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Final Rules

Date
Final Rules
11/14/2019

84 FR 61974  //  Open PDF Version PDF Version

Department of Treasury Office of the Comptroller of the Currency 12 CFR Part 44 [Docket No. OCC-2018-0010] RIN 1557-AE27; Federal Reserve System 12 CFR Part 248 [Docket No. R-1608] RIN 7100-AF 06; Federal Deposit Insurance Corporation 12 CFR Part 351 RIN 3064-AE67; Commodity Futures Trading Commission 17 CFR Part 75 RIN 3038-AE72; Securities and Exchange Commission 17 CFR Part 255 [Release no. BHCA-7; File no. S7-14-18] RIN 3235-AM10 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

Effective Date: Wednesday, January 1, 2020
See also:
83 FR 33432 ,  7/17/2018  //  Open PDF Version PDF Version

Department of Treasury Office of the Comptroller of the Currency 12 CFR Part 44 [Docket No. OCC-2018-0010] RIN 1557-AE27; Federal Reserve System 12 CFR Part 248 [Docket No. R-1608] RIN 7100-AF 06; Federal Deposit Insurance Corporation 12 CFR Part 351 RIN 3064-AE67; Securities and Exchange Commission 17 CFR Part 255 [Release no. BHCA-3; File no. S7-14-18] RIN 3235-AM10; Commodity Futures Trading Commission 17 CFR Part 75 RIN 3038-AE72 Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

83 FR 45860 ,  9/11/2018  //  Open PDF Version PDF Version

DEPARTMENT OF TREASURY Office of the Comptroller of the Currency 12 CFR Part 44 [Docket No. OCC-2018-0010] RIN 1557-AE27; FEDERAL RESERVE SYSTEM 12 CFR Part 248 [Docket No. R-1608] RIN 7100-AF 06; FEDERAL DEPOSIT INSURANCE CORPORATION 12 CFR Part 351 RIN 3064-AE67; COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 75 RIN 3038-AE72; SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 255 [Release no. BHCA-3; File no. S7-14-18] RIN 3235-AM10 Extension of Comment Period for Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

84 FR 2778 ,  2/8/2019  //  Open PDF Version PDF Version

DEPARTMENT OF TREASURY Office of the Comptroller of the Currency 12 CFR Part 44 [Docket No. OCC-2018-0029] RIN 1557-AE47; FEDERAL RESERVE SYSTEM 12 CFR Part 248 [Docket No. R-1643] RIN 7100-AF 33; FEDERAL DEPOSIT INSURANCE CORPORATION 12 CFR Part 351 RIN 3064-AE88; COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 75 RIN 3038-AE72; SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 255 [Release no. BHCA-5; File no. S7-30-18] RIN 3235-AM43 Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds

84 FR 35008 ,  7/22/2019  //  Open PDF Version PDF Version

Department of the Treasury Office of the Comptroller of the Currency 12 CFR Part 44 [Docket ID OCC-2018-0029] RIN 1557-AE47; Federal Reserve System 12 CFR Part 248 [Docket No. R-1643] RIN 7100-AF33; Federal Deposit Insurance Corporation 12 CFR Part 351 RIN 3064-AE88; Commodity Futures Trading Commission 17 CFR Part 75 RIN 3038-AE72; Securities and Exchange Commission 17 CFR Part 255 [Release no. BHCA-6; File no. S7-30-18] RIN 3235-AM43 Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds

84 FR 38115 ,  8/6/2019  //  Open PDF Version PDF Version

Federal Reserve System 12 CFR Part 248 [Docket No. R-1643] RIN 7100-AF33 ; Federal Deposit Insurance Corporation 12 CFR Part 351 RIN 3064-AE88; Commodity Futures Trading Commission 17 CFR Part 75 RIN 3038-AE72; Securities and Exchange Commission 17 CFR Part 255 Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

9/27/2019

84 FR 51005  //  Open PDF Version PDF Version

17 CFR Part 41 Position Limits and Position Accountability for Security Futures Products

Effective Date: Tuesday, November 26, 2019
See also:
83 FR 36799 ,  7/31/2018  //  Open PDF Version PDF Version

17 CFR Part 41 Position Limits and Position Accountability for Security Futures Products

8/6/2019

84 FR 38115  //  Open PDF Version PDF Version

Federal Reserve System 12 CFR Part 248 [Docket No. R-1643] RIN 7100-AF33 ; Federal Deposit Insurance Corporation 12 CFR Part 351 RIN 3064-AE88; Commodity Futures Trading Commission 17 CFR Part 75 RIN 3038-AE72; Securities and Exchange Commission 17 CFR Part 255 Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

Effective Date: Tuesday, August 6, 2019
See also:
83 FR 33432 ,  7/17/2018  //  Open PDF Version PDF Version

Department of Treasury Office of the Comptroller of the Currency 12 CFR Part 44 [Docket No. OCC-2018-0010] RIN 1557-AE27; Federal Reserve System 12 CFR Part 248 [Docket No. R-1608] RIN 7100-AF 06; Federal Deposit Insurance Corporation 12 CFR Part 351 RIN 3064-AE67; Securities and Exchange Commission 17 CFR Part 255 [Release no. BHCA-3; File no. S7-14-18] RIN 3235-AM10; Commodity Futures Trading Commission 17 CFR Part 75 RIN 3038-AE72 Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

83 FR 45860 ,  9/11/2018  //  Open PDF Version PDF Version

DEPARTMENT OF TREASURY Office of the Comptroller of the Currency 12 CFR Part 44 [Docket No. OCC-2018-0010] RIN 1557-AE27; FEDERAL RESERVE SYSTEM 12 CFR Part 248 [Docket No. R-1608] RIN 7100-AF 06; FEDERAL DEPOSIT INSURANCE CORPORATION 12 CFR Part 351 RIN 3064-AE67; COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 75 RIN 3038-AE72; SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 255 [Release no. BHCA-3; File no. S7-14-18] RIN 3235-AM10 Extension of Comment Period for Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

84 FR 2778 ,  2/8/2019  //  Open PDF Version PDF Version

DEPARTMENT OF TREASURY Office of the Comptroller of the Currency 12 CFR Part 44 [Docket No. OCC-2018-0029] RIN 1557-AE47; FEDERAL RESERVE SYSTEM 12 CFR Part 248 [Docket No. R-1643] RIN 7100-AF 33; FEDERAL DEPOSIT INSURANCE CORPORATION 12 CFR Part 351 RIN 3064-AE88; COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 75 RIN 3038-AE72; SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 255 [Release no. BHCA-5; File no. S7-30-18] RIN 3235-AM43 Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds

84 FR 35008 ,  7/22/2019  //  Open PDF Version PDF Version

Department of the Treasury Office of the Comptroller of the Currency 12 CFR Part 44 [Docket ID OCC-2018-0029] RIN 1557-AE47; Federal Reserve System 12 CFR Part 248 [Docket No. R-1643] RIN 7100-AF33; Federal Deposit Insurance Corporation 12 CFR Part 351 RIN 3064-AE88; Commodity Futures Trading Commission 17 CFR Part 75 RIN 3038-AE72; Securities and Exchange Commission 17 CFR Part 255 [Release no. BHCA-6; File no. S7-30-18] RIN 3235-AM43 Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds

84 FR 61974 ,  11/14/2019  //  Open PDF Version PDF Version

Department of Treasury Office of the Comptroller of the Currency 12 CFR Part 44 [Docket No. OCC-2018-0010] RIN 1557-AE27; Federal Reserve System 12 CFR Part 248 [Docket No. R-1608] RIN 7100-AF 06; Federal Deposit Insurance Corporation 12 CFR Part 351 RIN 3064-AE67; Commodity Futures Trading Commission 17 CFR Part 75 RIN 3038-AE72; Securities and Exchange Commission 17 CFR Part 255 [Release no. BHCA-7; File no. S7-14-18] RIN 3235-AM10 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

7/22/2019

84 FR 35008  //  Open PDF Version PDF Version

Department of the Treasury Office of the Comptroller of the Currency 12 CFR Part 44 [Docket ID OCC-2018-0029] RIN 1557-AE47; Federal Reserve System 12 CFR Part 248 [Docket No. R-1643] RIN 7100-AF33; Federal Deposit Insurance Corporation 12 CFR Part 351 RIN 3064-AE88; Commodity Futures Trading Commission 17 CFR Part 75 RIN 3038-AE72; Securities and Exchange Commission 17 CFR Part 255 [Release no. BHCA-6; File no. S7-30-18] RIN 3235-AM43 Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds

Effective Date: Monday, July 22, 2019
See also:
83 FR 33432 ,  7/17/2018  //  Open PDF Version PDF Version

Department of Treasury Office of the Comptroller of the Currency 12 CFR Part 44 [Docket No. OCC-2018-0010] RIN 1557-AE27; Federal Reserve System 12 CFR Part 248 [Docket No. R-1608] RIN 7100-AF 06; Federal Deposit Insurance Corporation 12 CFR Part 351 RIN 3064-AE67; Securities and Exchange Commission 17 CFR Part 255 [Release no. BHCA-3; File no. S7-14-18] RIN 3235-AM10; Commodity Futures Trading Commission 17 CFR Part 75 RIN 3038-AE72 Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

83 FR 45860 ,  9/11/2018  //  Open PDF Version PDF Version

DEPARTMENT OF TREASURY Office of the Comptroller of the Currency 12 CFR Part 44 [Docket No. OCC-2018-0010] RIN 1557-AE27; FEDERAL RESERVE SYSTEM 12 CFR Part 248 [Docket No. R-1608] RIN 7100-AF 06; FEDERAL DEPOSIT INSURANCE CORPORATION 12 CFR Part 351 RIN 3064-AE67; COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 75 RIN 3038-AE72; SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 255 [Release no. BHCA-3; File no. S7-14-18] RIN 3235-AM10 Extension of Comment Period for Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

84 FR 2778 ,  2/8/2019  //  Open PDF Version PDF Version

DEPARTMENT OF TREASURY Office of the Comptroller of the Currency 12 CFR Part 44 [Docket No. OCC-2018-0029] RIN 1557-AE47; FEDERAL RESERVE SYSTEM 12 CFR Part 248 [Docket No. R-1643] RIN 7100-AF 33; FEDERAL DEPOSIT INSURANCE CORPORATION 12 CFR Part 351 RIN 3064-AE88; COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 75 RIN 3038-AE72; SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 255 [Release no. BHCA-5; File no. S7-30-18] RIN 3235-AM43 Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds

84 FR 38115 ,  8/6/2019  //  Open PDF Version PDF Version

Federal Reserve System 12 CFR Part 248 [Docket No. R-1643] RIN 7100-AF33 ; Federal Deposit Insurance Corporation 12 CFR Part 351 RIN 3064-AE88; Commodity Futures Trading Commission 17 CFR Part 75 RIN 3038-AE72; Securities and Exchange Commission 17 CFR Part 255 Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

84 FR 61974 ,  11/14/2019  //  Open PDF Version PDF Version

Department of Treasury Office of the Comptroller of the Currency 12 CFR Part 44 [Docket No. OCC-2018-0010] RIN 1557-AE27; Federal Reserve System 12 CFR Part 248 [Docket No. R-1608] RIN 7100-AF 06; Federal Deposit Insurance Corporation 12 CFR Part 351 RIN 3064-AE67; Commodity Futures Trading Commission 17 CFR Part 75 RIN 3038-AE72; Securities and Exchange Commission 17 CFR Part 255 [Release no. BHCA-7; File no. S7-14-18] RIN 3235-AM10 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

4/25/2019

84 FR 17341  //  Open PDF Version PDF Version

17 CFR Part 160 Privacy of Consumer Financial Information--Amendment To Conform Regulations to the Fixing America's Surface Transportation Act

Effective Date: Tuesday, May 28, 2019
4/3/2019

84 FR 12882  //  Open PDF Version PDF Version

17 CFR Part 1 Financial Surveillance Examination Program Requirements for Self-Regulatory Organizations

Effective Date: Friday, May 3, 2019
See also:
83 FR 31078 ,  7/3/2018  //  Open PDF Version PDF Version

17 CFR Part 1 Financial Surveillance Examination Program Requirements for Self-Regulatory Organizations

4/3/2019

84 FR 12894  //  Open PDF Version PDF Version

17 CFR Part 23 Segregation of Assets Held as Collateral in Uncleared Swap Transactions

Effective Date: Friday, May 3, 2019
See also:
83 FR 36484 ,  7/30/2018  //  Open PDF Version PDF Version

17 CFR Part 23 Segregation of Assets Held as Collateral in Uncleared Swap Transactions

4/1/2019

84 FR 12065  //  Open PDF Version PDF Version

17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participant

Open Date: 4/1/2019
Closing Date: 5/31/2019
Effective Date: Monday, April 1, 2019
4/1/2019

84 FR 12450  //  Open PDF Version PDF Version

17 CFR Part 1 De Minimis Exception to the Swap Dealer Definition--Swaps Entered Into by Insured Depository Institutions in Connection With Loans to Customers

Effective Date: Monday, April 1, 2019
2/11/2019

84 FR 3103  //  Open PDF Version PDF Version

17 CFR Part 143 Annual Adjustment of Civil Monetary Penalties To Reflect Inflation--2019

Effective Date: Monday, February 11, 2019