1557-AD39 201910 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 1557 Comptroller of the Currency OCC 1500 Department of the Treasury TREAS Incentive-Based Compensation Arrangements

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 Dodd-Frank Act also requires such agencies to jointly prescribe regulations or guidelines requiring each covered financial institution to disclose to its regulator the structure of all incentive-based compensation arrangements offered with sufficient information to allow the regulator to determine whether the compensation structure provides any executive officer, employee, director, or principal shareholder with excessive compensation or could lead to material financial loss to the institution.  The agencies plan to issue a final rule pursuant to these requirements.

]]> Other Significant Previously Published in The Unified Agenda Proposed Rule Stage Undetermined No Independent agency 12 CFR 42 12 U.S.C. 93a 12 U.S.C. 1818 12 U.S.C. 1462a to 1464 12 U.S.C. 1467a 12 U.S.C. 1831p-1 12 U.S.C. 5641 Statutory Final 04/21/2012 Final rule Regulations or guidelines required 9 months after the date of enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) (Public Law 111-203). No NPRM 04/14/2011 76 FR 21170 NPRM Comment Period End 05/31/2011 Second NPRM 06/10/2016 81 FR 37669 Second NPRM Comment Period End 07/22/2016 NPRM 12/00/2019 No None No No www.regulations.gov/docketBrowser?rpp=25&so=DESC&sb=commentDueDate&po=0&D=OCC-2011-0001 www.regulations.gov/docketBrowser?rpp=25&so=DESC&sb=commentDueDate&po=0&D=OCC-2011-0001 No No 1550-AC49 Related to 1557-AD54 Related to Alison MacDonald Senior Counsel 1557 Comptroller of the Currency OCC 202 649-7314 alison.macdonald@occ.treas.gov Chief Counsel's Office, 400 7th Street SW, Washington DC 20219 Melissa Lisenbee Counsel 1557 Comptroller of the Currency OCC 202 649-7392 melissa.lisenbee@occ.treas.gov Chief Counsel's Office, 400 7th Street SW., Washington DC 20219