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Basel Regulatory Framework

The most recent information from the Basel Committee on Banking Supervision (BCBS) can be found on the website for the Bank for International Settlements.

Basel III Implementation

Announcements  |  Rulemaking

Announcements

November 18, 2014
Agencies propose technical corrections and clarifications to the capital rules applicable to advanced approaches banking organizations
Press Release

December 6, 2013
Federal Reserve Board issues final rule aligning market risk capital rule with Basel III
Press Release

October 24, 2013
Federal Reserve Board issued proposed rules to strengthen the liquidity positions of large financial institutions
Press Release

September 24, 2013
Federal Reserve Board issues interim final rules clarifying how companies should incorporate Basel III reforms into capital and business projections
Press Release

July 9, 2013
Federal Reserve Board releases interagency "New Capital Rule: Community Bank Guide"
New Capital Rule: Community Bank Guide (PDF)

July 2, 2013
Federal Reserve Board approves final rule to help ensure banks maintain strong capital positions
Federal Register notice: HTML | PDF
Press Release
Community Bank Guide (PDF)

July 2, 2013
Federal Reserve proposes to revise its market risk capital rule
Federal Register notice: HTML | PDF
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June 7, 2012
Federal Reserve Board invites comment on three proposed rules intended to help ensure banks maintain strong capital positions
Press release

Rulemaking Initiatives

June 7, 2012
Notice of proposed rulemaking to modify the regulatory capital minimums, the definition of capital, and to introduce a capital buffer
Press Release

June 7, 2012
Notice of proposed rulemaking to modify the risk-based capital requirements with a standardized approach for risk-weighted assets
Press Release

June 7, 2012
Notice of proposed rulemaking to modify the advanced approaches rule and market risk capital rule
Press Release

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Basel II Advanced Approaches Implementation

Announcements  |  Rulemaking  |  Supervisory Guidance  |  Information Collection

Announcements

July 20, 2007
Banking Agencies Reach Agreement on Basel II Implementation
Press release
Statement by Chairman Bernanke (36 KB PDF)
Statement by Governor Kroszner (32 KB PDF)

Rulemaking Initiatives

December 15, 2010 – Docket Number R-1402
Joint notice of proposed rulemaking to amend the advanced approaches capital adequacy framework known as Basel II to be consistent with certain provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Federal Register notice, as published [ PDF  |  Text ]
Press release

November 2, 2007 – Docket Number R-1261
Joint Final Rule:  Risk-Based Capital Standards:  Advanced Capital Adequacy Framework–Basel II
Federal Register notice, as published [ PDF (1.1 MB)  |  Text ]
Draft Federal Register notice, with navigation [ PDF (1.5 MB) ]
Press release, related remarks and supporting board documents

December 26, 2006 – Docket number R-1261
Joint notice of proposed rulemaking; extension of comment period
Federal Register notice, as published [ PDF (50 KB)  |  Text ]

September 25, 2006 – Docket number R-1261
Joint notice of proposed rulemaking to implement Basel II risk-based capital standards for large, internationally active banking organizations
Federal Register notice, as published [ PDF (1.02 MB)  |  Text ]
Draft Federal Register notice, with navigation [ PDF (1.29 MB) | Text ]
Press release

March 30, 2006 – Docket Number R-1261
Draft interagency proposed rulemaking to implement Basel II risk-based capital standards for large, internationally active banking organizations
Draft Federal Register notice, with navigation [ PDF (2.35 KB)  |  Text ]
Press release, related remarks and supporting board documents
Note:  This draft was superseded by the version published in the Federal Register on September 25, 2006.

August 2003 – Docket Number R-1154
Proposed framework for risk-based capital guidelines; implementation of new Basel capital accord
Press release
Advance notice of proposed rulemaking, as published in the Federal Register [ PDF (350 KB) | Text ]
View comments

Supervisory Guidance Initiatives

July 31, 2008 – Docket Number OP-1322
Supervisory Guidance:  Supervisory Review Process of Capital Adequacy (Pillar 2) Related to the Implementation of the Basel II Advanced Capital Framework
Federal Register notice, as published [ PDF (89 KB) | Text ]

July 8, 2008
Interagency Statement on Basel II Advanced Approaches Qualification Process
SR 08-4  Qualification Process for Advanced Approaches Risk-Based Capital Framework Implementation
U.S. Implementation of Basel II Advanced Approaches Framework (622 KB PDF)

February 2007 – Docket Number OP-1277
Joint notice of proposed Basel II supervisory guidance – IRB, AMA, and supervisory review (Pillar 2)
Press release
Federal Register notice, as published [ PDF (1.2 MB) | Text ]
Draft Federal Register notice with navigation [ PDF (1.74 MB) ]
View comments

October 2004 – Docket Number OP-1215
Proposed supervisory guidance on internal ratings-based systems for retail credit risk for regulatory capital with request for comment
Press release
Federal Register notice, as published [ PDF (240 KB) | Text ]
Corrected formula [ PDF (28 KB) ]
View comments

August 2003 – Docket Number OP-1153
Proposed internal ratings-based systems for corporate credit and operational risk advanced measurement approaches for regulatory capital with request for comment
Press release
Proposed supervisory guidance with request for comment, as published in the Federal Register [ PDF (421 KB) | Text ]

Information Collection Initiatives

May 5, 2008
Reporting Forms – FFIEC 101
Risk-Based Capital Reporting for Institutions Subject to the Advanced Capital Adequacy Framework

Reporting Schedules and Instructions

May 5, 2008
Response to Industry Comments Received on the Advanced Capital Adequacy Framework Reporting Requirements (FFIEC 101)
FFIEC letter to The Clearing House Association L.L.C. and American Bankers Association [ PDF (3.07 MB) ]

January 24, 2008 – Docket number ICP-200681
Agency Information Collection Activities:  Submission for OMB Review; Joint Comment Request
Federal Register notice, as published [ PDF (33 KB)  |  Text ]

December 26, 2006 – Docket number ICP-200681
Joint notice and request for comment; extension of comment period
Federal Register notice, as published [ PDF (33 KB)  |  Text ]

September 25, 2006 – Docket number ICP-200681
Proposal to implement the following new information collections:  Advanced Capital Adequacy Framework Regulatory Reporting Requirements (FFIEC 101); comment request
Federal Register notice, as published [ PDF (61 KB) |  Text ]

Draft Federal Register notice and supervisory reporting templates [ PDF (514 KB) ]
Press release

February 24, 2006
Summary Findings of Fourth Quantitative Impact Study (QIS-4) [ PDF (92 KB)  |  Text ]

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Basel II Standardized Approach Implementation

Rulemaking Initiatives

June 26, 2008 – Docket number R-1318
Joint notice of proposed rulemaking implementing the Basel II standardized risk-based capital framework in the United States
Federal Register notice, as published [ PDF (479 KB)  |  Text ]
Draft Federal Register notice, with navigation [ PDF (1.37 MB) ]
Press release, related remarks and supporting board documents

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Basel I Revisions (Basel IA)

Rulemaking  |  Information Collection

Rulemaking Initiatives

December 26, 2006 – Docket number R-1238
Joint notice of proposed rulemaking to revise existing risk-based capital framework for banks that do not use Basel II (Basel IA)
Federal Register notice, as published [ PDF (564 KB)  |  Text ]
Press release

October 6, 2005
Joint advance notice of proposed revisions to 1988 Basel Capital Accord (Basel I)
Press release

Information Collection Initiatives

February 14, 2007 – Docket number ICP-200790
Joint proposal to revise the reporting of risk-based capital information in the Call Report (FFIEC 031 and 041) and the TFR; comment request
Federal Register notice, as published [ PDF (79 KB)  |  Text ]

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Market Risk Revisions

Rulemaking  |  Information Collection

Rulemaking Initiatives

June 7, 2012 – Docket number R-1401
Joint notice of proposed rulemaking to amend the December 2010 market risk capital rule notice of proposed rulemaking to include alternative standards of creditworthiness for certain debt and securitization positions
Draft Federal Register notice: PDF
Press release

December 7, 2011 – Docket number R-1401
Joint notice of proposed rulemaking to amend the December 2010 market risk capital rule notice of proposed rulemaking to include alternative standards of creditworthiness for certain debt and securitization positions
Federal Register notice, as published [ PDF |  Text ]
Press release
View comments

December 15, 2010 – Docket number R-1401
Joint notice of proposed rulemaking to revise the market risk capital rule to better capture positions for which the market risk capital rules are appropriate, reduce procyclicality in market risk capital requirements, enhance the rules' sensitivity to risks that are not adequately captured by the current regulatory measurement methodologies, and increase market discipline through enhanced disclosures
Federal Register notice, as published [ PDF |  Text ]
Press release
View comments

August 10, 2010 – Docket number R-1401
Joint advance notice of proposed rulemaking regarding alternatives to the use of credit ratings in the risk-based capital rules for banking organizations
Federal Register notice, as published [ PDF |  Text ]
Press release
View comments

September 25, 2006 – Docket number R-1266
Joint notice of proposed rulemaking to revise the market risk capital rule to enhance its risk sensitivity and introduce requirements for public disclosure of certain qualitative and quantitative information about the market risk of a bank or bank holding company
Federal Register notice, as published [ PDF (165 KB) |  Text ]
Press release
View comments

Information Collection Initiatives

September 25, 2006 – Docket number ICP-200681
Proposal to implement the following new information collections: Market Risk Regulatory Reporting Requirements (FFIEC 102); comment request
Federal Register notice, as published [ PDF (54 KB) |  Text ]
Draft Federal Register notice and supervisory reporting templates [ PDF (72 KB) ]
Press release

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Archived announcements and other related documents

September 30, 2005
Banking agencies announce revised plan for implementation of Basel II Framework

April 29, 2005
Agencies announce delay in publication of notice of proposed rulemaking with respect to U. S. implementation of Basel II

January 27, 2005
Qualification process for Basel II implementation, SR Letter 05-1

November 3, 2004
Banking agencies finalize Basel II survey documents

June 26, 2004
Agencies note issuance of final Basel II text and outline U.S. implementation efforts

October 30, 2003
Proposed Treatment of Expected and Unexpected Losses Under the New Basel Capital Accord

July 11, 2003
Request for public comment on implementation of the New Basel Capital Accord in the United States, and on related draft supervisory guidance

May 22 and June 2-3,  2003
Regional Outreach Meetings

January 16, 2001
Agencies to accept comments on Basel proposal to amend capital adequacy framework

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Last update: November 18, 2014

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