Regulations.gov

federalregister.gov/documents/2016/04/25/2016-09456/proposed-agency-information-collection-activities-comment-request

1979 – SEC – “General Statement of Policy Regarding Exemptive Provisions Relating to Annuity and Insurance Contracts”
- archives.federalregister.gov/issue_slice/1979/4/11/21626-21630.pdf#page=4
2011 0406 – Re: Financial Stability Oversight Council Notice of Proposed Rulemaking Regarding Authority to Require Supervision and Regulation of Certain Nonbank Financial Companies (12 CFR Part 1310; RIN 4030-AAOO) – 11p
- Dennis Glass,
2023 – federalregister.gov/documents/2023/04/28/2023-08964/authority-to-require-supervision-and-regulation-of-certain-nonbank-financial-companies

DOL – Fiduciary Rule — [BonkNote]
- DOL – Fiduciary Rule – Outline — [BonkNote]
- Retirement Security Rule: Definition of an Investment Advice Fiduciary (RIN 1210-AC02);
  Proposed Amendment to Prohibited Transaction Exemption PTE 84-24 (Application No. D-12060);
  Proposed Amendment to Prohibited Transaction Exemption PTE 2020-02 (Application No. D-12057)
- 1210-AB32 – Definition of the Term “Fiduciary” Proposed Rule – Historical Information – dol.gov/agencies/ebsa/laws-and-regulations/rules-and-regulations/public-comments/1210-AB32
- dol.gov/agencies/ebsa/laws-and-regulations/rules-and-regulations/public-comments/fiduciary-rule-examination
- 1210-AC02 – Definition of Fiduciary

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

actuary.org/sites/default/files/pdf/finreport/Academy_FIO_response_111219.pdf
2011 / 2012 / 2013 – SEC – RFC – Comments on Proposed Rule: Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds [Release No. 34-65545; File No. S7-41-11]
- sec.gov/comments/s7-41-11/s74111.shtml

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
- sec.gov/comments/df-title-vii/swap/swap.shtml
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]
- .sec.gov/comments/s7-16-10/s71610.shtml

FSOC – Regulations – Comments

2011 – CFTC / SEC – RFC – Stable Value Contract Study, S7-32-11C, Comments for Proposed Rule 76 FR 53162
- comments.cftc.gov/PublicComments/CommentList.aspx?id=1082
- ACLI – 7p
- BlackRock – 11p
- MetLife – 24p
2011 – SEC – RFC – Proposed Rule 151A Indexed Annuities and Certain Other Insurance Contracts, File Number S7-14-08, Release Nos. 33-8933,34-58022
2011 – SEC – RFC – Comments on Proposed Rule: Further Definition of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant,” “Major Security-Based Swap Participant” and “Eligible Contract Participant”
- sec.gov/comments/s7-39-10/s73910.shtml
- 2011 0211 – ACLI – 77p
2011 07 – SEC – RFC – Re: File No. S7-16-11, Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping –
2011 1016 – Regulations.gov – FIO / DOT – Public Input on the Report to Congress on How To Modernize and Improve the System of Insurance Regulation in the United States
2012 – RULE: Definitions; Mixed Swaps; Security-Based Swap Agreement Recordkeeping , Posted by the Commodity Futures Trading Commission on Aug 12, 2012 – [link]
- 2012 0813 – Federal Register – p48219
  - Payment Based on the Price, Rate, or Level of a Financial Instrument
    - Two commenters agreed that such a requirement should be included in the final rules.¹¹⁰
      - One commenter argued that any insurance instrument that provides for payment based on the price, rate, or level of a financial instrument, asset, or interest in any commodity is in substance a swap or security-based, regardless of its label, and should be regulated as such.¹¹¹
      - One of these commenters further recommended that the Commissions exclude annuity and variable universal life insurance from this requirement because these products were investments with some minimal level of life insurance cover or investment guarantee rider on top.¹¹²
      - ¹¹⁰ See Barnard Letter and Better Markets Letter.
        ¹¹¹ See Better Markets Letter.
        ¹¹² See Barnard Letter.
2012 – FRB – RFC – Policy Statement on the Scenario Design Framework for Stress Testing (Regulation YY; FRS Docket Number OP-1452 & RIN 7100-AD-8
- federalreserve.gov/apps/foia/ViewAllComments.aspx?doc_id=OP-1452&doc_ver=1
2013 – Re: Proposed Agency Information Collection Activities; Consolidated Reports of Condition and Income (FFIEC 03 1 and 041).
- ACLI – 3p
2015 – FDIC – RFC – Regulatory Capital Rules, Liquidity Coverage Ratio: Interim Final Revisions to the Definition of Qualifying Master Netting Agreement and Related Definitions; Docket No, R-1507 and RIN 7100 AE 28.
- archive.fdic.gov/view/fdic/6252
- federalreserve.gov/apps/foia/ViewComments.aspx?doc_id=R-1507&doc_ver=1
2016 – Regulations.gov / FRB – Re: Enhanced Prudential Standards for Systemically Important Insurance Companies, RIN 7100 AE 54, Docket No. R-1540 – [link]
2016 – Regulations.gov / Capital Requirements for Supervised Institutions Significantly Engaged in Insurance Activities, A Proposed Rule by the Federal Reserve System on 06/14/2016
2017 0613 – Regulations.gov / DOT – Review of Regulations, Posted by the Department of the Treasury on Jun 13, 2017 – [link]
- 87 Comments
- ACLI – regulations.gov/comment/TREAS-DO-2017-0012-0037
  - (p1) – Our recommendations offer some reasons for why the regulations identified place undue burdens on the life insurance industry and how our suggestions help reduce the burdens imposed
2019 – Regulations.gov / Federal Reserve – Regulatory Capital Rules: Risk-Based Capital Requirements for Depository Institution Holding Companies Significantly Engaged in Insurance Activities Posted by the Federal Reserve System on Oct 23, 2019
- regulations.gov/document/FRS-2019-0352-0001

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]

2022 – federalregister.gov/documents/2022/10/04/2022-21414/framework-for-the-supervision-of-insurance-organizations

2012 – Regulatory Capital Rules: Regulatory Capital, Implementation of Basel III, Minimum Regulatory Capital Ratios, Capital Adequacy, Transition Provisions, and Prompt Corrective Action (FRS Docket No. 1438 & RIN 7100-AD-86); Regulatory Capital Rules: Standardized Approach for Risk-weighted Assets; Market Discipline and Disclosure Requirements (FRS Docket No. 1438 & RIN 7100-AD-86); Advanced Approaches Riskbased Capital Rule; Market Risk Capital Rule (FRS Docket No. 1438 & RIN 7100-AD-86)
- regulations.gov/document/FRS-2012-0246-0001
- regulations.gov/search/comment?filter=%221557-AD46%22
- 2012 1022 – Chief Financial Officers of a coalition of domestic insurance companies (the Coalition), regulations.gov – 7p
- NAIC