2024
December 6, 2024
FDIC Request for Information on Deposit Data.
September 6, 2024
FRB Request for Comment-Expansion of Fedwire Funds Service and NSS Operating Hours
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