27/2010 | CFTC - Business affiliate marketing and disposal of consumer information rules. | Investor Protection | 1088 |
| 10/27/2010 | 12/27/2010 | CFTC - Privacy of consumer financial information; conforming amendments under Dodd-Frank Act. | Investor Protection | 1093 |
| 10/27/2010 | 11/26/2010 | FDIC - Proposed rule to manage the deposit insurance fund includes changes to dividends, assessment rates and the designated reserve ratio. | Deposit Insurance Reform | 334 |
| 10/26/2010 | 6/3/2011 | CFTC - Proposed definition of agricultural commodity. | Derivatives Markets and Products | 721, 723, 733, 737 |
| 10/20/2010 | 12/6/2010 | SEC - Study regarding compliance with Section 404(b) of the Sarbanes-Oxley Act. | Corporate Governance | 989G |
| 10/19/2010 | 11/18/2010 | FDIC - Proposed rule implementing certain orderly liquidation authority provisions of the Dodd-Frank Act. | Living Wills | 209 |
| 10/19/2010 | 11/15/2010 | SEC - Issuer review of assets in offerings of asset-backed securities. | Securitization | 932, 945 |
| 10/18/2010 | 6/3/2011 | CFTC - Requirements for derivatives clearing organizations, designated contract markets, and swap execution facilities regarding the mitigation of conflicts of interest. | Derivatives Markets and Products; Investor Protection | 721 |
| 10/14/2010 | 6/3/2011 | CFTC - Financial resources requirements for derivatives clearing organizations. | Derivatives Markets and Products | 725, 802, 805 |
| 10/14/2010 | 11/15/2010 | OTS - Alternatives to the use of external credit ratings in the regulations of the OTS. | Safety and Soundness | 939A |
| 10/13/2010 | 11/15/2010 | SEC - Disclosure for asset-backed securities required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. | Investor Protection; Securitization | 943 |
| 10/6/2010 | 11/5/2010 | FSOC - Advance notice of proposed rulemaking regarding authority to require supervision and regulation of certain nonbank financial companies. | Safety and Soundness | 113 |
| 10/6/2010 | 11/5/2010 | FSOC - 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 Bank | 619 |
| 9/30/2010 | 10/15/2010 | FDIC - Proposal to provide for unlimited deposit insurance for "noninterest-bearing transaction accounts." | Deposit Insurance Reform | 343 |
| 9/28/2010 | 10/28/2010 | CFTC - Request for comment on regulation of Agriculture Swaps. | Derivatives Markets and Products | 723 |
| 9/24/2010 | 10/25/2010 | FRS - Truth in Lending changes providing a separate, higher threshold for determining coverage of the escrow requirement applicable to higher-priced mortgage loans. | Mortgage Reform | 1461 |
| 8/26/2010 | 8/26/2010 | CFTC - Notice of acceptance of public submissions on regulation of OTC derivatives marketplace. | Derivatives Markets and Products | 711-774 |
| 8/25/2010 | 10/25/2010 | FDIC / FRS / OCC / OTS - Request for comment on alternatives to using credit ratings in risk-based capital guidelines. | Safety and Soundness | 939A |
| 8/20/2010 | 9/20/2010 | CFTC / SEC - Request for comment on key definitions related to swaps and regulation of "mixed swaps." | Derivatives Markets and Products | 721, 761 |
| 8/13/2010 | 10/12/2010 | OCC - 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 Soundness | 939A |
| 7/30/2010 | 8/30/2010 | SEC - Request for comment on the scope of a study to evaluate standards applicable to brokers, dealers, and investment advisers. | Investor Protection | 913 |