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Friday, April 14, 2017

The Week Ahead: April 17 - 21

Monday
  • Comments Due EBSA: Definition of the Term ``Fiduciary''; Conflict of Interest Rule--Retirement Investment Advice; Best Interest Contract Exemption (Prohibited Transaction Exemption 2016-01); Class Exemption for Principal Transactions in Certain Assets Between Investment Advice Fiduciaries and Employee Benefit Plans and IRAs (Prohibited Transaction Exemption 2016-02); Prohibited Transaction Exemptions 75-1, 77-4, 80-83, 83-1, 84-24 and 86-128
    Read more.
  • Comments Due OCC: Financial Management Policies--Interest Rate Risk
    Read more.
Thursday
  • Effective Date SEC: Exemptions To Facilitate Intrastate and Regional Securities Offerings; Final Rule
    Read more.
Friday
  • Comments Due FDIC: Company-Run Annual Stress Test Reporting Template and Documentation for Covered Institutions with Total Consolidated Assets of $50 Billion or More under the Dodd-Frank Wall Street Reform and Consumer Protection Act (PRA)
    Read more.

All times in Eastern Standard Time. See future events on the  Dodd-Frank Calendar.

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