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2018-07-17
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Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Part III
Proposed Rules
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United States
Department of Treasury
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United States Government Agency or Subagency
United States
Office of the Comptroller of the Currency
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United States Government Agency or Subagency
United States
Federal Reserve System
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United States Government Agency or Subagency
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Federal Deposit Insurance Corporation
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Securities and Exchange Commission
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Commodity Futures Trading Commission
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United States Government Agency or Subagency
The OCC, Board, FDIC, SEC, and CFTC (individually, an ``Agency,'' and collectively, the ``Agencies'') are requesting comment on a proposal that would amend the regulations implementing section 13 of the Bank Holding Company Act (BHC Act). Section 13 contains certain restrictions on the ability of a banking entity and nonbank financial company supervised by the Board to engage in proprietary trading and have certain interests in, or relationships with, a hedge fund or private equity fund. The proposed amendments are intended to provide banking entities with clarity about what activities are prohibited and to improve supervision and implementation of section 13.
83 FR 33432
https://www.govinfo.gov/app/details/FR-2018-07-17/2018-13502
2018-13502
fr17jy18-30
RIN 1557-AE27
RIN 3064-AE67
RIN 3235-AM10
RIN 3038-AE72
Docket No. OCC-2018-0010
Docket No. R-1608
Release no. BHCA-3
File no. S7-14-18
https://www.govinfo.gov/app/details/FR-2018-07-17/2018-13502
https://www.govinfo.gov/content/pkg/FR-2018-07-17/html/2018-13502.htm
https://www.govinfo.gov/content/pkg/FR-2018-07-17/pdf/2018-13502.pdf
Administrative Practice and Procedure
Conflict of Interests
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Capital
Conflicts of Interest
Banks
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Derivatives
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Investments
National Banks
Penalties
Reporting and Recordkeeping Requirements
Risk
Risk Retention
Securities
Trusts and Trustees
Brokers
Dealers
Investment Advisers
Recordkeeping
Reporting
Federal Branches and Agencies
Federal Savings Associations
Hedge Funds
Proprietary Trading
Swap Dealers
Volcker Rule
174 p.
33432
33605
83 FR 33432
Code of Federal Regulations
Title 12 Part 248
12 CFR Part 248
Code of Federal Regulations
Title 12 Part 351
12 CFR Part 351
Code of Federal Regulations
Title 12 Part 44
12 CFR Part 44
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Title 17 Part 255
17 CFR Part 255
Code of Federal Regulations
Title 17 Part 75
17 CFR Part 75
Regulation Identification Number 1557-AE27
RIN 1557-AE27
Regulation Identification Number 3064-AE67
RIN 3064-AE67
Regulation Identification Number 3235-AM10
RIN 3235-AM10
Regulation Identification Number 3038-AE72
RIN 3038-AE72
Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds; Federal Register Vol. 83, Issue
PRORULE
2018-13502
III
DEPARTMENT OF TREASURY
Office of the Comptroller of the Currency
FEDERAL RESERVE SYSTEM
FEDERAL DEPOSIT INSURANCE CORPORATION
SECURITIES AND EXCHANGE COMMISSION
COMMODITY FUTURES TRADING COMMISSION
2018-09-17
Docket No. OCC-2018-0010
Docket No. R-1608
Release no. BHCA-3
File no. S7-14-18
2018-13502
Notice of proposed rulemaking.
The OCC, Board, FDIC, SEC, and CFTC (individually, an ``Agency,'' and collectively, the ``Agencies'') are requesting comment on a proposal that would amend the regulations implementing section 13 of the Bank Holding Company Act (BHC Act). Section 13 contains certain restrictions on the ability of a banking entity and nonbank financial company supervised by the Board to engage in proprietary trading and have certain interests in, or relationships with, a hedge fund or private equity fund. The proposed amendments are intended to provide banking entities with clarity about what activities are prohibited and to improve supervision and implementation of section 13.
Comments must be received on or before September 17, 2018.
OCC: Suzette Greco, Assistant Director; Tabitha Edgens, Senior Attorney; Mark O'Horo, Attorney, Securities and Corporate Practices Division (202) 649-5510; for persons who are deaf or hearing impaired, TTY, (202) 649-5597, Office of the Comptroller of the Currency, 400 7th Street SW, Washington, DC 20219.
Administrative Practice and Procedure
Conflict of Interests
Foreign Banking
Holding Companies
Insurance Companies
State Nonmember Banks
State Savings Associations
Capital
Conflicts of Interest
Banks
Banking
Compensation
Credit
Derivatives
Government Securities
Insurance
Investments
National Banks
Penalties
Reporting and Recordkeeping Requirements
Risk
Risk Retention
Securities
Trusts and Trustees
Brokers
Dealers
Investment Advisers
Recordkeeping
Reporting
Federal Branches and Agencies
Federal Savings Associations
Hedge Funds
Proprietary Trading
Swap Dealers
Volcker Rule
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds
,
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VolckerReg.Comments@occ.treas.gov
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https://www.fdic.gov/news/news/speeches/spnov1417.html
https://www.fdic.gov/regulations/reform/volcker/faq.html
https://www.fdic.gov/regulations/reform/volcker/faq/foreign.html
https://www.fdic.gov/regulations/reform/volcker/index.html
https://www.federalreserve.gov/apps/reportforms/review.aspx
https://www.federalreserve.gov/bankinforeg/volcker-rule/faq.htm
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https://www.federalreserve.gov/bankinforeg/volcker-rule/faq.htm#18
https://www.federalreserve.gov/bankinforeg/volcker-rule/faq.htm#5
https://www.federalreserve.gov/foia/corporate-bond-liquidity-reports.htm
https://www.federalreserve.gov/foia/files/bond-market-liquidity-report-2017Q2.pdf
https://www.federalreserve.gov/newsevents/pressreleases/files/bcreg20131210a4.pdf
https://www.federalreserve.gov/newsevents/pressreleases/files/bcreg20170721a1.pdf
https://www.federalreserve.gov/newsevents/speech/quarles20180305a.htm
https://www.federalreserve.gov/newsevents/speech/tarullo20170404a.htm
https://www.finra.org/arbitration-and-mediation/faq-clearing-firms-faq
https://www.newyorkfed.org/medialibrary/media/research/staff_reports/sr650.pdf
https://www.occ.gov/news-issuances/news-releases/2017/nr-occ-2017-89a.pdf
https://www.occ.gov/publications/publications-by-type/other-publications-reports/pub-other-activities-permissible-october-2017.pdf
https://www.occ.treas.gov/topics/capital-markets/financial-markets/trading-volcker-rule/volcker-rule-implementation-faqs.html
https://www.regulations.gov/docketBrowser?rpp=25&so=DESC&sb=commentDueDate&po=0&dct=PS&D=OCC-2017-0014
https://www.sba.gov/sites/default/files/files/Size_Standards_Table.pdf
https://www.sec.gov/divisions/marketreg/faq-volcker-rule-section13.htm
https://www.sec.gov/files/access-to-capital-and-market-liquidity-study-dera-2017.pdf
https://www.sec.gov/structureddata/dera_taxonomies
https://www.treasury.gov/press-center/press-releases/Documents/A%20Financial%20System.pdf
https://www.treasury.gov/press-center/press-releases/Documents/A-Financial-System-Capital-Markets-FINAL-FINAL.pdf
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https://www.govinfo.gov/app/details/FR-2018-07-17
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