Incentive-Based Compensation Arrangements
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Incentive-Based Compensation Arrangements

Filetype[PDF-1.03 MB]



Details:

  • Publisher's site:
  • Description:
    This Federal Register contains 52 comments, 14 Staff Disclosures, and 1 Standard Letter. The comments can be found in the Supporting Files section.
  • Content Notes:
    Table 1: (Pg 37744-37745)

    Table 2: (Pg 37745)

    Table 3: (Pg 37746)

    Table 4: Vesting Schedule (Pg 37746)

    Table 5: Alternative Scenario 1: Deferred Options Consistent with the Proposed Rule (Pg 37746-37747)

    Table 6: Alternative Scenario 2: Deferred Options Inconsistent with the Proposed Rule (Pg 37747-37748)

    Table 7: Summary of Collection of Information Burdens Per Record Type (Pg 37755)

    Table 8: Summary of Collection of Information Burdens Per Respondent Type (Pg 37755)

    Table 9: Summary of Collection of Information Burdens Per Respondent Type Including Estimate of Annual Compliance with Rule 17a-4(Pg 37755)

    Table 10: Table 1-Number of Broker-Dealers and Investment Advisers (Pg 37764)

    Table 11: Table 2-Size Distributions of BDs (Pg 37764)

    Table 12: Table 3-Distributions of BDs by Level Size of the Parent (Pg 37765)

    Table 13: Table 4-Distribution of 39 IAs Affiliated with Level 1 and Level 2 Banks and Thrifts, by Level Size of the Parent (Pg 37765)

    Table 14: Table 5A-Compensation Structure of BD Parent Institutions by Level Size (Pg 37767)

    Table 15: Table 5B-Compensation Structure of Level 1 and Level 2 IA Parent Institutions (Pg 37767)

    Table 16: Table 6A-Type and Frequency of Use of Incentive-Based Compensation Awards-Level 1, Level 2, and Level 3 BD Parent Institutions (Pg 37767-37768)

    Table 17: Table 6B-Type and Frequency of use of Incentive-Based Compensation Awards-Level 1 and Level 2 IA Parent Institutions (Pg 37768-37769)

    Table 18: Table 7A-Current Deferral, Clawback, Forfeiture and Certain Prohibitions for NEOs at Level 1, Level 2, and Level 3 BDs Parent Institutions (Pg 37769-37770)

    Table 19: Table 7B-Current Deferral, Clawback, Forfeiture and Certain Prohibitions for NEOs at Level 1 and Level 2 IA Parent Institutions (Pg 37771)

    Table 20: Table 8A-Deferral, Clawback, Forfeiture and Certain Prohibitions for NEOs at Level 1 and Level 2 BDs Parent Institutions in Year 2007 (Pg 37771-37772)

    Table 21: Table 8B-Deferral, Clawback, Forfeiture and Certain Prohibitions for NEOs at Level 1 and Level 2 IA Parent Institutions in Year 2007 (Pg 37772)

    Table 22: Table 9A-Percentage of Level 1, Level 2, and Level 3 BD Parent Institutions by Trigger for Forfeiture and Clawback (Pg 37772-37773)

    Table 23: Table 9B-Triggers for Forfeiture and Clawback of Level 1 and Level 2 IA Parent Institutions (Pg 37773)

    Table 24: Table 10A-Incentive-Based Compensation of Non-Employee Directors of BD Parents (Pg 37773)

    Table 25: Table 10B-Incentive-Based Compensation of Non-Employee Directors of IA Parents (Pg 37773)

    Table 26: Table 11-Existing Compensation Arrangements for NEO and Non-NEO Executives (Pg 37774)

    Table 27: Table 12-Deferral Policy for Material Risk-Takers at Three Level 2 Covered Institutions (Pg 37775)

    Table 28: Table 13-Existing Compensation Arrangements for Significant Risk-Takers of Level 3 Covered Intuitions (Pg 37775-37776)

    Table 29: Table 14-The Use and Costs of Compensation Consultants by Certain Level 1, Level 2, and Level 3 Covered Institutions that are Parents of BDs and IAs, 2007-2014 (Pg 37782)

    Table 30: Table 15-Average Total Annual Compensation of a Non-Employee Director for Level 1 and Level 2 Covered Institutions (Pg 37796)

  • Format:
  • Release Date:
    06/10/2016
  • Agencies Involved:
    Federal Deposit Insurance Corporation (FDIC);Office of the Comptroller of the Currency (OCC);Board of Governors of the Federal Reserve System;National Credit Union Administration (NCUA);U.S. Securities and Exchange Commission (SEC);Federal Housing Finance Agency (FHFA);
  • Law Involved:
    Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act)
  • Related Regulation:
    12 CFR Part 42;12 CFR Part 236;12 CFR Part 741;12 CFR Part 751;12 CFR Part 1232;17 CFR Part 240;17 CFR Part 275;17 CFR Part 303;
  • Comment Period End Date:
    07/22/2016
  • Source:
    FDIC Website/GovInfo
  • Federal Register Citation Number:
    81 FR 37670
  • CFR Number:
    12 CFR Part 372
  • RIN Indentifier:
    1557–AD39;7100 AE–50;3064–AD86;3133–AE48;2590–AA42;3235–AL06;
  • Other Agency Docket IDs:
    Docket No. OCC–2011–0001;Docket No. R–1536;Release No. 34–77776; IA–4383; File No.;S7–07–16;
  • Main Document Checksum:
  • File Type:

Supporting Files

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