Regulations.gov

  • DOL - Fiduciary Rule - [BonkNote] 
  • 2008 - SEC - Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action to Respond to  Market Developments [Release No. 34-58592; File No. s7-26-08] - [link]
  • 2008 - SEC - RFC -  File Number S7-14-08 Indexed Annuities and Certain Other Insurance Contracts Proposed Rule, Files No. 33-8976 and 33-8933
    • Final Rule - 155p
  • 2009 - SEC - RFC - File No. S7-11-09, The Economic Imperative for the Application of the Fiduciary Standard of Conduct to all Providers of Investment Advice
  • 2010 0820 - SEC - (Release No. 34-62718A; File No. SR-FINRA-2010-039), Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change to Adopt FINRA Rules 2090 (Know Your Customer) and 2111
    (Suitability) in the Consolidated FINRA Rulebook; Correction - 50p
  • 2020 1008 - FIO ICS Study
    • 2020 1008 - FIO - Notice - Federal Insurance Office Study on the Insurance Capital Standard Posted by the Department of the Treasury - [link-Federal Register]
    • 2020 1008 - FIO - Federal Insurance Office Study on the Insurance Capital Standard Posted by the Department of the Treasury on Oct 8, 2020 - [link-Regulation.gov]
      • 14 Comments
    • 2021 0210 - FIO/FACI - FACI International Subcommittee Perspectives on the Request for Information (RFI) on a FIO Study of the ICS - 22p
  • 2016 - FRB - RFC - Capital Requirements for Supervised Institutions Significantly Engaged in Insurance Activities [R-1539], 28 Comments - [link-Federal Reserve]
  • 2019 - FRB - RFC - Regulatory Capital Rules: Risk-Based Capital Requirements for Depository Institution Holding Companies Significantly Engaged in Insurance Activities [R-1673], 25 Comments - [link-Federal Reserve]

  • 2019 0906 - Federal Reserve Board invites public comment on proposal to establish capital requirements for certain insurance companies supervised by the Board
    • federalreserve.gov/newsevents/pressreleases/bcreg20190906a.htm 
    • Building Block Approach (BBA) 
    • Comparing Capital Requirements in Different Regulatory Frameworks - 40p   
    • Comments - [link-Federal Reserve]   
    • 2019 1024 - Federal Register - Vol. 84, No. 206 / Thursday, October 24, 2019 / Proposed Rules - 62p
      • Insurers match life insurance and annuity long-duration products with a long-term investment strategy. (p6/57245)
      • In 2008, nearly half the largest life insurance groups experienced losses that were above their authorized control level regulatory capital requirement. (p57/57296)
  • 2010 - SEC - RFC - Security-Based Swap Dealers and Major Security-Based Swap Participants:
    Title VII Provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act

  • 2010 - SEC - RFC - Comments on Concept Release: Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act, [Release No. 34-62717; File No. S7-16-10]


  • 2020 - Regulations.gov / IRS -  Computation and Reporting of Reserves for Life Insurance Companies (REG-132529-17) - [link]
    • 3 Comments
  • 2020 1008 - FIO ICS Study
    • 2020 1008 - FIO - Notice - Federal Insurance Office Study on the Insurance Capital Standard Posted by the Department of the Treasury - [link-Federal Register]
    • 2020 1008 - FIO - Federal Insurance Office Study on the Insurance Capital Standard Posted by the Department of the Treasury on Oct 8, 2020 - [link- Regulations.gov]
      • 14 Comments
    • 2021 0210 - FIO/FACI - FACI International Subcommittee Perspectives on the Request for Information (RFI) on a FIO Study of the ICS - 22p
  • 2022 1014 - Federal Reserve Board invites public comment on an advance notice of proposed rulemaking to enhance regulators’ ability to resolve large banks in an orderly way should they fail  [link]