17 CFR Part 420 - LARGE POSITION REPORTING | LII / Legal Information Institute

prev | next

Authority:

15 U.S.C. 78 o-5(f).

Source:

61 FR 48348, Sept. 12 1996, unless otherwise noted.

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.

2014-12-10; vol. 79 # 237 - Wednesday, December 10, 2014

79 FR 73408 - Government Securities Act Regulations: Large Position Reporting Rules

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2014-28734
RIN
Docket No.	Treas-DO-2014-0002

DEPARTMENT OF THE TREASURY, Office of the Assistant Secretary for Financial Markets

Final rule.

The amendments will become effective March 10, 2015.

17 CFR Part 420

Summary

The Department of the Treasury (Treasury) is amending its rules for reporting large positions in certain Treasury securities. The large position reporting rules are issued under the Government Securities Act (GSA) for the purposes of monitoring the impact in the Treasury securities market of concentrations of positions in Treasury securities and otherwise assisting the Securities and Exchange Commission (SEC) in enforcing the GSA. In addition, the large position reports provide Treasury with information to better understand supply and demand dynamics in certain Treasury securities. These amendments are designed to improve the information available to Treasury and simplify the reporting process for many entities subject to the large position reporting rules.

2014-07-08; vol. 79 # 130 - Tuesday, July 8, 2014

79 FR 38451 - Government Securities Act Regulations; Replacement of References to Credit Ratings and Technical Amendments

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2014-15731
RIN	1535-AA02
Docket No.	BPD GSRS 11-01

DEPARTMENT OF THE TREASURY, Office of the Assistant Secretary for Financial Markets

Final rule.

The amendments will become effective August 7, 2014.

17 CFR Parts 400, 401, 402, 403, 405, 420, 449, and 450

Summary

The Department of the Treasury (Treasury) is issuing in final form an amendment to the regulations issued under the Government Securities Act of 1986, as amended (GSA), to replace references to credit ratings in the regulations with alternative requirements. Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) requires Federal agencies to remove from their applicable regulations any reference to or requirement of reliance on credit ratings and to substitute a standard of creditworthiness as the agency determines appropriate for such regulations. This final rule amendment provides a substitute standard of creditworthiness for use in the liquid capital rule required by GSA regulations. It also contains several non-substantive, technical amendments to Treasury's GSA regulations to update certain information or to delete certain requirements that are no longer applicable.

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 420 after this date.

2014-12-10; vol. 79 # 237 - Wednesday, December 10, 2014

79 FR 73408 - Government Securities Act Regulations: Large Position Reporting Rules

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2014-28734
RIN
Docket No.	Treas-DO-2014-0002

DEPARTMENT OF THE TREASURY, Office of the Assistant Secretary for Financial Markets

Final rule.

The amendments will become effective March 10, 2015.

17 CFR Part 420

Summary

The Department of the Treasury (Treasury) is amending its rules for reporting large positions in certain Treasury securities. The large position reporting rules are issued under the Government Securities Act (GSA) for the purposes of monitoring the impact in the Treasury securities market of concentrations of positions in Treasury securities and otherwise assisting the Securities and Exchange Commission (SEC) in enforcing the GSA. In addition, the large position reports provide Treasury with information to better understand supply and demand dynamics in certain Treasury securities. These amendments are designed to improve the information available to Treasury and simplify the reporting process for many entities subject to the large position reporting rules.

2014-07-08; vol. 79 # 130 - Tuesday, July 8, 2014

79 FR 38451 - Government Securities Act Regulations; Replacement of References to Credit Ratings and Technical Amendments

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2014-15731
RIN	1535-AA02
Docket No.	BPD GSRS 11-01

DEPARTMENT OF THE TREASURY, Office of the Assistant Secretary for Financial Markets

Final rule.

The amendments will become effective August 7, 2014.

17 CFR Parts 400, 401, 402, 403, 405, 420, 449, and 450

Summary

The Department of the Treasury (Treasury) is issuing in final form an amendment to the regulations issued under the Government Securities Act of 1986, as amended (GSA), to replace references to credit ratings in the regulations with alternative requirements. Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) requires Federal agencies to remove from their applicable regulations any reference to or requirement of reliance on credit ratings and to substitute a standard of creditworthiness as the agency determines appropriate for such regulations. This final rule amendment provides a substitute standard of creditworthiness for use in the liquid capital rule required by GSA regulations. It also contains several non-substantive, technical amendments to Treasury's GSA regulations to update certain information or to delete certain requirements that are no longer applicable.

2014-06-10; vol. 79 # 111 - Tuesday, June 10, 2014

79 FR 33145 - Government Securities Act Regulations: Large Position Reporting Rules

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2014-13482
RIN
Docket No.	Treas-DO-2014-0002

DEPARTMENT OF THE TREASURY, Office of the Assistant Secretary for Financial Markets

Proposed rule.

Submit comments on or before August 9, 2014.

17 CFR Part 420

Summary

The Department of the Treasury (Treasury) is issuing this notice of proposed rulemaking to solicit public comment on proposed amendments to Treasury's rules for reporting large positions in certain Treasury securities. The large position reporting rules are issued under the Government Securities Act (GSA) for the purposes of monitoring the impact in the Treasury securities market of concentrations of positions in Treasury securities and otherwise assisting the Securities and Exchange Commission (SEC) in enforcing the GSA. In addition, the large position reports provide Treasury with information to better understand supply and demand dynamics in certain Treasury securities. The proposed amendments are designed to improve the information available to Treasury and simplify the reporting process for many entities subject to the large position reporting rules.

Search form

17 CFR Part 420 - LARGE POSITION REPORTING

Status message

Stay Involved