Title 17 published on 2014-04-01
The following are only the Rules published in the Federal Register after the published date of Title 17.
For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.
2014-12-05; vol. 79 # 234 - Friday, December 5, 2014 79 FR 72252 - Regulation Systems Compliance and Integrity
GPO FDSys XML | Text Additional Documents SECURITIES AND EXCHANGE COMMISSION Final rule and form; final rule amendment; technical amendment. Effective date: February 3, 2015. Compliance date: The applicable compliance dates are discussed in Section IV.F of this release. 17 CFR Parts 240, 242, and 249 Summary The Securities and Exchange Commission (“Commission”) is adopting new Regulation Systems Compliance and Integrity (“Regulation SCI”) under the Securities Exchange Act of 1934 (“Exchange Act”) and conforming amendments to Regulation ATS under the Exchange Act. Regulation SCI will apply to certain self-regulatory organizations (including registered clearing agencies), alternative trading systems (“ATSs”), plan processors, and exempt clearing agencies (collectively, “SCI entities”), and will require these SCI entities to comply with requirements with respect to the automated systems central to the performance of their regulated activities.
2014-11-10; vol. 79 # 217 - Monday, November 10, 2014 79 FR 66607 - Asset-Backed Securities Disclosure and Registration; Correction
GPO FDSys XML | Text Additional Documents SECURITIES AND EXCHANGE COMMISSION Final rule; correction. Effective November 24, 2014. 17 CFR Parts 232 and 249 Summary We are making technical corrections to rules that were published in the Federal Register on September 24, 2014 (79 FR 57184). The Commission adopted revisions to Regulation AB and other rules governing the offering process, disclosure, and reporting for asset-backed securities.
2014-10-14; vol. 79 # 198 - Tuesday, October 14, 2014 79 FR 61576 - Nationally Recognized Statistical Rating Organizations; Correction
GPO FDSys XML | Text Additional Documents SECURITIES AND EXCHANGE COMMISSION Final rule; correction. Effective November 14, 2014. 17 CFR Parts 232, 240, 249, and 249b Summary The Securities and Exchange Commission (“Commission”) is correcting a final rule that appeared in the Federal Register of September 15, 2014 (79 FR 55078). The rule applies to credit rating agencies registered with the Commission as nationally recognized statistical rating organizations (“NRSROs”), providers of third-party due diligence services for asset-backed securities, and issuers and underwriters of asset-backed securities. 1 1 See Nationally Recognized Statistical Rating Organizations, Exchange Act Release No. 72936 (Aug. 27, 2014), 79 FR 55078 (Sep. 15, 2014).
2014-09-30; vol. 79 # 189 - Tuesday, September 30, 2014 79 FR - Asset-Backed Securities Disclosure and Registration
GPO FDSys XML | Text Additional Documents SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 229, 230, 232, 239, 240, 243, and 249 Summary
2014-09-24; vol. 79 # 185 - Wednesday, September 24, 2014 79 FR 57184 - Asset-Backed Securities Disclosure and Registration
GPO FDSys XML | Text Additional Documents SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 24, 2014. Compliance Dates: Offerings on Forms SF-1 and SF-3: Registrants must comply with new rules, forms, and disclosures no later than November 23, 2015. Asset level Disclosures: Offerings of asset-backed securities backed by residential mortgages, commercial mortgages, auto loans, auto leases, and debt securities (including resecuritizations) must comply with asset-level disclosure requirements no later than November 23, 2016. Forms 10-D and 10-K: Any Form 10-D or Form 10-K that is filed after November 23, 2015 must comply with new rules and disclosures, except asset-level disclosures. 17 CFR Parts 229, 230, 232, 239, 240, 243, and 249 Summary We are adopting significant revisions to Regulation AB and other rules governing the offering process, disclosure, and reporting for asset-backed securities (“ABS”). The final rules require that, with some exceptions, prospectuses for public offerings under the Securities Act of 1933 (“Securities Act”) and ongoing reports under the Securities Exchange Act of 1934 (“Exchange Act”) of asset-backed securities backed by real estate related assets, auto related assets, or backed by debt securities, including resecuritizations, contain specified asset-level information about each of the assets in the pool. The asset-level information is required to be provided according to specified standards and in a tagged data format using eXtensible Markup Language (“XML”). We also are adopting rules to revise filing deadlines for ABS offerings to provide investors with more time to consider transaction-specific information, including information about the pool assets. We are also adopting new registration forms tailored to ABS offerings. The final rules also repeal the credit ratings references in shelf eligibility criteria for ABS issuers and establish new shelf eligibility criteria.
2014-09-15; vol. 79 # 178 - Monday, September 15, 2014 79 FR 55078 - Nationally Recognized Statistical Rating Organizations
GPO FDSys XML | Text Additional Documents SECURITIES AND EXCHANGE COMMISSION Final rules. This rule is effective November 14, 2014; except the amendments to § 240.17g-3(a)(7) and (b)(2) and Form NRSRO, which are effective on January 1, 2015; and the amendments to § 240.17g-2(a)(9), (b)(13) through (15), § 240.17g-5(a)(3)(iii)(E), (c)(6) through (8), § 240.17g-7(a) and (b), and Form ABS-15G, which are effective June 15, 2015. The addition of §§ 240.15Ga-2, 240.17g-8, 240.17g-9, 240.17g-10, and Form ABS Due Diligence-15E are effective June 15, 2015. 17 CFR Parts 232, 240, 249, and 249b Summary In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) and to enhance oversight, the Securities and Exchange Commission (“Commission”) is: adopting amendments to existing rules and new rules that apply to credit rating agencies registered with the Commission as nationally recognized statistical rating organizations (“NRSROs”); adopting a new rule and form that apply to providers of third-party due diligence services for asset-backed securities; and adopting amendments to existing rules and a new rule that implement a requirement added by the Dodd-Frank Act that issuers and underwriters of asset-backed securities make publicly available the findings and conclusions of any third-party due diligence report obtained by the issuer or underwriter. The Commission also is adopting certain technical amendments to existing rules.
2014-07-08; vol. 79 # 130 - Tuesday, July 8, 2014 79 FR 38451 - Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934
GPO FDSys XML | Text Additional Documents SECURITIES AND EXCHANGE COMMISSION Final rule; correction. Effective July 7, 2014. 17 CFR Parts 240 and 249 Summary The Securities and Exchange Commission published a document in the Federal Register of January 8, 2014 that contained an incorrect instruction. This correction is being published to correct instruction 5.b in that document.
Title 17 published on 2014-04-01
The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 249 after this date.
2014-12-05; vol. 79 # 234 - Friday, December 5, 2014 79 FR 72252 - Regulation Systems Compliance and Integrity
GPO FDSys XML | Text Additional Documents SECURITIES AND EXCHANGE COMMISSION Final rule and form; final rule amendment; technical amendment. Effective date: February 3, 2015. Compliance date: The applicable compliance dates are discussed in Section IV.F of this release. 17 CFR Parts 240, 242, and 249 Summary The Securities and Exchange Commission (“Commission”) is adopting new Regulation Systems Compliance and Integrity (“Regulation SCI”) under the Securities Exchange Act of 1934 (“Exchange Act”) and conforming amendments to Regulation ATS under the Exchange Act. Regulation SCI will apply to certain self-regulatory organizations (including registered clearing agencies), alternative trading systems (“ATSs”), plan processors, and exempt clearing agencies (collectively, “SCI entities”), and will require these SCI entities to comply with requirements with respect to the automated systems central to the performance of their regulated activities.
2014-11-10; vol. 79 # 217 - Monday, November 10, 2014 79 FR 66607 - Asset-Backed Securities Disclosure and Registration; Correction
GPO FDSys XML | Text Additional Documents SECURITIES AND EXCHANGE COMMISSION Final rule; correction. Effective November 24, 2014. 17 CFR Parts 232 and 249 Summary We are making technical corrections to rules that were published in the Federal Register on September 24, 2014 (79 FR 57184). The Commission adopted revisions to Regulation AB and other rules governing the offering process, disclosure, and reporting for asset-backed securities.
2014-10-14; vol. 79 # 198 - Tuesday, October 14, 2014 79 FR 61576 - Nationally Recognized Statistical Rating Organizations; Correction
GPO FDSys XML | Text Additional Documents SECURITIES AND EXCHANGE COMMISSION Final rule; correction. Effective November 14, 2014. 17 CFR Parts 232, 240, 249, and 249b Summary The Securities and Exchange Commission (“Commission”) is correcting a final rule that appeared in the Federal Register of September 15, 2014 (79 FR 55078). The rule applies to credit rating agencies registered with the Commission as nationally recognized statistical rating organizations (“NRSROs”), providers of third-party due diligence services for asset-backed securities, and issuers and underwriters of asset-backed securities. 1 1 See Nationally Recognized Statistical Rating Organizations, Exchange Act Release No. 72936 (Aug. 27, 2014), 79 FR 55078 (Sep. 15, 2014).
2014-09-30; vol. 79 # 189 - Tuesday, September 30, 2014 79 FR - Asset-Backed Securities Disclosure and Registration
GPO FDSys XML | Text Additional Documents SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 229, 230, 232, 239, 240, 243, and 249 Summary
2014-09-24; vol. 79 # 185 - Wednesday, September 24, 2014 79 FR 57184 - Asset-Backed Securities Disclosure and Registration
GPO FDSys XML | Text Additional Documents SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 24, 2014. Compliance Dates: Offerings on Forms SF-1 and SF-3: Registrants must comply with new rules, forms, and disclosures no later than November 23, 2015. Asset level Disclosures: Offerings of asset-backed securities backed by residential mortgages, commercial mortgages, auto loans, auto leases, and debt securities (including resecuritizations) must comply with asset-level disclosure requirements no later than November 23, 2016. Forms 10-D and 10-K: Any Form 10-D or Form 10-K that is filed after November 23, 2015 must comply with new rules and disclosures, except asset-level disclosures. 17 CFR Parts 229, 230, 232, 239, 240, 243, and 249 Summary We are adopting significant revisions to Regulation AB and other rules governing the offering process, disclosure, and reporting for asset-backed securities (“ABS”). The final rules require that, with some exceptions, prospectuses for public offerings under the Securities Act of 1933 (“Securities Act”) and ongoing reports under the Securities Exchange Act of 1934 (“Exchange Act”) of asset-backed securities backed by real estate related assets, auto related assets, or backed by debt securities, including resecuritizations, contain specified asset-level information about each of the assets in the pool. The asset-level information is required to be provided according to specified standards and in a tagged data format using eXtensible Markup Language (“XML”). We also are adopting rules to revise filing deadlines for ABS offerings to provide investors with more time to consider transaction-specific information, including information about the pool assets. We are also adopting new registration forms tailored to ABS offerings. The final rules also repeal the credit ratings references in shelf eligibility criteria for ABS issuers and establish new shelf eligibility criteria.
2014-09-15; vol. 79 # 178 - Monday, September 15, 2014 79 FR 55078 - Nationally Recognized Statistical Rating Organizations
GPO FDSys XML | Text Additional Documents SECURITIES AND EXCHANGE COMMISSION Final rules. This rule is effective November 14, 2014; except the amendments to § 240.17g-3(a)(7) and (b)(2) and Form NRSRO, which are effective on January 1, 2015; and the amendments to § 240.17g-2(a)(9), (b)(13) through (15), § 240.17g-5(a)(3)(iii)(E), (c)(6) through (8), § 240.17g-7(a) and (b), and Form ABS-15G, which are effective June 15, 2015. The addition of §§ 240.15Ga-2, 240.17g-8, 240.17g-9, 240.17g-10, and Form ABS Due Diligence-15E are effective June 15, 2015. 17 CFR Parts 232, 240, 249, and 249b Summary In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) and to enhance oversight, the Securities and Exchange Commission (“Commission”) is: adopting amendments to existing rules and new rules that apply to credit rating agencies registered with the Commission as nationally recognized statistical rating organizations (“NRSROs”); adopting a new rule and form that apply to providers of third-party due diligence services for asset-backed securities; and adopting amendments to existing rules and a new rule that implement a requirement added by the Dodd-Frank Act that issuers and underwriters of asset-backed securities make publicly available the findings and conclusions of any third-party due diligence report obtained by the issuer or underwriter. The Commission also is adopting certain technical amendments to existing rules.
2014-07-08; vol. 79 # 130 - Tuesday, July 8, 2014 79 FR 38451 - Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934
GPO FDSys XML | Text Additional Documents SECURITIES AND EXCHANGE COMMISSION Final rule; correction. Effective July 7, 2014. 17 CFR Parts 240 and 249 Summary The Securities and Exchange Commission published a document in the Federal Register of January 8, 2014 that contained an incorrect instruction. This correction is being published to correct instruction 5.b in that document.
2014-05-02; vol. 79 # 85 - Friday, May 2, 2014 79 FR 25194 - Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Capital Rule for Certain Security-Based Swap Dealers
GPO FDSys XML | Text Additional Documents SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before July 1, 2014. 17 CFR Parts 240 and 249 Summary In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), the Securities and Exchange Commission (“Commission”), pursuant to the Securities Exchange Act of 1934 (“Exchange Act”), is proposing recordkeeping, reporting, and notification requirements applicable to security-based swap dealers (“SBSDs”) and major security-based swap participants (“MSBSPs”), securities count requirements applicable to certain SBSDs, and additional recordkeeping requirements applicable to broker-dealers to account for their security-based swap and swap activities. The Commission also is proposing an additional capital charge provision that would be added to the proposed capital rule for certain SBSDs. Finally, the Commission is proposing technical amendments to the broker-dealer recordkeeping, reporting, and notification requirements.
2014-04-02; vol. 79 # 63 - Wednesday, April 2, 2014 79 FR 18483 - Extension of Comment Period for Asset-Backed Securities Release
GPO FDSys XML | Text Additional Documents SECURITIES AND EXCHANGE COMMISSION Extension of comment period. Comments should be received on or before April 28, 2014. 17 CFR Parts 200, 229, 230, 232, 239, 240, 243, and 249 Summary On February 25, 2014, the Securities and Exchange Commission re-opened the comment period on two releases related to asset-backed securities. The Commission re-opened the comment period to permit interested persons to comment on an approach for the dissemination of potentially sensitive asset-level data. The comment period is scheduled to end on March 28, 2014. In light of public interest in providing comment on the approach, the Commission is extending the comment period until April 28, 2014 to permit interested persons additional time to analyze and comment on the approach.
