In fiscal year 2016 alone, the commission brought over 850. Higherpriced mortgage loan escrow exemption 3170aa83. The secs 2019 fall agenda of its rulemaking actions under the regulatory flexibility act rfa has been posted. In crafting the proposal, the sec took into account comments received on the 2016 concept.
The sec extended the public comment period from october 3, 2016 to november 2, 2016 for its. Sec, prerule stage, portfolio margining harmonization, 3235am64. To the extent possible, rulemaking actions by sec since that date have been. It would seem that with disclosure of political expenditures being on the secs rulemaking agenda, combined with broad public interest in such a rule as evidenced by other one million comments on the petition, the sec would move. The items listed in the regulatory flexibility agenda for autumn 2016 reflect only the priorities of the. Compliance outreach program for municipal advisors federal reserve bank of philadelphia 10 independence mall philadelphia, pa 19106 february 3, 2016 registration and continental breakfast 9. Finally, the secs development of a uniform fiduciary standard was not a centerpiece of sec staff presentations during the conference. Rulemaking administrative conference of the united states. Find a regulatory agenda and list of an agencys agenda entries twice a year in the spring and fall, each agency publishes a regulatory agenda. Ici mutual funds conference outlines the secs 2016 agenda. Share this page spring 2018 rulemaking agenda may 11, 2018 source. Notice of public meeting on july 9, 2015 and meeting agenda june 4, 2015.
Amendments to certain provisions of the auditor independence rules. Agency rule list cfpbs active rulemaking plans includes prerule, proposed rule, and final rule activities longterm actions list initiatives that the cfpb is planning to work on beyond november 2020 completed actions list cfpb rulemakings that have been completed in approximately the last six months. Previously published in the unified agenda agenda stage of rulemaking. Number of proposals submitted 0 220 440 660 880 1100 2016 2015 2014 20 978 1,081 992 1,046. April 2016 to september 2016 project planned action 2. The securities and exchange commission is publishing the chairs agenda of rulemaking actions pursuant to the regulatory flexibility act rfa pub. Rulemaking new hampshire site evaluation committee. Cfpb issues its fall 2016 rulemaking agenda weiner. Testimony on examining the secs agenda, operations and. The agenda does not include any major surprises, but it does slightly revise the projected timeline for several highly anticipated rulemaking.
The list is published to provide the public with notice that these rules are. Proposed rule reopening of comment periods for certain rulemaking releases and policy statement applicable to securitybased swaps proposed pursuant to the securities exchange act of 1934 and the doddfrank wall street reform and consumer protection act 51 3469491 proposed rule ownership limitations and governance requirements for securitybased swap clearing agencies, securitybased swap execution facilities, and national securities exchanges with respect to securitybased swaps under. Topics discussed included updates on the provisions of the. Auditorson april 12, 2016, the board issued for public comment amendments to improve the auditing standards that govern the supervision of audits involving other auditors, and a new auditing. Securities and exchange commission sec gathered with two former sec commissioners at the practising law institutes annual sec speaks conference in washington, d. For example, 32 rules were listed as tobeadopted in 2016, but less than 30 percent of the listed rules were adopted in that year. Hotel reservations will then be accepted on a space and rateavailable basis.
The agenda includes new entries, entries carried over from previous publications, and rulemaking actions that have been completed or withdrawn since publication of the last agenda. The sec effort began with the rulemaking to require certain private funds to register with the sec and report data on various portfolio attributes on a regular basis to the. The historic campaign for corporate political spending disclosure. The agenda, commonly referred to as the reg flex agenda, is published semiannually and reflects the actions the chairman anticipates the sec will complete in the short term within a year and the long term longer than a year. Rulemaking is the process by which federal agencies implement legislation passed by congress and signed into law by the president. He observed that much of the sec rulemaking required by the dodd frank act of 2010 was completed. Agencies also publish most of this material their regulatory plans in the. Ici opposes mfa rulemaking petition on hedge fund advertising pdf. Commission rulemaking on this topic, issuers can think about. Securities and exchange commission sec latest developments. Rulemaking guidelines pursuant to tennessee code annotated title 4, chapter 5 and rule chapters 600101 through 600103 tennessee secretary of state division of publications 312 rosa l. The proposed rules include several changes compared to the 2016 rules vacated.
The unified agenda is how agencies announce future rulemaking activities update the public on pending and completed regulatory actions. Regulatory agenda are often referred to as the unified agenda. New sec chairman jay clayton outlines views in policy speech ey. Issuers can look for the following items on the secs nearterm rule making agenda. Ici letter on secs concept release on securities offering exemptions pdf. Read about changes in the secs disclosure requirements. Sec requiring all public companies to disclose their political expenditures. Reserve a room online or by calling 877 3030104 and identify yourself as a 2016 finra fixed income conference attendee. The spring 2018 unified regulatory agenda the socalled reg flex agenda came out on may 9. This was the aviation security advisory committees asac annual public meeting. Information in the chairs agenda was accurate on september 2, 2016, the date on which the commissions staff completed compilation of the data. Department of labor dol regulations reforming the fiduciary duty and related standards ici mutual funds conference outlines the secs 2016 agenda. Fisher, paul watkins, nir servatka, jennifer liu and rachel charney the u. Adoption of amendments and adoption of repeals of rules related to historical racing as published in the january 1, 2016, edition of the texas register.
Oca standardsetting agenda march 31, 2016 page 4 that is contained in documents that include the audited financial statements and the. Rulemaking is, of course, one of the commissions key functions. June 1, 2020 comments received are available for this. He observed that much of the sec rulemaking required by the doddfrank act of 2010 was completed. Petition for rulemaking to end the commissions backdoor. Testimony on examining the secs agenda, operations, and. Not yet determined to search for a specific cfr, visit the code of federal regulations. In 2012, the sec placed disclosure by public companies of their political expenditures on its rulemaking agenda. Agencies issue interim final rule on management official. As part of its disclosure effectiveness initiative launched at the end of 20, the sec continued to. The secs spring 2018 rulemaking agenda observations on. Cfpb releases 2016 rulemaking agenda lenderlaw watch. Disclosure update and simplification proposed rule, which would amend certain sec disclosure requirements that have become redundant, duplicative, overlapping, outdated, or superseded, given other sec disclosure requirements. The commission invites public comment on the agenda and on the individual agenda entries.
The committee on rulemaking considers the procedures that agencies use to promulgate, modify or rescind regulations. We are required to publish a regulatory flexibility agenda. Rule making activities new york department of state. Sec rulemaking on the regulatory flexibility agenda. Cei comments on sec proposed rules to restrict investor. Proceedings on rulemaking discussion, consideration and possible action on the following matters. This broad agenda reflects the continuation of work by the sec to modernize and reevaluate how the sec regulates the asset management industry in the postcrisis era. The departments rulemaking, however, only involved the deletion of part 270. Facilitating capital formation and expanding investment opportunities by improving access to capital in private markets conformed to federal register version other release no. Regulatory agenda consumer financial protection bureau. Retirement investment advice, 81 fr 20945, 20975 apr. Sec chair jay clayton has streamlined the regulatory flexibility act agenda to limit it to the rulemakings that the sec actually expects to take.
The agenda identifies the cfpbs regulatory priorities for the period from november 1, 2016 to october 31, 2017, and it includes continuing rulemaking activities addressing critical issues in various markets for consumer financial products and services as well as a longterm agenda of potential future rulemaking areas of interest. Securities and exchange commission sec had a busy rulemaking year in 2016. New sec chairman jay clayton outlines views in policy speech 3 potential cyber threats and responding to a major cyber attack, should one arise is one such area where coordination is critical. Shb 1075 2019 consumer competitive group insurance. Travel information finra suggests that you do not purchase restricted or nonrefundable tickets. Information in the agenda was accurate on 03182016, the date on which secs staff completed compilation of the data. Senior members of the division of corporation finance corp fin of the u. New sec chairman jay clayton outlines views in policy speech. Sec agenda clayton discussed topics on the secs agenda where these principles could be put into action. Notice of stakeholder technical session on june 29, 2015 regarding issues in rulemaking docket no. Qualified mortgage definition under the truth in lending act. Federal investments report for calpers board october 2016. The bureaus general purpose, as specified in section 1021 of the doddfrank act, is to implement and enforce federal consumer financial law consistently for the purpose of ensuring that all consumers have access to markets for consumer financial.
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