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SEC RIN: 3235-AL06 Publication ID: Fall 2013 
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 as required by the Dodd Frank Act that have $1 billion or more in total assets. Section 956 of the Dodd Frank Act requires that the Agencies prohibit incentive-based payment arrangements, or any feature of any such arrangement, at a covered financial institution that the Agencies determine encourages inappropriate risks by a financial institution 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: Long-Term Actions 
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 
Action Date FR Cite
NPRM  04/14/2011  76 FR 21170   
NPRM Comment Period End  05/31/2011    
Next Action Undetermined  To Be Determined 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Information URL: www./  
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