SEC.gov Updates: Proposed Rules http://www.sec.gov/rules/proposed.shtml The latest proposed rules from the Securities and Exchange Commission en-us Mon, 20 May 2013 00:00:01 EST Mon, 20 May 2013 12:57:06 EDT Regulation Systems Compliance and Integrity (extension of comment period) http://www.sec.gov/rules/proposed/2013/34-69606.pdf 34-69606 Mon, 20 May 2013 12:57:06 EDT Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act http://www.sec.gov/rules/proposed/2013/34-69491.pdf 34-69491 Wed, 1 May 2013 18:35:06 EDT Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and Forms Relating to the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants http://www.sec.gov/rules/proposed/2013/34-69490.pdf 34-69490 Wed, 1 May 2013 18:10:03 EDT Regulation Systems Compliance and Integrity (Proposed Rule and Form; Proposed Rule Amendment) http://www.sec.gov/rules/proposed/2013/34-69077.pdf 34-69077 Fri, 8 Mar 2013 13:00:49 EST Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers (Extension of Comment Period) http://www.sec.gov/rules/proposed/2013/34-68660.pdf 34-68660 Tue, 15 Jan 2013 14:53:49 EST Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers http://www.sec.gov/rules/proposed/2012/34-68071.pdf 34-68071 Thu, 18 Oct 2012 17:00:00 EDT Temporary Rule Regarding Principal Trades with Certain Advisory Clients http://www.sec.gov/rules/proposed/2012/ia-3483.pdf ia-3483 Tue, 9 Oct 2012 14:49:11 EDT Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144a Offerings http://www.sec.gov/rules/proposed/2012/33-9354.pdf 33-9354 Wed, 29 Aug 2012 14:12:04 EDT Amendments to Financial Responsibility Rules for Broker-Dealers (Reopening of Comment Period) http://www.sec.gov/rules/proposed/2012/34-66910.pdf 34-66910 Thu, 3 May 2012 17:00:35 EDT Investment Company Advertising: Target Date Retirement Fund Names and Marketing - Reopening Comment Period http://www.sec.gov/rules/proposed/2012/33-9309.pdf 33-9309 Tue, 3 Apr 2012 17:39:24 EDT Identity Theft Red Flags Rules http://www.sec.gov/rules/proposed/2012/ic-29969.pdf IC-29969 Tue, 28 Feb 2012 13:32:15 EDT Prohibition Against Conflicts of Interest in Certain Securitizations http://www.sec.gov/rules/proposed/2011/34-66058.pdf 34-66058 Fri, 23 Dec 2011 15:40:59 EST Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds (extension of comment period) http://www.sec.gov/rules/proposed/2011/34-66057.pdf 34-66057 Fri, 23 Dec 2011 15:22:57 EST Prohibition Against Conflicts of Interest in Certain Securitizations (extension of comment period) http://www.sec.gov/rules/proposed/2011/34-65942.pdf 34-65942 Tue, 13 Dec 2011 11:07:55 EDT Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants http://www.sec.gov/rules/proposed/2011/34-65543.pdf 34-65543 Wed, 12 Oct 2011 17:29:31 EDT Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds http://www.sec.gov/rules/proposed/2011/34-65545.pdf 34-65545 Wed, 12 Oct 2011 16:55:56 EDT Prohibition against Conflicts of Interest in Certain Securitizations http://www.sec.gov/rules/proposed/2011/34-65355.pdf 34-65355 Mon, 19 Sep 2011 16:00:22 EDT Covered Securities Pursuant to Section 18 of the Securities Act of 1933 http://www.sec.gov/rules/proposed/2011/33-9251.pdf 33-9215 Mon, 8 Aug 2011 14:59:19 EDT Re-proposal of Shelf Eligibility Conditions for Asset-Backed Securities and Other Additional Requests for Comment http://www.sec.gov/rules/proposed/2011/33-9244.pdf 33-9244 Tue, 26 Jul 2011 17:01:37 EDT Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants http://www.sec.gov/rules/proposed/2011/34-64766.pdf 34-64766 Wed, 29 Jun 2011 13:09:28 EDT Broker-Dealer Reports http://www.sec.gov/rules/proposed/2011/34-64676.pdf 34-64676 Wed, 15 Jun 2011 16:27:24 EDT Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies http://www.sec.gov/rules/proposed/2011/33-9222.pdf 33-9222 Fri, 10 Jun 2011 10:31:41 EDT Credit Risk Retention (extension of comment period) http://www.sec.gov/rules/proposed/2011/34-64603.pdf 34-64603 Tue, 7 Jun 2011 09:30:00 EDT Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings http://www.sec.gov/rules/proposed/2011/33-9211.pdf 33-9211 Wed, 25 May 2011 12:28:19 EDT Privacy Act of 1974: Implementation and Amendment of Exemptions http://www.sec.gov/rules/proposed/2011/pa-45.pdf PA-45 Thu, 19 May 2011 10:35:30 EDT Proposed Rules for Nationally Recognized Statistical Rating Organizations http://www.sec.gov/rules/proposed/2011/34-64514.pdf 34-64514 Wed, 18 May 2011 14:10:32 EDT Investment Adviser Performance Compensation http://www.sec.gov/rules/proposed/2011/ia-3198.pdf IA-3198 Tue, 10 May 2011 15:09:05 EDT Product Definitions Contained in Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act http://www.sec.gov/rules/proposed/2011/33-9204.pdf 33-9204 Fri, 29 Apr 2011 18:06:37 EDT Listing Standards for Compensation Committees (extension of comment period) http://www.sec.gov/rules/proposed/2011/33-9203.pdf 33-9203 Fri, 29 Apr 2011 18:06:37 EDT Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 http://www.sec.gov/rules/proposed/2011/34-64352.pdf 34-64352 Wed, 27 Apr 2011 15:30:56 EDT Incentive-Based Compensation Arrangements http://www.sec.gov/rules/proposed/2011/34-64140.pdf 34-64140 Thu, 31 Mar 2011 09:45:54 EDT Listing Standards for Compensation Committees http://www.sec.gov/rules/proposed/2011/33-9199.pdf 33-9199 Wed, 30 Mar 2011 15:04:06 EDT Credit Risk Retention http://www.sec.gov/rules/proposed/2011/34-64148.pdf 34-64148 Wed, 30 Mar 2011 15:04:06 EDT Clearing Agency Standards for Operation and Governance http://www.sec.gov/rules/proposed/2011/34-64017.pdf 34-64017 Thu, 3 Feb 2011 10:36:31 EST References to Credit Ratings in Certain Investment Company Act Rules and Forms http://www.sec.gov/rules/proposed/2011/33-9193.pdf 33-9193 Thu, 3 Feb 2011 10:36:31 EST Security Ratings http://www.sec.gov/rules/proposed/2011/33-9186.pdf 33-9186 Wed, 2 Feb 2011 14:58:57 EST Registration and Regulation of Security-Based Swap Execution Facilities http://www.sec.gov/rules/proposed/2011/34-63825.pdf 34-63825 Wed, 2 Feb 2011 18:36:37 EST Disclosure of Payments by Resource Extraction Issuers; extension of comment period http://www.sec.gov/rules/proposed/2011/34-63795.pdf 34-63795 Fri, 28 Jan 2011 17:21:58 EST Mine Safety Disclosure; extension of comment period http://www.sec.gov/rules/proposed/2011/33-9179.pdf 33-9179 Fri, 28 Jan 2011 17:21:58 EST Conflict Minerals; extension of comment period http://www.sec.gov/rules/proposed/2011/34-63793.pdf 34-63793 Fri, 28 Jan 2011 17:21:58 EST Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF http://www.sec.gov/rules/proposed/2011/ia-3145.pdf IA-3145 Wed, 26 Jan 2011 17:21:58 EST Net Worth Standard for Accredited Investors http://www.sec.gov/rules/proposed/2011/33-9177.pdf 33-9177 Tue, 25 Jan 2011 13:28:43 EST Trade Acknowledgment and Verification of Security-Based http://www.sec.gov/rules/proposed/2011/34-63727.pdf 34-63727 Fri, 14 Jan 2011 16:38:07 EST Suspension of the Duty to File Reports for Classes of Asset-Backed Securities Under Section 15(d) of the Securities Exchange Act of 1934 http://www.sec.gov/rules/proposed/2011/34-63652.pdf 34-63652 Thu, 6 Jan 2011 16:11:08 EST Registration of Municipal Advisors http://www.sec.gov/rules/proposed/2010/34-63576.pdf 34-63576 Mon, 20 Dec 2010 16:18:52 EST Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations http://www.sec.gov/rules/proposed/2010/34-63557.pdf 34-63557 Wed, 15 Dec 2010 18:43:06 EST End-User Exception to Mandatory Clearing of Security-Based Swaps http://www.sec.gov/rules/proposed/2010/34-63556.pdf 34-63556 Wed, 15 Dec 2010 18:00:50 EST Conflict Minerals http://www.sec.gov/rules/proposed/2010/34-63547.pdf 34-63547 Wed, 15 Dec 2010 16:51:43 EST Mine Safety Disclosure http://www.sec.gov/rules/proposed/2010/33-9164.pdf 33-9164 Wed, 15 Dec 2010 16:43:09 EST Disclosure of Payments by Resource Extraction Issuers http://www.sec.gov/rules/proposed/2010/34-63549.pdf 34-63549 Wed, 15 Dec 2010 16:33:40 EST Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers with Less Than $150 Million in Assets Under Management, and Foreign Private Advisers (Corrected) http://www.sec.gov/rules/proposed/2010/ia-3111.pdf IA-3111 Fri, 10 Dec 2010 10:26:09 EST Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant" http://www.sec.gov/rules/proposed/2010/34-63452.pdf 34-63452 Tue, 7 Dec 2010 14:33:53 EST Temporary Rule Regarding Principal Trades with Certain Advisory Clients http://www.sec.gov/rules/proposed/2010/ia-3118.pdf IA-3118 Thu, 2 Dec 2010 12:29:45 EST Rules Implementing Amendments to the Investment Advisers Act of 1940 http://www.sec.gov/rules/proposed/2010/ia-3110.pdf IA-3110 Fri, 19 Nov 2010 18:54:47 EST Security-Based Swap Data Repository Registration, Duties, and Core Principles http://www.sec.gov/rules/proposed/2010/34-63347.pdf 34-63347 Fri, 19 Nov 2010 17:55:02 EST Regulation SBSR - Reporting and Dissemination of Security-Based Swap Information http://www.sec.gov/rules/proposed/2010/34-63446.pdf 34-63446 Fri, 19 Nov 2010 16:52:52 EST Prohibition Against Fraud, Manipulation, and Deception in Connection with Security-Based Swaps http://www.sec.gov/rules/proposed/2010/34-63236.pdf 34-63236 Wed, 3 Nov 2010 14:38:58 EDT Proposed Rules for Implementing the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934 http://www.sec.gov/rules/proposed/2010/34-63237.pdf 34-63237 Wed, 3 Nov 2010 14:20:22 EDT Shareholder Approval of Executive Compensation and Golden Parachute Compensation http://www.sec.gov/rules/proposed/2010/33-9153.pdf 33-9153 Mon, 18 Oct 2010 16:34:58 EDT Reporting of Proxy Votes on Executive Compensation and Other Matters http://www.sec.gov/rules/proposed/2010/34-63123.pdf 34-63123 Mon, 18 Oct 2010 16:34:58 EDT Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC http://www.sec.gov/rules/proposed/2010/34-63107.pdf 34-63107 Thu, 14 Oct 2010 15:50:19 EDT Issuer Review of Assets in Offerings of Asset-Backed Securities http://www.sec.gov/rules/proposed/2010/33-9150.pdf 33-9150 Wed, 13 Oct 2010 13:12:58 EDT Family Offices http://www.sec.gov/rules/proposed/2010/ia-3098.pdf IA-3098 Tue, 12 Oct 2010 16:03:29 EDT Short-Term Borrowings Disclosure http://www.sec.gov/rules/proposed/2010/33-9143.pdf 33-9143 Fri, 17 Sep 2010 14:26:05 EDT Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities http://www.sec.gov/rules/proposed/2010/33-9137.pdf 33-9137 Mon, 30 Aug 2010 17:16:04 EDT Mutual Fund Distribution Fees; Confirmations http://www.sec.gov/rules/proposed/2010/33-9128.pdf 33-9128 Wed, 21 Jul 2010 17:04:17 EDT Investment Company Advertising: Target Date Retirement Fund Names and Marketing http://www.sec.gov/rules/proposed/2010/33-9126.pdf 33-9126 Thu, 17 Jun 2010 09:20:59 EDT Consolidated Audit Trail http://www.sec.gov/rules/proposed/2010/34-62174.pdf 34-62174 Wed, 26 May 2010 16:37:34 EDT Large Trader Reporting System http://www.sec.gov/rules/proposed/2010/34-61908.pdf 34-61908 Wed, 14 Apr 2010 17:48:50 EDT Proposed Amendments to Rule 610 of Regulation NMS http://www.sec.gov/rules/proposed/2010/34-61902.pdf 34-61902 Wed, 14 Apr 2010 16:51:55 EDT Asset-Backed Securities http://www.sec.gov/rules/proposed/2010/33-9117.pdf 33-9117 Wed, 7 Apr 2010 12:26:21 EDT Purchases of Certain Equity Securities by the Issuer and Others http://www.sec.gov/rules/proposed/2010/34-61414.pdf 34-61414 Tue, 26 Jan 2010 13:33:42 EST Risk Management Controls for Brokers or Dealers with Market Access http://www.sec.gov/rules/proposed/2010/34-61379.pdf 34-61379 Tue, 19 Jan 2010 17:50:30 EST Revisions to Rule 163 http://www.sec.gov/rules/proposed/2009/33-9098.pdf 33-9098 Mon, 21 Dec 2009 16:17:01 EST Facilitating Shareholder Director Nominations http://www.sec.gov/rules/proposed/2009/33-9086.pdf 33-9086 Mon, 14 Dec 2009 16:17:01 EST Regulation of Non-Public Trading Interest http://www.sec.gov/rules/proposed/2009/34-60997.pdf 34-60997 Fri, 13 Nov 2009 15:28:44 EST Credit Ratings Disclosure http://www.sec.gov/rules/proposed/2009/33-9070a.pdf 33-9070A Thu, 22 Oct 2009 11:36:16 EDT Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities http://www.sec.gov/rules/proposed/2009/33-9074.pdf 33-9074 Mon, 19 Oct 2009 17:28:27 EDT Amendments to Rules Requiring Internet Availability of Proxy Materials http://www.sec.gov/rules/proposed/2009/33-9073.pdf 33-9073 Thu, 15 Oct 2009 16:52:14 EDT Credit Ratings Disclosure http://www.sec.gov/rules/proposed/2009/33-9070.pdf 33-9070 Wed, 7 Oct 2009 15:18:12 EDT References to Ratings of Nationally Recognized Statistical Rating Organizations http://www.sec.gov/rules/proposed/2009/33-9069.pdf 33-9069 Mon, 5 Oct 2009 17:51:07 EDT Elimination of Flash Order Exception From Rule 602 of Regulation NMS http://www.sec.gov/rules/proposed/2009/34-60684.pdf 34-60684 Fri, 18 Sep 2009 12:39:51 EDT Amendments to Regulation SHO http://www.sec.gov/rules/proposed/2009/34-60509.pdf 34-60509 Mon, 17 Aug 2009 10:46:14 EDT Political Contributions by Certain Investment Advisers http://www.sec.gov/rules/proposed/2009/ia-2910.pdf IA-2910 Mon, 3 Aug 2009 10:19:00 EDT Proposed Amendment to Municipal Securities Disclosure http://www.sec.gov/rules/proposed/2009/34-60332.pdf 34-60332 Fri, 17 Jul 2009 15:23:53 EDT Proxy Disclosure and Solicitation Enhancements http://www.sec.gov/rules/proposed/2009/33-9052.pdf 33-9052 Fri, 10 Jul 2009 11:19:42 EDT Shareholder Approval of Executive Compensation of TARP Recipients http://www.sec.gov/rules/proposed/2009/34-60218.pdf 34-60218 Wed, 1 Jul 2009 17:24:11 EDT Money Market Fund Reform http://www.sec.gov/rules/proposed/2009/ic-28807.pdf IC-28807 Tue, 30 Jun 2009 17:02:27 EDT Facilitating Shareholder Director Nominations http://www.sec.gov/rules/proposed/2009/33-9046.pdf 33-9046 Wed, 10 Jun 2009 19:00:15 EDT Custody of Funds or Securities of Clients by Investment Advisers http://www.sec.gov/rules/proposed/2009/ia-2876.pdf IA-2876 Wed, 20 May 2009 16:28:12 EDT Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act http://www.sec.gov/rules/proposed/2009/34-59769.pdf 34-59769 Wed, 15 Apr 2009 13:00:25 EDT Amendments to Regulation SHO http://www.sec.gov/rules/proposed/2009/34-59748.pdf 34-59748 Fri, 10 Apr 2009 16:50:06 EDT Re-proposed Rules for Nationally Recognized Statistical Rating Organizations http://www.sec.gov/rules/proposed/2009/34-59343.pdf 34-59343 Mon, 2 Feb 2009 17:07:37 EST Proposed Amendment to Existing Regulation Concerning Records Services, Fee Schedule http://www.sec.gov/rules/proposed/2008/34-59150.pdf 34-59150 Wed, 24 Dec 2008 14:16:32 EST Roadmap for the Potential Use of Financial Statements Prepared in Accordance with International Financial Reporting Standards by U.S. Issuers http://www.sec.gov/rules/proposed/2008/33-8982.pdf 33-8982 Fri, 14 Nov 2008 18:44:47 EST Indexed Annuities and Certain Other Insurance Contracts http://www.sec.gov/rules/proposed/2008/33-8976.pdf 33-8976 Fri, 10 Oct 2008 16:44:47 EDT Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies http://www.sec.gov/rules/proposed/2008/33-8949.pdf 33-8949 Thu, 31 Jul 2008 17:32:39 EDT Commission Guidance Regarding the Duties and Responsibilities of Investment Company Boards of Directors with Respect to Investment Adviser Portfolio Trading Practices http://www.sec.gov/rules/proposed/2008/34-58264.pdf 34-58264 Wed, 30 Jul 2008 18:09:16 EDT Proposed Amendment to Municipal Securities Disclosure http://www.sec.gov/rules/proposed/2008/34-58255.pdf 34-58255 Wed, 30 Jul 2008 15:00:10 EDT Amendment to Regulation SHO http://www.sec.gov/rules/proposed/2008/34-58107.pdf 34-58107 Tue, 1 Jul 2008 16:57:20 EDT References to Ratings Of Nationally Recognized Statistical Rating Organizations http://www.sec.gov/rules/proposed/2008/ic-28327.pdf IC-28327 Tue, 1 Jul 2008 12:54:34 EDT Security Ratings http://www.sec.gov/rules/proposed/2008/33-8940.pdf 33-8940 Tue, 1 Jul 2008 12:54:34 EDT References to Ratings Of Nationally Recognized Statistical Rating Organizations http://www.sec.gov/rules/proposed/2008/34-58070.pdf 34-58070 Tue, 1 Jul 2008 12:54:34 EDT Exemption of Certain Foreign Brokers or Dealers http://www.sec.gov/rules/proposed/2008/34-58047.pdf 34-58047 Fri, 27 Jun 2008 13:23:52 EDT Modernization of the Oil and Gas Reporting Requirements http://www.sec.gov/rules/proposed/2008/33-8935.pdf 33-8935 Thu, 26 Jun 2008 16:38:40 EDT Indexed Annuities and Certain Other Insurance Contracts http://www.sec.gov/rules/proposed/2008/33-8933.pdf 33-8933 Thu, 26 Jun 2008 12:24:19 EDT Proposed Rules for Nationally Recognized Statistical Rating Organizations http://www.sec.gov/rules/proposed/2008/34-57967.pdf 34-57967 Mon, 16 Jun 2008 13:23:03 EDT Interactive Data to Improve Financial Reporting http://www.sec.gov/rules/proposed/2008/33-8924.pdf 33-8924 Fri, 30 May 2008 15:54:13 EDT Revisions to the Cross-Border Tender Offer, Exchange Offer, and Business Combination Rules and Beneficial Ownership Reporting Rules for Certain Foreign Institutions http://www.sec.gov/rules/proposed/2008/33-8917.pdf 33-8917 Thu, 8 May 2008 08:10:30 EDT "Naked" Short Selling Anti-Fraud Rule http://www.sec.gov/rules/proposed/2008/34-57511.pdf 34-57511 Mon, 17 Mar 2008 15:44:29 EDT Exchange-Traded Funds http://www.sec.gov/rules/proposed/2008/33-8901.pdf 33-8901 Tue, 11 Mar 2008 17:35:00 EDT Part 248 - Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Personal Information http://www.sec.gov/rules/proposed/2008/34-57427.pdf 34-57427 Wed, 5 Mar 2008 08:16:22 EST Amendments to Form ADV http://www.sec.gov/rules/proposed/2008/ia-2711.pdf IA-2711 Mon, 3 Mar 2008 18:14:08 EST Foreign Issuer Reporting Enhancements http://www.sec.gov/rules/proposed/2008/33-8900.pdf 33-8900 Mon, 3 Mar 2008 15:07:12 EST Exemption from Registration Under Section 12(g) of the Securities Exchange Act of 1934 for Foreign Private Issuers http://www.sec.gov/rules/proposed/2008/34-57350.pdf 34-57350 Tue, 19 Feb 2008 17:09:58 EST Disclosure of Divestment by Registered Investment Companies in Accordance With Sudan Accountability and Divestment Act of 2007 http://www.sec.gov/rules/proposed/2008/34-57306.pdf 34-57306 Mon, 11 Feb 2008 18:08:01 EST Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers http://www.sec.gov/rules/proposed/2008/33-8889.pdf 33-8889 Fri, 1 Feb 2008 17:42:31 EST