Events listed in [FR] Federal Register
Notice of Proposed Order and Request for Comment on an Application for a Capital ...
ID 23899
The U.S. Commodity and Futures Trading Commission, CFTC, has published in the Federal Register a Notice of Proposed Order and Request for Comment on an application for a capital and financial reporting comparability determination“ for certain non-bank swap dealers (SDs) which was submitted by the International Swaps and Derivatives Association (ISDA), the Securities Industry and Financial Markets Association (SIFMA), and the *Institute of International ...
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; ...
ID 23882
The U.S. Securities and Exchange Commission, SEC, has published a statement in the Federal Register to inform that it will take more time „to determine whether to approve or disapprove“ a proposed rule change by the Financial Industry Regulatory Authority, FINRA, as regards the addition of a new firm to its list of registered and permitted alternative display facilities setting out quotes for market ...
Quality Control Standards for Automated Valuation Models
ID 23797
As previously announced on June 1, 2023, several U.S. banking regulators, including the Board of Governors of the Federal Reserve System (FED), the Office of the Comptroller of the Currency (OCC), and others have now published in the Federal Register a new consultation in connection with the use of automated valuation models (AVMs) when assessing the value of collaterals involving mortgages. Specifically, the regulators ...
Malta Personal Retirement Scheme Listed Transaction
ID 23731
The Internal Revenue Service (IRS) and the U.S. Department of the Treasury (USDT) have published in the Federal Register a proposed new regulation to fill the loopholes for tax avoidance in connection with Malta pension plans by individuals subject to U.S. income taxes. Specifically, so far, individuals could „invest“ in Malta pension plans by transferring their assets (stocks, cryptocurrency, etc.) to such plan and ...
Derivatives Clearing Organization Risk Management Regulations To Account for the ...
ID 23728
As previously announced by the U.S. Commodity Futures Trading Commission, CFTC, the Commission has now published in the Federal Register its final note to extend the comment period on a proposed rule amendment to 17 CFR Part 39, §39.13. To recall, the CFTC seeks to implement previously issued no-action relief as regards the „Treatment of Separate Accounts of a Single Customer by Clearing Members“ ...
Technical Amendments to Commission Rules and Forms
ID 23675
The U.S. Securities and Exchange Commission, SEC, has published in the Federal Register final rules and form amendments concerning the following Statutory Instruments: 17 CFR PART 200 – ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS 17 CFR PART 229 – STANDARD INSTRUCTIONS FOR FILING FORMS – REGULATION S-K 17 CFR PART 249 – FORMS, SECURITIES EXCHANGE ACT OF 1934 17 CFR PART 270 ...
Exemption From Certain Prohibited Transaction Restrictions Involving UBS AG (UBS) ...
ID 23533
The Employee Benefits Security Administration, EBSA, of the U.S. Department of Labor (DOL) published in the Federal Register its [final Prohibited Transaction Exemption (PTE)*](https://www.federalregister.gov/documents/2023/06/02/2023-11864/exemption-from-certain-prohibited-transaction-restrictions-involving-ubs-ag-ubs-and-credit-suisse) in relation to UBS AG and Credit Suisse Group AG (CSGG). The PTE will be valid for one year following the merger of the two institutions and ...
Small Business Lending Under the Equal Credit Opportunity Act (Regulation B)
ID 23493
The Bureau of Consumer Financial Protection has published in the Federal Register (FR) its final rule amendments to Statutory Instrument 12 CFR Part 1002 regarding the reporting under the Equal Credit Opportunity Act. The final rules are accompanied by the feedback the Bureau has received from commenters on the Bureau’s corresponding consultation that was launched in October 2021. According to the finalized document, the ...
Special Assessments Pursuant to Systemic Risk Determination
ID 23352
**In view of the recent failures of the Silicon Valley Bank (SVB) in Santa Clara, CA, and Signature Bank (SB) in New York, NY, the Federal Deposit Insurance Corporation (FDIC) has published in the Federal Register a proposed regulation that aims to recover the losses incurred by the Deposit Insurance Fund (DIF) when safeguarding uninsured depositors of the two failing institutions in accordance with ...
South Sudan Sanctions Regulations
ID 23316
The Office of Foreign Assets Control, OFAC, has published in the Federal Register a new regulation which entirely replaces Statutory Instrument 31 CFR Part 558, a sanctions regulation to set out the legal framework for sanctioning South Sudan and South Sudanese entities and persons that pose a threat on the U.S. economy, U.S. people, and the country as a whole. **The reissued Statutory Instrument ...