Incentive-Based Compensation Arrangements, 43530 [2016-15596]
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43530
Proposed Rules
Federal Register
Vol. 81, No. 128
Tuesday, July 5, 2016
This section of the FEDERAL REGISTER
contains notices to the public of the proposed
issuance of rules and regulations. The
purpose of these notices is to give interested
persons an opportunity to participate in the
rule making prior to the adoption of the final
rules.
Dated: June 22, 2016.
Melvin L. Watt,
Director, Federal Housing Finance Agency.
[FR Doc. 2016–15596 Filed 7–1–16; 8:45 am]
BILLING CODE 8070–01–P
SECURITIES AND EXCHANGE
COMMISSION
FEDERAL HOUSING FINANCE
AGENCY
17 CFR Part 275
12 CFR Part 1232
[Release No. IA–4439; File No. S7–13–16]
RIN 2590–AA42
RIN 3235–AL62
Incentive-Based Compensation
Arrangements
Adviser Business Continuity and
Transition Plans
AGENCY:
Agency.
Notice of Proposed Rulemaking
and Request for Comment; Correction.
ACTION:
This document corrects a
typographical error to the ‘‘Dated:’’ line
of the Federal Housing Finance
Agency’s (FHFA) signatory block of the
Notice of Proposed Rulemaking and
Request for Comment (Proposed Rule)
issued jointly by the Office of the
Comptroller of the Currency, Board of
Governors of the Federal Reserve
System, Federal Deposit Corporation,
National Credit Union Administration,
FHFA, and the U.S. Securities Exchange
Commission. The Proposed Rule was
published in the Federal Register on
Friday, June 10, 2016 (FR Doc. 2016–
11788; 81 FR 37669), and concerned
Incentive-based Compensation
Arrangements.
SUMMARY:
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FOR FURTHER INFORMATION CONTACT:
Mary Pat Fox, Manager, Executive
Compensation Branch, (202) 649–3215;
or Lindsay Simmons, Assistant General
Counsel, (202) 649–3066, Federal
Housing Finance Agency, 400 7th Street
SW., Washington, DC 20219. The
telephone number for the
Telecommunications Device for the
Hearing Impaired is (800) 877–8339.
Need for Correction
In the Federal Register of Friday, June
10, 2016, FR Doc. 2016–11788, on page
37838, in the third column, the ‘‘Dated:’’
line of the Federal Housing Finance
Agency signatory block is corrected to
read as ‘‘April 26, 2016.’’
VerDate Sep<11>2014
17:18 Jul 01, 2016
Jkt 238001
Securities and Exchange
Commission.
ACTION: Proposed rule.
AGENCY:
Federal Housing Finance
The Securities and Exchange
Commission (‘‘Commission’’ or ‘‘SEC’’)
is proposing a new rule and rule
amendments under the Investment
Advisers Act of 1940 (‘‘Advisers Act’’).
The proposed rule would require SECregistered investment advisers to adopt
and implement written business
continuity and transition plans
reasonably designed to address
operational and other risks related to a
significant disruption in the investment
adviser’s operations. The proposal
would also amend rule 204–2 under the
Advisers Act to require SEC-registered
investment advisers to make and keep
all business continuity and transition
plans that are currently in effect or at
any time within the past five years were
in effect.
DATES: Comments should be received on
or before September 6, 2016.
ADDRESSES: Comments may be
submitted by any of the following
methods:
SUMMARY:
Electronic Comments
• Use the Commission’s Internet
comment form (https://www.sec.gov/
rules/proposed.shtml); or
• Send an email to rule-comments@
sec.gov. Please include File Number S7–
13–16 on the subject line; or
• Use the Federal eRulemaking Portal
(https://www.regulations.gov). Follow the
instructions for submitting comments.
Paper Comments
• Send paper comments to Brent J.
Fields, Secretary, Securities and
PO 00000
Frm 00001
Fmt 4702
Sfmt 4702
Exchange Commission, 100 F Street NE.,
Washington, DC 20549–1090.
All submissions should refer to File
Number S7–13–16. This file number
should be included on the subject line
if email is used. To help us process and
review your comments more efficiently,
please use only one method. The
Commission will post all comments on
the Commission’s Internet Web site
(https://www.sec.gov/rules/
proposed.shtml). Comments are also
available for Web site viewing and
printing in the Commission’s Public
Reference Room, 100 F Street NE.,
Washington, DC 20549, on official
business days between the hours of 10
a.m. and 3 p.m. All comments received
will be posted without change; we do
not edit personal identifying
information from submissions. You
should submit only information that
you wish to make available publicly.
Studies, memoranda, or other
substantive items may be added by the
Commission or staff to the comment file
during this rulemaking. A notification of
the inclusion in the comment file of any
such materials will be made available
on the Commission’s Web site. To
ensure direct electronic receipt of such
notifications, sign up through the ‘‘Stay
Connected’’ option at www.sec.gov to
receive notifications by email.
FOR FURTHER INFORMATION CONTACT:
Andrea Ottomanelli Magovern, Senior
Counsel, Zeena Abdul-Rahman, Senior
Counsel, John Foley, Senior Counsel, or
Alpa Patel, Branch Chief, at (202) 5516787 or IArules@sec.gov, Investment
Adviser Rulemaking Office, Division of
Investment Management, Securities and
Exchange Commission, 100 F Street NE.,
Washington, DC 20549–8549.
SUPPLEMENTARY INFORMATION: The
Commission is proposing for public
comment new rule 206(4)–4 [17 CFR
275. 206(4)–4] and amendments to rule
204–2 [17 CFR 275.204–2] under the
Advisers Act [15 U.S.C. 80b].
Table of Contents
I. Adviser Business Continuity and
Transition Plans
A. Introduction
B. Background
1. Business Continuity Planning
2. Transition Planning
C. Discussion
1. Adopt and Implement Business
Continuity and Transition Plans
2. Annual Review
3. Recordkeeping
E:\FR\FM\05JYP1.SGM
05JYP1
]]>Agencies
[Federal Register Volume 81, Number 128 (Tuesday, July 5, 2016)]
[Proposed Rules]
[Page 43530]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-15596]
========================================================================
Proposed Rules
Federal Register
________________________________________________________________________
This section of the FEDERAL REGISTER contains notices to the public of
the proposed issuance of rules and regulations. The purpose of these
notices is to give interested persons an opportunity to participate in
the rule making prior to the adoption of the final rules.
========================================================================
Federal Register / Vol. 81, No. 128 / Tuesday, July 5, 2016 /
Proposed Rules
[[Page 43530]]
FEDERAL HOUSING FINANCE AGENCY
12 CFR Part 1232
RIN 2590-AA42
Incentive-Based Compensation Arrangements
AGENCY: Federal Housing Finance Agency.
ACTION: Notice of Proposed Rulemaking and Request for Comment;
Correction.
-----------------------------------------------------------------------
SUMMARY: This document corrects a typographical error to the ``Dated:''
line of the Federal Housing Finance Agency's (FHFA) signatory block of
the Notice of Proposed Rulemaking and Request for Comment (Proposed
Rule) issued jointly by the Office of the Comptroller of the Currency,
Board of Governors of the Federal Reserve System, Federal Deposit
Corporation, National Credit Union Administration, FHFA, and the U.S.
Securities Exchange Commission. The Proposed Rule was published in the
Federal Register on Friday, June 10, 2016 (FR Doc. 2016-11788; 81 FR
37669), and concerned Incentive-based Compensation Arrangements.
FOR FURTHER INFORMATION CONTACT: Mary Pat Fox, Manager, Executive
Compensation Branch, (202) 649-3215; or Lindsay Simmons, Assistant
General Counsel, (202) 649-3066, Federal Housing Finance Agency, 400
7th Street SW., Washington, DC 20219. The telephone number for the
Telecommunications Device for the Hearing Impaired is (800) 877-8339.
Need for Correction
In the Federal Register of Friday, June 10, 2016, FR Doc. 2016-
11788, on page 37838, in the third column, the ``Dated:'' line of the
Federal Housing Finance Agency signatory block is corrected to read as
``April 26, 2016.''
Dated: June 22, 2016.
Melvin L. Watt,
Director, Federal Housing Finance Agency.
[FR Doc. 2016-15596 Filed 7-1-16; 8:45 am]
BILLING CODE 8070-01-P
