Six regulatory agencies requested comment on a proposed rule regulating incentive-based compensation arrangements at covered institutions as required by the Dodd-Frank Act.
Multiple agencies requested comment on a joint proposal that would limit incentive-based compensation arrangements at covered institutions. The request for comment was published in the Federal Register.
Federal banking agencies provided information on how their respective regulated financial institutions can submit self-assessments of diversity policies and practices that were in effect at the end of 2015.
The SEC and FINRA will hold a National Compliance Outreach Program for Broker-Dealers. The event will focus on cybersecurity, investing by seniors, anti-money laundering and recidivist brokers.