Legal Status
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Securities
Showing 1-20 of 1470 results since 1994. View 1450 more results.
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Equal Participation of Faith-Based Organizations in the Federal Agencies' Programs and Activities
This rule amends the regulations of the agencies listed above (``the Agencies'') to implement Executive Order 13831 of May 3, 2018 (Establishment of a White House Faith and Opportunity Initiative). This rule provides clarity about the rights and obligations of faith-based organizations participating in the Agencies' Federal financial assistance...
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Enterprise Regulatory Capital Framework
The Federal Housing Finance Agency (FHFA or the Agency) is adopting a final rule (final rule) that establishes risk-based and leverage capital requirements for the Federal National Mortgage Association (Fannie Mae) and the Federal Home Loan Mortgage Corporation (Freddie Mac, and with Fannie Mae, each an Enterprise). The final rule also makes...
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Fiduciary Duties Regarding Proxy Voting and Shareholder Rights
The Department of Labor (Department) is amending the ``Investment Duties'' regulation to address the application of the prudence and exclusive purpose duties under the Employee Retirement Income Security Act of 1974 (ERISA) to the exercise of shareholder rights, including proxy voting, the use of written proxy voting policies and guidelines, and...
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Temporary Rules to Include Certain “Platform Workers” in Compensatory Offerings Under Rule 701 and Form S-8
The Securities and Exchange Commission (``Commission'') is proposing for public comment amendments to the exemption from registration under the rules of the Securities Act of 1933 (``Securities Act'') for securities issued by non-reporting companies pursuant to compensatory arrangements and to Form S-8, the registration statement for offerings...
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Modernization of Rules and Forms for Compensatory Securities Offerings and Sales
The Securities and Exchange Commission (``Commission'') is proposing for public comment amendments to Rule 701 under the Securities Act of 1933 (the ``Securities Act''), which provides an exemption from registration for securities issued by non-reporting issuers pursuant to compensatory arrangements, and Form S-8, the Securities Act registration...
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Licensing Amendments
The Office of the Comptroller of the Currency (OCC) is amending its rules relating to policies and procedures for corporate activities and transactions involving national banks and Federal savings associations to update and clarify the policies and procedures, eliminate unnecessary requirements consistent with safety and soundness, and make...
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Qualifications of Accountants
The Securities and Exchange Commission (``Commission'' or ``SEC'') is adopting amendments to update certain auditor independence requirements. These amendments are intended to more effectively focus the independence analysis on those relationships or services that are more likely to pose threats to an auditor's objectivity and impartiality.
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Federal Reserve Bank Capital Stock
The Board of Governors (Board) is publishing a final rule that applies an inflation adjustment to the threshold for total consolidated assets in Regulation I. Federal Reserve Bank (Reserve Bank) stockholders that have total consolidated assets above the threshold receive a different dividend rate on their Reserve Bank stock than stockholders...
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Electronic Signatures in Regulation S-T Rule 302
We are adopting amendments to Regulation S-T and the Electronic Data Gathering, Analysis, and Retrieval system (``EDGAR'') Filer Manual (``EDGAR Filer Manual'' or ``Filer Manual'') to permit the use of electronic signatures in signature authentication documents required under Regulation S-T in connection with electronic filings on EDGAR that are...
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Community Reinvestment Act Regulations
The Office of the Comptroller of the Currency (OCC) is issuing a notice of proposed rulemaking to request comment on the OCC's proposed approach to determine the Community Reinvestment Act (CRA) evaluation measure benchmarks, retail lending distribution test thresholds, and community development minimums under the general performance standards....
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Temporary Asset Thresholds
To mitigate temporary transition costs on banking organizations related to the coronavirus disease 2019 (COVID event), the OCC, Board, and the FDIC (together, the agencies) are issuing an interim final rule to permit national banks, savings associations, state banks, bank holding companies, savings and loan holding companies, and U.S. branches...
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Customer Margin Rules Relating to Security Futures
The Commodity Futures Trading Commission (``CFTC'') and the Securities and Exchange Commission (``SEC'') (collectively, the ``Commissions'') are adopting rule amendments to lower the margin requirement for an unhedged security futures position from 20% to 15% and adopting certain conforming revisions to the security futures margin offset table.
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Fund of Funds Arrangements
The Securities and Exchange Commission (the ``Commission'') is adopting a new rule under the Investment Company Act of 1940 (``Investment Company Act'' or ``Act'') to streamline and enhance the regulatory framework applicable to funds that invest in other funds (``fund of funds'' arrangements). In connection with the new rule, the Commission is...
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Regulatory Clean Up Initiative
The U.S Department of Health and Human Services (HHS) is amending its regulations to make miscellaneous corrections, including correcting references to other regulations, misspellings and other typographical errors. This document is necessary to inform the public of these non-substantive changes to HHS's regulations.
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Financial Factors in Selecting Plan Investments
The Department of Labor (Department) is adopting amendments to the ``investment duties'' regulation under Title I of the Employee Retirement Income Security Act of 1974, as amended (ERISA). The amendments require plan fiduciaries to select investments and investment courses of action based solely on financial considerations relevant to the...
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Tailored Shareholder Reports, Treatment of Annual Prospectus Updates for Existing Investors, and Improved Fee and Risk Disclosure for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements
The Securities and Exchange Commission (``Commission'') is proposing rule and form amendments that would modernize the disclosure framework for open-end management investment companies. The disclosure framework would feature concise and visually engaging shareholder reports that would highlight key information that is particularly important for...
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Whistleblower Program Rules
The Securities and Exchange Commission (``Commission'') is adopting several amendments to the Commission's rules implementing its congressionally mandated whistleblower program. Section 21F of the Securities Exchange Act of 1934 (``Exchange Act'') provides, among other things, that the Commission shall pay--under regulations prescribed by the...
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Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8
We are adopting amendments to certain procedural requirements and the provision relating to resubmitted proposals under the shareholder-proposal rule in order to modernize and enhance the efficiency and integrity of the shareholder-proposal process for the benefit of all shareholders. The amendments to the procedural rules: Amend the current...
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Adoption of Updated EDGAR Filer Manual
The Securities and Exchange Commission (the ``Commission'') is adopting revisions to Volume II of the Electronic Data Gathering, Analysis, and Retrieval System (``EDGAR'') Filer Manual (``EDGAR Filer Manual'' or ``Filer Manual'') and related rules. The EDGAR system was upgraded on September 21, 2020.
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National Banks and Federal Savings Associations as Lenders
The Office of the Comptroller of the Currency (OCC) is issuing this final rule to determine when a national bank or Federal savings association (bank) makes a loan and is the ``true lender,'' including in the context of a partnership between a bank and a third party, such as a marketplace lender. Under this rule, a bank makes a loan if, as of...
Showing 1-20 of 1470 results since 1994. View 1450 more results.