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SEC RIN: 3235-AL06 Publication ID: 2012 
Title: Rules Regarding Incentive Compensation 
Abstract: The Commission, together with the Board of Governors of the Federal Reserve, the Federal Deposit Insurance Corporation, the Office of the Comptroller of the Currency, the Office of Thrift Supervision, the Federal Housing Finance Agency, and the National Credit Union Administration (the Agencies), proposed regulations or guidelines with respect to incentive-based compensation practices at certain financial institutions that have $1 billion or more in total assets as required by the Dodd-Frank Act. Section 956 of the Dodd-Frank Act requires that the Agencies prohibit any incentive-based payment arrangement, or any feature of any such arrangement, that the Agencies determine encourages inappropriate risks by covered financial institutions by providing excessive compensation or that could lead to a material financial loss. Under the Act, a covered financial institution also must disclose to its appropriate Federal regulator the structure of its incentive-based compensation arrangements sufficient to determine whether the structure provides "excessive compensation, fees, or benefits" or "could lead to material financial loss" to the institution. 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations.
Legal Authority: Not Yet Determined 
Legal Deadline:
Action Source Description Date
Final  Statutory  Dodd-Frank Act requires adoption a year after enactment.  07/21/2011 
Timetable:
Action Date FR Cite
NPRM  04/14/2011  76 FR 21170 
NPRM Comment Period End  05/31/2011   
Final Action  12/00/2012   
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Information URL: www./sec.gov/rules/proposed/2011/34-64140.pdf  
RIN Data Printed in the FR: No 
Related Agencies: Joint: FDIC, FRS, FHFA, NCUA, TREAS/OCC, null/null; 
Agency Contact:
Raymond Lombardo
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5755
Email: lombardor@sec.gov

 
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