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Pending Initiatives of Interest to
Small Businesses

We encourage the public to submit comments on the following proposed rules during the comment period. For detailed instructions, please read How To Submit Comments. Proposed rules currently available include:

Release No. Date Details
33-9497 Dec. 18, 2013 Proposed Rule Amendments for Small and Additional Issues Exemptions Under Section 3(b) of the Securities Act (Conformed to Federal Register version)
Other Release Nos.:   34-71120; 39-2493
File No.:   S7-11-13
Comments Due: March 24, 2014
Comments received are available for this proposal.
Submit comments on S7-11-13
Federal Register (79 FR 3925): HTML | PDF | text | XML
33-9470 Oct. 23, 2013 Crowdfunding (Corrected to conform to Federal Register version)
Other Release Nos.:   34-70741
File No.:   S7-09-13
Comments Due: February 3, 2014 Comments received are available for this proposal.
Submit comments on S7-09-13
Federal Register (78 FR 66427): HTML | PDF | text | XML
33-9458 Sep. 27, 2013 Re-opening of Comment Period for Amendments to Regulation D, Form D and Rule 156
Other Release Nos.:   34-70538, IC-30737
File No.:   S7-06-13
Comments Due: November 4, 2013
Comments received are available for this proposal.
Submit comments on S7-06-13
See also:  Proposed Rule: Release No. 33-9416; Division of Economic and Risk Analysis White Paper: Capital Raising in the U.S.: An Analysis of Unregistered Offerings Using the Regulation D Exemption, 2009-2012
Federal Register (78 FR 61222): HTML | PDF | text | XML
33-9416 Jul. 10, 2013 Amendments to Regulation D, Form D and Rule 156 under the Securities Act (Corrected to Conform to the Federal Register Version)
Other Release Nos.:   34-69960, IC-30595
File No.:   S7-06-13
Comments Due: September 23, 2013
Comments received are available for this proposal.
Submit comments on S7-06-13
See also:  Re-opening of Comment Period: Release No. 33-9458; Division of Economic and Risk Analysis White Paper: Capital Raising in the U.S.: An Analysis of Unregistered Offerings Using the Regulation D Exemption, 2009-2012
Federal Register (78 FR 44806): HTML | PDF | text | XML

http://www.sec.gov/info/smallbus/sbpend.shtml


Modified: 04/17/2014