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Federal Register / Vol. 86, No. 56 / Thursday, March 25, 2021 / Proposed Rules was designed, among other things, to assist the Financial Stability Oversight Council in its assessment of systemic risk in the U.S. financial system.
Prior RFA Analysis: When the Commission adopted this rule on October 31, 2011, it published a Final Regulatory Flexibility Analysis in the adopting release, Release No. IA3308, available at: https
www.federalregister.gov/documents/
2011/11/16/2011-28549/reporting-byinvestment-advisers-to-private-fundsand-certain-commodity-pool-operatorsand-commodity. The Commission received no comments on its Initial Regulatory Flexibility Analysis published in the proposing release, Release No. IA3145 Jan. 26, 2011, available at: https www.sec.gov/rules/
proposed/2011/ia-3145fr.pdf.

Title: Rules Implementing Amendments to the Investment Advisers Act of 1940.
Citation: 17 CFR 275.07, 17 CFR
275.2031, 17 CFR 275.203A1, 17 CFR
275.203A2, 17 CFR 275.203A3, 17
CFR 275.203A5, 17 CFR 275.2041, 17
CFR 275.2042, 17 CFR 275.2044, 17
CFR 275.20645, 17 CFR 275.2221, 17 CFR 275.2222, 17 CFR 279.1, 17
CFR 279.3, and 17 CFR 279.4.
Authority: 15 U.S.C. 77sa, 77sssa, 78a37a, 78wa, 78bbe2, 80b 3c1, 80b3Aa2Bii, 80b3Ac, 80b4, 80b64, 80b6A, and 80b 11a.
Description: The Commission adopted new rules and rule amendments under the Advisers Act to implement provisions of the Dodd-Frank Act. These rules and rule amendments were designed to give effect to provisions of Title IV of the Dodd-Frank Act that, among other things, increase the statutory threshold for registration by investment advisers with the Commission, require advisers to hedge funds and other private funds to register with the Commission, and require reporting by certain investment advisers that are exempt from registration. In addition, the Commission adopted rule amendments, including amendments to the Commissions pay to play rule, that address a number of other changes made by the Dodd-Frank Act.
Prior RFA Analysis: When the Commission adopted these rules and rule amendments on June 22, 2011, it published a Final Regulatory Flexibility Analysis in the adopting release, Release No. IA3221, available at:
https www.federalregister.gov/
documents/2011/07/19/2011-16318/
rules-implementing-amendments-to-theinvestment-advisers-act-of-1940. The
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Commission received no comments on its Initial Regulatory Flexibility Analysis published in the proposing release, Release No. IA3110 Nov. 19, 2010, available at: https
www.federalregister.gov/documents/
2010/12/10/2010-29956/rulesimplementing-amendments-to-theinvestment-advisers-act-of-1940.

Title: Family Offices.
Citation: 17 CFR 275.202a11G1.
Authority: 15 U.S.C. 80b2a11G
and 80b6A.
Description: The Commission adopted a rule to define family offices that are excluded from the definition of an investment adviser under the Advisers Act and are thus not subject to regulation under the Advisers Act.
Prior RFA Analysis: When the Commission adopted this rule on June 22, 2011, it published a Final Regulatory Flexibility Analysis in the adopting release, Release No. IA3220, available at: https www.federalregister.gov/
documents/2011/06/29/2011-16117/
family-offices. The Commission received no comments on its Initial Regulatory Flexibility Analysis published in the proposing release, Release No. IA3098 Oct. 12, 2010, available at: https
www.federalregister.gov/documents/
2010/10/18/2010-26086/family-office.

Title: Shareholder Approval of Executive Compensation and Golden Parachute Compensation.
Citation: 17 CFR 240.14a21, 17 CFR
240.14a4, 17 CFR 240.14a6, 17 CFR
240.14a8, 17 CFR 240.14a101, 17 CFR
240.14c101, 17 CFR 229.402, 17 CFR
229.1011, 17 CFR 240.13e100, 17 CFR
240.14d100, 17 CFR 240.14d101, and 17 CFR 249.308.
Authority: 15 U.S.C. 77cb, 77f, 77g, 77j, 77sa, 78m, 78na, 78n1, 78wa, and 78mm, and Section 951 of the Dodd-Frank Act.
Description: The Commission adopted rule amendments to implement the provisions of the Dodd-Frank Act relating to shareholder approval of executive compensation and golden parachute compensation arrangements.
Section 951 of the Dodd-Frank Act amended the Securities Exchange Act of 1934 by adding Section 14A, which requires companies to conduct a separate shareholder advisory vote to approve the compensation of executives, as disclosed pursuant to Item 402 of Regulation SK or any successor to that item. Section 14A also requires companies to conduct a separate shareholder advisory vote to determine how often an issuer will
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conduct a shareholder advisory vote on executive compensation. In addition, Section 14A requires companies soliciting votes to approve merger or acquisition transactions to provide disclosure of certain golden parachute compensation arrangements and, in certain circumstances, to conduct a separate shareholder advisory vote to approve the golden parachute compensation arrangements.
Prior RFA Analysis: When the Commission adopted the rule amendments on January 25, 2011, it published a Final Regulatory Flexibility Analysis in the adopting release, Release No. 339178, available at:
https www.federalregister.gov/
documents/2011/02/02/2011-1971/
shareholder-approval-of-executivecompensation-and-golden-parachutecompensation. The Commission received no comments on its Initial Regulatory Flexibility Analysis published in the proposing release, Release No. 339153 Oct. 18, 2010, available at: https
www.federalregister.gov/documents/
2010/10/28/2010-26535/shareholderapproval-of-executive-compensationand-golden-parachute-compensation.

By the Commission.
Dated: March 17, 2021.
J. Matthew DeLesDernier, Assistant Secretary.
FR Doc. 202105928 Filed 32421; 8:45 am BILLING CODE 801101P

DEPARTMENT OF LABOR
Office of the Secretary 29 CFR Part 10
Wage and Hour Division 29 CFR Parts 516, 531, 578, 579, and 580
RIN 1235AA21

Tip Regulations Under the Fair Labor Standards Act FLSA; Delay of Effective Date Wage and Hour Division, Department of Labor.
ACTION: Proposed delay of effective date.
AGENCY:

On February 26, 2021, the Department of Labor Department published a final rule Delay Rule extending until April 30, 2021, the effective date of the rule titled Tip Regulations Under the Fair Labor Standards Act 2020 Tip final rule in order to allow the Department the
SUMMARY:

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