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TREAS/OCC RIN: 1557-AD39 Publication ID: Spring 2014 
Title: Incentive-Based Compensation Arrangements 
Abstract: Section 956 of the Dodd-Frank Act requires the OCC, FRB, FDIC, NCUA, SEC, and FHFA to jointly prescribe regulations or guidance prohibiting any type of incentive-based payment arrangement, or any feature of any such arrangement, that the regulators determine encourages inappropriate risks by covered financial institutions by providing an executive officer, employee, director, or principal shareholder with excessive compensation, fees or benefits, or that could lead to material financial loss to the covered financial institution. The Act also requires such agencies to jointly prescribe regulations or guidance requiring each covered financial institution to disclose to its regulator the structure of all incentive-based compensation arrangements offered by such institution sufficient to determine whether the compensation structure provides any officer, employee, director, or principal shareholder with excessive compensation, or could lead to material financial loss to the institution. The agencies issued a proposed rule on April 14, 2011. 
Agency: Department of the Treasury(TREAS)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: No  Unfunded Mandates: No 
CFR Citation: 12 CFR 42; 12 CFR 563h (To search for a specific CFR, visit the Code of Federal Regulations.
Legal Authority: PL 111-203, sec 956; 12 USC 5641; 12 USC 1462a to 1464; 12 USC 1467a; 12 USC 5641 
Legal Deadline:
Action Source Description Date
Final  Statutory  final rule  04/21/2012 

Overall Description of Deadline: Regulations or guidelines required nine months after the date of enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) (Pub. L. 111-203).

Timetable:
Action Date FR Cite
NPRM  04/14/2011  76 FR 21170 
NPRM Comment Period End  05/31/2011   
Final Rule  12/00/2014   
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Related RINs: Related to 1550-AC49, Related to 1557-AD54 
Agency Contact:
Charlotte Bahin
Senior Counsel
Department of the Treasury
Comptroller of the Currency
407 7th Street SW.,
Washington, DC 20219
Phone:202 649-6281

 
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