North America Comment Letters
2024
January 17, 2024
CFTC Proposed Amendments on Investment of Customer Funds by FCMs and DCOs
January 16, 2024
Joint Agency NPR-Regulatory Capital Rule for Large Banking Organizations and Banking Organizations with Significant Trading Activity
January 2, 2024
DOL Proposed Retirement Security Rule and Proposed Amendments to Class Exemptions
2023
December 18, 2023
SEC Amendment 23 to NMS Plan to Address Extraordinary Market Volatility
July 21, 2023
FDIC Proposed Special Assessments Pursuant to Systemic Risk Determination
May 31, 2023
OSFI-Draft Culture and Behavior Risk Guideline
May 8, 2023
SEC Proposed Rule-Safeguarding Advisory Client Assets
March 30, 2023
SEC Market Structure Proposals
February 14, 2023
SEC Proposed Rule-Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting
February 6, 2023
FRB Draft Principles for Climate-Related Financial Risk Management for Large Financial Institutions
2022
December 23, 2022
SEC Proposed Rule-Outsourcing by Investment Advisers
October 11, 2022
DOL Proposed Amendment to Prohibited Transaction Class Exemption 84-14 (QPAM Exemption)
August 16, 2022
SEC Proposed Rule-Investment Company Names
August 16, 2022
SEC Proposed Rule-Enhanced Disclosures About ESG Investment Practices
August 8, 2022
Treasury Request for Comment-Ensuring Responsible Development of Digital Assets
August 5, 2022
Joint Agency NPR on Community Reinvestment Act Reform
July 5, 2022
Department of Commerce Request for Comment-Developing Framework on Competitiveness of Digital Assets
June 17, 2022
SEC Proposed Rule-Enhancement and Standardization of Climate-Related Disclosures for Investors
May 20, 2022
FRB Discussion Paper–Money and Payments-US Dollar in Age of Digital Transformation
May 9, 2022
FINRA Regulatory Notice on Complex Products and Options
April 11, 2022
SEC Proposed Rule-Modernization of Beneficial Ownership Reporting
April 11, 2022
SEC Proposed Rule-Money Market Fund Reforms
April 11, 2022
SEC Proposed Rule-Shortening Securities Transaction Settlement Cycle
April 1, 2022
SEC Proposed Rule-Reporting of Securities Loans
March 21, 2022
SEC Amendments to Form PF
February 9, 2022
OSFI Draft B-13 Technology and Cyber Risk Management Guideline
2021
December 13, 2021
DOL Proposed Regulation-Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights
October 31, 2021
NYDFS Proposed Sixteenth Amendment to Insurance Regulation 172
September 28, 2021
OSFI Consultation on Prudential Treatment of Crypto Asset Exposures
September 10, 2021
OSFI Operational Risk and Resilience Industry Letter
July 16, 2021
FDIC Request for Information on Use of Digital Assets
July 1, 2021
Joint Agencies RFI on Financial Institutions' Use of Artificial Intelligence Including, Machine Learning
June 18, 2021
OSFI Discussion Paper-Assurance on Capital Leverage and Liquidity Returns
June 14, 2021
SEC Request for Input on Climate Change Disclosures
May 12, 2021
SEC Proposed Amendment to National Market System Plan Governing Consolidated Audit Trail
April 12, 2021
SEC Request for Comment on Potential Money Market Fund Reform Measures
April 12, 2021
OSFI Consultation on Navigating Uncertainty in Climate Change
February 12, 2021
FRB ANPR on Modernizing Community Reinvestment Act
February 1, 2021
FTC Proposed Rulemakings on Premerger Notifications
January 4, 2021
SEC Proposal on Tailored Shareholder Reports