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Petitions for Rulemaking
Submitted to the SEC

Any person may request that the Commission issue, amend or repeal a rule of general application. Petitions must contain the text or substance of any proposed rule or amendment or specify the rule or portion of a rule requested to be repealed. Persons submitting petitions must also include a statement of their interest and/or reasons for requesting Commission action.

All petitions will be forwarded to the appropriate office or division of the Commission for consideration and recommendation. Following submission of the staff's recommendation to the Commission, petitioners will be notified of any action taken by the Commission.

For additional information please refer to the Commission's Rules of Practice, Rule 192 (17 CFR 201.192).

File No. Date Description
4-677 Jul. 18, 2014 Request for rulemaking petition and the issuance of a Policy Statement Regarding Certain Aspects of the Dodd-Frank Whistleblower Program
Submitted by:   Jordan A. Thomas, Labaton Sucharow LLP
4-676 Jul. 18, 2014 Request for rulemaking petition to clarify and strengthen protections for whistleblowers, requesting the Commission hold hearings and create an Advisory Committee on Whistleblower Reporting and Protection
Submitted by:   Jordan A. Thomas, Labaton Sucharow LLP
4-637-2 Apr. 15, 2014 Request for rulemaking that would require public companies to disclose to shareholders the use of corporate resources for political activities
See also: Exhibits
Submitted by:   Anne L. Weismann and Melanie Sloan, Citizens for Responsibility and Ethics in Washington
See also: 4-637-2 Amended Petition
Submitted by: Citizens for Responsibility and Ethics in Washington and Stephen M. Silberstein
Comments received are available for this proposal.
4-675 Apr. 9, 2014 Request for rulemaking to amend Rule 14a-8 under the Securities Exchange Act of 1934 regarding resubmission of Shareholder Proposals
See also: Exhibits
Submitted by:   Thomas Quaadman, Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Comments received are available for this proposal.
4-672 Jan. 8, 2014 Request for rulemaking to amend Section 14 of the Securities Exchange Act of 1934 to facilitate the use of universal proxy cards in contested elections
Submitted by:   Glenn Davis, Director of Research, Council of Institutional Investors
Comments received are available for this proposal.
4-671 Dec. 18, 2013 Request for rulemaking to combine Form 144 into Form 4
See also: Example Form 4-144
Submitted by:   Jesse M. Brill
4-667 Oct. 7, 2013 Request for rulemaking to modernize the regulations of Business Development Companies
Submitted by:   Brett Palmer, Small Business Investor Alliance
4-666 Oct. 8, 2013 Request for rulemaking to revise the Commission’s guidance to proxy advisory firms
Submitted by:   Edward S. Knight, Executive Vice President, General Counsel & Chief Regulatory Officer, NASDAQ OMX
Comments received are available for this proposal.
4-665 Sep. 16, 2013 Request for rulemaking to revise Rule 501 of Regulation D to afford to persons in civil unions, domestic partnerships, and similar relationships, the same right and opportunity to qualify for accredited investor status as married persons have.
Submitted by:   David L. Dallas Jr., Williams Mullen
4-664 Sep. 11, 2013 Request for rulemaking to permit, for a temporary period, alternative disclosure in lieu of the disclosure currently required by the Conflict Minerals Rules.
Submitted by:   W. Brinkley Dickerson, Troutman Sanders LLP
4-662 Apr. 22, 2013 Request for rulemaking regarding Option Floor Crosses
Submitted by:   John Nagel, Citadel Securities LLC; Jonathan Grodnick, CTC, L.L.C.; Gerald D. O'Connell, Susquehanna International Group, LLP
4-644A Mar. 12, 2013 Request for rulemaking to: adopt new Securities Act Rule 241 to exempt certain over-the counter options from provisions of the Securities Act; provide a temporary exemption with respect to Credit Default Swaps; and to amend Exchange Act Rule 12h-1 to exempt from Exchange Act registration options that are issued and cleared by a registered or exempt clearing agency in its function as a central counterparty.
Submitted by:   James E. Brown, Executive Vice President — Legal, The Options Clearing Corporation
See also: Petition 4-644
4-659 Feb. 4, 2013 Request for rulemaking concerning amendment of beneficial ownership reporting rules under Section 13(f) of the Securities Exchange Act of 1934 in order to shorten the reporting deadline under paragraph (a)(1) of Rule 13f-1
Submitted by:  Janet McGinness, Executive Vice President & Corporate Secretary, NYSE Euronext; Kenneth A. Bertsch, President & CEO, Society of Corporate Secretaries and Governance Professionals; and Jeffrey D. Morgan, President & CEO, National Investor Relations Institute
Comments received are available for this proposal.
4-658 Jan. 2, 2013 Request for rulemaking concerning amending Rule 10b5-1 or further interpretive guidance regarding the circumstances under which Rule 10b5-1 trading plans may be adopted, modified, or cancelled
Submitted by:  Jeff Mahoney, General Counsel, Council of Institutional Investors
4-656 Nov. 28, 2012 Request for rulemaking to mandate that mutual funds fully disclose through a disclaimer in their prospectuses that shareholders are being financially disadvantaged by new and liquidating shareholders who are not paying their portion of the brokerage trading commissions that were generated to establish the portfolio's holdings, a result of buying the portfolio securities.
Submitted by:  Seymour Sacks, President, Sacks Equalization Model, Inc.
See also: Additional letter; Supplement to petition
4-654 Oct. 1, 2012 Request for rulemaking to amend Industry Guide 7
Submitted by:   David L. Kanagy, Executive Director, Society for Mining, Metallurgy & Exploration
Comments received are available for this proposal.
4-653 Aug. 24, 2012 Request for rulemaking regarding the definition of Eligible Contract Participant in Commodity Exchange Act Section 1a(18), interpretive letter, exemptive relief, or other guidance
Submitted by:   Diana L. Preston, Vice President and Senior Counsel, Center for Securities, Trust & Investments, American Bankers Association
4-651 Aug. 17, 2012 Request for rulemaking regarding neutral Internet voting platform
Submitted by:   Larry S. Eiben, CoFounder Moxy Vote, LLC
4-650 Jul. 4, 2012 Request for rulemaking to require all trades to be executed only at the top of each minute, at the double zero tick
Submitted by:   James H. Sutton
4-649 Apr. 9, 2012 Request for rulemaking regarding re-statements of financial statements
Submitted by:   Carl Olson, Chairman, Fund for Stockowners Rights
4-648 Apr. 3, 2012 Request for rulemaking to reestablish the original congressional intent for a clear dichotomy between "Salesperson" and "Investment Adviser" under the Investment Advisers Act of 1940
Submitted by:   Susan Seltzer, President, The Derivative Project
Comments received are available for this proposal.
4-647 Mar. 12, 2012 Request for interpretive release with guidance, clarifying that broker-dealers and their agents are prohibited from charging issuers for proxy processing, suppression, voting and other fees for wrap fee accounts and separately managed accounts, at the beneficial owner level
Submitted by:   Karen V. Danielson, President, Shareholder Services Association and Charles V. Rossi, President, The Securities Transfer Association, Inc.
4-646 Feb. 16, 2012 Request for rulemaking to amend Rule 6c-10 under the Investment Company Act of 1940 to prohibit a Company from extending a deferred sales load "holding period" for existing shareholders
Submitted by:   Ronald Workman, CFP, LPL Registered Principal, Coastview Financial
4-644 Jan. 13, 2012 Request for rulemaking to amend Rule 238 under the Securities Act to extend the rule's exemption from all provisions of the Securities Act (other than 17(a)) to over-the-counter options that are cleared by a clearing agency registered with the Commission pursuant to Section 17A of the Exchange Act, provided that such options are offered and sold only to "eligible contract participants" as defined in Section 3(a)(65) of the Exchange Act; and to amend Rule 12h-1 under the Exchange Act to extend the rule's exemption from registration to options that are cleared by a clearing agency registered with the Commission pursuant to Section 17A of the Exchange Act, without requiring that such options be "standardized options," as defined in Exchange Act Rule 9b-1, provided that such options are offered and sold only to eligible contract participants.
Submitted by:   James E. Brown, Executive Vice President — Legal, The Options Clearing Corporation
See also: Petition 4-644A
4-643 Jan. 9, 2012 Request for rulemaking to amend Rule 502(c) of Regulation D to eliminate the prohibition on offers or sales of securities by general solicitation or general advertising with respect to private funds
Submitted by:   Richard H. Baker, President and CEO, Managed Funds Association
Comments received are available for this proposal.
4-641 Nov. 7, 2011 Request for rulemaking, regulation or order pursuant to Section 36(a)(1) of the Exchange Act to provide exemptive relief from the application of Section 15(c)(3) of the Exchange Act and Rule 15c3-3 thereunder
Submitted by:   Counsel on behalf of ICE Clear Credit LLC
Note: See also Exhibits
Comments received are available for this proposal.
4-638 Aug. 26, 2011 Request for rulemaking to amend Rule 146(b) of the Securities Act of 1933 to designate securities listed on C2 Options Exchange, Incorporated as covered securities for the purpose of Section 18 of the Securities Act
Submitted by:   Joanne Moffic-Silver, Secretary, C2 Options Exchange, Incorporated
4-637 Aug. 3, 2011 Petition to require public companies to disclose to shareholders the use of corporate resources for political activities
Submitted by:   Lucian A. Bebchuk, Co-Chair, Bernard S. Black, John C. Coffee Jr., James D. Cox, Jeffrey N. Gordon, Ronald J. Gilson, Henry Hansmann, Robert J. Jackson Jr., Co-Chair, Donald C. Langevoort, Hillary A. Sale, The Committee on Disclosure of Corporate Political Spending
Comments received are available for this proposal.
4-634 May 27, 2011 Request for rulemaking to mandate universal institutional brokerage commission transparency and disclosure
Submitted by:   William T. George
Note: See also additional letter
Comments received are available for this proposal.
4-632 May 26, 2011 Request for rulemaking to amend Rule 146(b) of the Securities Act of 1933 to designate securities listed on BATS Exchange, Inc. as covered securities for the purpose of Section 18 of the Securities Act.
Submitted by:   Eric Swanson, SVP & General Counsel, BATS Exchange, Inc.
4-630 May 20, 2011 Request for rulemaking to amend Rule 14a-4(b)(2)(Requirements as to proxy) to eliminate the "withhold authority" vote on proxy forms used for the election of corporate directors.
Submitted by:   Edward J. Durkin, Director, Corporate Affairs Department, United Brotherhood of Carpenters
Comments received are available for this proposal.
4-628 Apr. 29, 2011 Request for rulemaking to amend Rule 651 of the Philadelphia Stock Exchange (n/k/a NASDAQ OMX PHLX)
Submitted by:   Joseph D. Carapico, G.P., Pennmont Securities
Note: See also Supplement to petition
Comments received are available for this proposal.
4-624 Mar. 7, 2011 Request for rulemaking regarding the beneficial ownership reporting rules under Section 13 of the Securities Exchange Act of 1934
Submitted by:   Theodore N. Mirvis, Esq., Andrew R. Brownstein, Esq., Eric S. Robinson, Esq., Adam O. Emmerich, Esq., David M. Silk, Esq., Trevor S. Norwitz, Esq., David C. Karp, Esq. and William Savitt, Esq. of Wachtell, Lipton, Rosen & Katz
Comments received are available for this proposal.
4-623 Jan. 28, 2011 Request for rulemaking concerning Market Data Structure
Submitted by:   Christopher Nagy, Managing Director Order Strategy and Richard P. Urian, Global Head of Market Data, TD Ameritrade
4-614 Oct. 8, 2010 Request for rulemaking to amend Rule 146(b) to designate securities listed on the Nasdaq Options Market as covered securities for the purpose of Section 18 of the Securities Act of 1933
Submitted by:   Edward S. Knight, NASDAQ OMX
4-605 Jul. 1, 2010 Request for rulemaking to exempt securities offerings up to $100,000 with $100 maximum per investor from registration
Submitted by:   Jenny Kassan, Sustainable Economies Law Center
Comments received are available for this proposal.
4-604 May 25, 2010 Request for rulemaking to allow the Nasdaq Capital Market to adopt initial listing price requirements identical to NYSE Amex
Submitted by:   Joan C. Conley, The Nasdaq Stock Market LLC
Comments received are available for this proposal.
4-603 May 17, 2010 Request for rulemaking to amend Rule 7-02 of Regulation S-X under the Securities Act of 1933 concerning the use of financial statements prepared in accordance with statutory accounting principles by certain life insurance company issuers
Submitted by:  Stephen E. Roth and Mary Thornton Payne, Sutherland Asbill and Brennan LLP (on behalf of Aviva USA Corporation)
4-601 Mar. 22, 2010 Request for rulemaking to require mutual fund companies to provide a single day accrual rate/mil rate for every day of every week
Submitted by:  Park National Bank
4-592 Jan. 27, 2010 Request for rulemaking to amend Rule
146(b) under the Securities Act of 1933 to designate securities listed on BATS as covered securities for the purpose of Section 18 of the Securities Act.

Submitted by:  BATS Exchange, Inc.
4-593 Jan. 22, 2010 Request for rulemaking to amend Regulation S-K and/or Form 10-K to add a new section entitled "Political Influence."
Submitted by:  James Evan Dallas
Comments received are available for this proposal.
4-591 Jan. 4, 2010 Request for rulemaking to require FINRA to propose new rules aimed at improving provisions for investor protection in FINRA rules
Submitted by:  Manuel P. Asensio, Alliance for Economic Stability, Inc.
4-547 Nov. 23, 2009 Supplemental petition: Request for interpretive guidance on Climate Risk Disclosure
Note: For attachments, see original petition (Sep. 18, 2007); Supplemental petition (Jun. 12, 2008)
Comments received are available for this proposal.
4-599 Oct. 19, 2009 Request that the Commission conduct rulemaking to codify a securities licensing/registration exemption for main street business brokers
Submitted by:   Jonathan M. Miller, President, TABB, Inc.
Comments received are available for this proposal.
4-589 Aug. 27, 2009 Request for rulemaking under the Securities Exchange Act of 1934 to regulate or ban the trading practice known as flash orders and the practice of server co-location.
Submitted by:   William E. McDonnell, Jr, Atherton Lane Advisers, LLC
Comments received are available for this proposal.
4-642 Jul. 21, 2009 Request for rulemaking concerning Mandatory Sustainability Reporting and Disclosure
Submitted by:   Lisa Woll, CEO, US SIF: The Forum for Sustainable and Responsible Investing (formerly the Social Investment Forum)
4-586 Jun. 11, 2009 Request rulemaking to eliminate the requirement that an arbitrator affiliated with the securities industry sit on all public investor cases arbitrated before FINRA in which the amount in controversy exceeds $100,000
Submitted by:   Brian N. Smiley, President, Public Investors Arbitration Bar Association
Comments received are available for this proposal.
4-585 May 26, 2009 Request rulemaking to amend Item 402 of Regulation S-K to revise the current Summary Compensation Table to better depict the compensation earned for the year by named executive officers
Submitted by:   Ira T. Kay and Steven Seelig, Watson Wyatt Worldwide
Comments received are available for this proposal.
4-584 May 17, 2009 Request for rulemaking under the Investment Company Act of 1940 to amend Rule 3a-5(b)(1) to include a reference to limited liability companies and business trusts
Submitted by:   Keith Paul Bishop
4-583 May 15, 2009 Request for rulemaking to amend Rule 14a-4(b)(1) under the Securities Exchange Act of 1934 to prohibit conferring discretionary authority to issuers with respect to non-votes on the voter information form or proxy.
Submitted by:   James McRitchie, Publisher, Corporate Governance, CorpGov.net on behalf of multiple petitioners
Comments received are available for this proposal.
4-580 Mar. 22, 2009 Request for rulemaking under the Securities Act of 1933 to amend the reference to Tier 1 of the Philadelphia Stock Exchange, Inc. in Rule 146(b)(1)(ii)
Submitted by:   Keith Paul Bishop
4-483 Feb. 24, 2009 Additional Petition — Request for Rulemaking under Section 12(g)(5) of the Securities Exchange Act of 1934 concerning securities held in "Street Name"   
Submitted by: Lawrence J. Goldstein
Note: See also Supplements to additional petition and Original petition
Comments received are available for this proposal.
4-578 Feb. 15, 2009 Request for rulemaking under the Securities Exchange Act of 1934 to adopt a new identical to Rule 3a12-8 exempting from Commission registration under Section 3(a)(12) of the Act any futures contract on the sovereign debt of a foreign government so that it may lawfully be offered to U.S. persons pursuant to Section 2(a)(1)(C)(iv) of the Commodity Exchange Act
Submitted by:  Philip McBride Johnson, Skadden, Arps, Slate, Meagher & Flom LLP
4-577 Feb. 3, 2009 Request for rulemaking to amend Rule 15c3-3 under the Exchange Act to treat US government money market mutual fund shares, where the underlying portfolio assets of the fund consist of securities issued or guaranteed by the US government or its agencies or instrumentalities, as “qualified securities” to meet a broker-dealer’s deposit requirements under the Special Reserve Bank Account for the Exclusive Benefit of Customers
Submitted by:  Lee A. Pickard, Esq., Pickard and Djinis LLP on behalf of Federated Investors, Inc.
Comments received are available for this proposal.
4-576 Jan. 6, 2009 Request for the removal of the Rule 32a-4 exemption from the Investment Company Act’s requirement that shareholders vote on the selection of a fund’s independent public accountant if the investment company has an audit committee composed of wholly independent directors
Submitted by:  George W. Karpus, Karpus Investment Management
4-572 Oct. 1, 2008 Request for rulemaking under the Securities Act of 1933 to amend Rule 144 to remove the prohibition in Rule 144(i) on shareholders who acquired shares when an issue was a “shell company” or former “shell company” from being able to utilize Rule 144 for a sale of unregistered securities if the issuer has not filed its Securities Exchange Act of 1934 reports for the one year prior to the proposed sale, other than in the first year following each date the issuer ceases to be a shell company and releases “Form 10 information”
Submitted by:   David N. Feldman, Feldman Weinstein & Smith
4-554 Sep. 22, 2008 Additional letter
Note: See also original petition
4-571 May 14, 2008 Request for rulemaking under the Securities Exchange Act of 1934 that when a share owner submits a proposal for voting, the share owner may additionally supply an e mail address and, if available, supply a web site address where material relating to the proposal may be viewed
Submitted by:   William S. Karn
4-570 Sep. 23 2008 Request for rulemaking under the Securities Exchange Act of 1934 to amend Rule 10A-3 to require that issuers submit their choice of auditor to a non-binding vote of shareholders for ratification
Submitted by:   Christopher Ailman, California State Teachers' Retirement System
Comments received are available for this proposal.
4-565 Aug. 1, 2008 Request for joint CFTC and SEC rulemaking to amend CFTC Rule 41.45(b) and SEC Rule 403(b) relating to customer margin levels for security futures products
Submitted by:   Donald L. Horowitz, OneChicago, LLC
4-563 Jul. 21, 2008 Request for rulemaking for interpretive guidance for registrants pursuant to the Securities Exchange Act of 1934 on public statements concerning global warming and other environmental issues
Submitted by:  Steven J. Milloy and Thomas Borelli, Free Enterprise Action Fund
Comments received are available for this proposal.
4-562 Jul. 15, 2008 Request for rulemaking under the Securities Exchange Act of 1934 to limit fees that options exchanges may charge non-members to obtain access to quotations to $.20 per contract
Submitted by:  John C. Nagel, Citadel
Comments received are available for this proposal.
4-547 Jun. 12, 2008 Supplemental petition: Request for interpretive guidance on Climate Risk Disclosure
Note: For attachments, see original petition (Sep. 18, 2007)
Comments received are available for this proposal.
4-558 May 12, 2008 Request for rulemaking requiring companies to disclose in the proxy statement the fees associated with all engagements for a single company and any ownership interest a consultant working for the compensation committee may have in the parent consulting firm
Submitted by:   Multiple Petitioners
Comments received are available for this proposal.
4-557 Apr. 3, 2008 Request for rulemaking to adopt new Rule 15c3-4 to address the practice of market participants redefining securities in customer accounts past T+3
Submitted by:   Thomas Vallarino, National Investor Protection Coalition
Comments received are available for this proposal.
4-556 Feb. 27, 2008 Request for Review and Repeal of FAS 123R, "Share-Based Payment"
Submitted by:   B. Kipling Hagopian
4-541 Feb. 11, 2008 Supplemental petition
Note: For attachments, see original petition
Comments received are available for this proposal.
4-555 Jan. 25, 2008 Request for rulemaking to amend SEC rules to require public companies to provide a plain English descriptive narrative for all departures or dismissals of their external auditors
Submitted by:   Jeff Mahoney, General Counsel, Council of Institutional Investors
4-554 Jan. 16, 2008 Request for rulemaking under the Investment Company Act of 1940 to adopt a rule requiring that money market funds make nonpublic monthly electronic filings of their portfolios to enable the Commission to monitor more closely the funds’ risk of loss of principal
Submitted by:   Fund Fund Democracy, Consumer Federation of America, Consumer Action, AFL-CIO, Financial Planning Association and National Association of Personal Financial Advisors
Note: See also additional letter
4-553 Dec. 19, 2007 Request for rulemaking under the Securities Exchange Act of 1934 to exempt issuers of certain types of fixed insurance contracts from the reporting requirements of Sections 13 and 15(d) of the Act
Submitted by:   Stephen E. Roth, Esq., Sutherland Asbill & Brennan LLP on behalf of Jackson National Life Insurance Company
4-549 Oct. 22, 2007 Request for interpretive guidance under the Securities Act of 1933 that would require registrants to disclose to shareholders the business risks of laws and regulations intended to address global warming concerns
Submitted by:   Steven J. Milloy and Thomas J. Borelli, on behalf of Free Enterprise Action Fund
4-550 Oct. 19, 2007 Joint request for rulemaking to adopt amendments to Regulation S-K that would provide for increased disclosure of certain financial and other relationships between underwriters and registrants
Submitted by:
California Public Employees' Retirement System
California State Teachers' Retirement System
Los Angeles County Employees Retirement Association
Illinois Universities Retirement System
Tennessee Consolidated Retirement System
Citigroup Global Markets Inc.
J.P. Morgan Securities Inc.
4-548 Sep. 25, 2007 Request for rulemaking under the Securities Act of 1933 to permit commodity pools to publish and distribute advertisements that disclose certain information about the commodity pool beyond that specified by the safe harbor of Rule 134
Submitted by:   James B. Biery, Sidley Austin LLP on behalf of Superfund Capital Management, Inc.
4-547 Sep. 18, 2007 Request for interpretive guidance on Climate Risk Disclosure
See Also: Supplemental petition dated Nov. 23, 2009; Supplemental petition dated Jun. 12, 2008
Submitted by:  Multiple petitioners
Comments received are available for this proposal.
4-543 Jul. 9, 2007 Request to amend Rule 35d-1 under the Investment Company Act to amend the definition of fundamental investment policy
Submitted by:  George W. Karpus, Karpus Investment Management
4-541 Jun. 18, 2007 Request for rulemaking under the Securities Exchange Act of 1934 to prohibit broker-dealers from requiring investors to accept mandatory arbitration clauses
Submitted by:  Daniel R. Solin
Comments received are available for this proposal.
4-542 Jun. 13, 2007 Request for rulemaking under the Investment Company Act of 1940 to amend Rule 19a-1 which governs how a fund calculates and discloses the sources of its distributions
Submitted by:  Mary S. Podesta, Esq., Investment Company Institute
4-540 May 24, 2007 Request to Amend "Pattern Day Trader" Rule
Submitted by:  Michael Wilson
Comments received are available for this proposal.
4-535 Mar. 28, 2007 Request for written interpretative guidance relating to the implementation of FASB Interpretation No. 48, Accounting for Uncertainty in Income Taxes ("FIN 48") by investment companies registered under the Investment Company Act of 1940
Submitted by:   Stephen D. Fisher, Senior Vice President & Deputy General Counsel, Fidelity Management & Research Company; Eric Roiter, Senior Vice President & General Counsel, Fidelity Management & Research Company; Maria Dwyer, Chief Regulatory Officer, Massachusetts Financial Services Company; Scott Huebl, Vice President, Tax, Oppenheimerfunds, Inc.
4-531 Feb. 10, 2007 Request for rulemaking on disclosure and transparency in client commission arrangements
Submitted by:   William T. George, Blue Sky Research Services
4-530 Jan. 8, 2007 Request for an extension of the implementation date of SEC Regulation NMS Trading Phase, targeted for February 5, 2007
Submitted by:   Mary Yeager, Assistant Secretary, New York Stock Exchange LLC
4-528 Dec. 28, 2006 Request for rulemaking under the Investment Company Act of 1940 to limit the application of the new disclosure requirements to registered investment company investments in "investment companies" and "private funds" as defined in former Rule 203(b)(3)-1(d) under the Investment Advisers of 1940
Submitted by:   Stephen Fisher, Senior Vice President and General Counsel and Eric Roiter, Senior Vice President and Deputy General Counsel, Fidelity Management & Research Company
4-525 Aug. 30, 2006 Request for rulemaking under the Securities Exchange Act of 1934 to provide owners of American Depository Receipts of certain foreign issuers with the ability to exercise certain traditional shareowner rights, including the ability to vote in the election of directors, and to submit and vote on shareowner proposals
Submitted by:   Steven J. Milloy and Thomas J. Borelli, Action Fund Management, LLC
4-521 Jun. 8, 2006 Request for rulemaking under the Securities Exchange Act of 1934 to require prompt disclosure of a Wells Notice when it is received by registrants
Submitted by:   Scott H. Schulke
4-519 Apr. 24, 2006 Request for rulemaking under the Securities Act of 1933 to expose and prevent unlawful and deceptive activities by securities promoters and their sponsors
Submitted by:   R. Cromwell Coulson, Pink Sheets LLC
Comments received are available for this proposal.
4-510   Request for rulemaking under the Investment Advisers Act of 1940 to extend certain compliance dates for Rule 202(a)(11)-1 from January 31, 2006 to March 31, 2006 concerning the Commission's final rule -- Certain Broker-Dealers Deemed Not to Be Investment Advisers
Comments received are available for this proposal.
  Jan. 20, 2006 Submitted by:   Dale E. Brown, Financial Services Institute, Inc.
  Jan. 13, 2006 Submitted by:   Carl B. Wilkerson, Esq., American Council of Life Insurers
  Jan. 10, 2006 Submitted by:   Ira D. Hammerman, Esq., Securities Industry Association
4-505 Jun. 28, 2005 Request for rulemaking to amend Rule 3a12-8 under the Securities Exchange Act of 1934 to include within its exemption the soverign debt of the Republic of Korea
Submitted by:   Philip McBride Johnson, Skadden, Arps, Slate, Meagher & Flom LLP
4-504 May 13, 2005 Request for rulemaking concerning corporate communication regarding company share buybacks
Submitted by:   James Schainuck, Jewel Investments
4-503 May 11, 2005 Request for rulemaking under the Investment Advisers Act of 1940 regarding retention and production of e-mail by investment advisers
Submitted by:   Committee on Investment Management Regulation, The Association of the Bar of the City of New York
Comments received are available for this proposal.
4-501 May 6, 2005 Request for rulemaking under the Securities Exchange Act of 1934 that would prevent the National Association of Securities Dealers, Inc. and the New York Stock Exchange from placing by contract any restriction on the use of either the paper copies or their database of arbitration awards and also preventing these organizations from requiring third party vendors to limit access to these awards, in their original form
Submitted by:   Daniel R. Solin, Esq.
Comments received are available for this proposal.
4-499 Apr. 8, 2005 Request for rulemaking under the Securities Exchange Act of 1934 regarding the definitions of "non-professional" and "professional" used by self-regulatory organizations and national market system plans
Submitted by:   Andrew C. Wels, Securities Industry Association
4-498 Feb. 11, 2005 Request for rulemaking concerning auditor independence
Submitted by:   Jeffry R. Haber, Iona College
4-496 Jan. 22, 2005 Request for rulemaking under Section 11A(a)(3)(B) of the Securities Exchange Act of 1934 to amend the Options Intermarket Linkage Plan to limit trade-through protection only to automated quotes
Submitted by:   Adam Cooper, Senior Managing Director and General Counsel, Citadel Investment Group, L.L.C.
4-495 Nov. 30, 2004 Request for rulemaking seeking repeal of rule 206(3)-1 (Exemption of investment advisers registered as broker-dealers in connection with the provision of certain investment advisory services) and that the Commission not adopt proposed rule 202(a)(11)-1 (Certain thrift institutions deemed not to be investment advisers) under the Investment Advisers Act
Submitted by:   Ron A. Rhoades, Joseph Capital Management, LLC
4-494 Jul. 29, 2004 Request for rulemaking requiring that a rating that is an assessment of the quality of a company's reported earnings be a listing requirement for any publicly traded company
Submitted by:   Richard S. Furlin, President, Furlin Financial
4-493 Apr. 12, 2004 Request for Rulemaking Concerning Shareholder Communications
Submitted by:   Steve Odland, Chairman-Corporate Governance Task Force, Business Roundtable
Comments received are available for this proposal.
4-492 Dec. 16, 2003 Request for Rulemaking Concerning Soft Dollars and Directed Brokerage
Submitted by:   Matthew Fink, President, Investment Company Institute
Comments received are available for this proposal.
4-490 Feb. 4, 2004 Request for Rulemaking to Amend Rule 1-02(w) under Regulation S-X to require complete disclosure of all subsidiaries for filers of Form 10-K, regardless of the size of the subsidiary
Submitted by:   Scott Schulke
Comments received are available for this proposal.
4-489 Oct. 3, 2003 Request for the Commission to Amend Rule 206(4)-1(a)(1) under the Investment Advisers Act of 1940 Concerning the Use of Testimonials by Investment Advisers Who Are Also Planners
Submitted by:   Chris Grande, Walnut Hill Advisors
4-486 Oct. 23, 2001 Request for rulemaking to exempt the government securities of the Republic of Singapore from Rule 3a12-8 under the Securities Exchange Act of 1934 for the purpose of trading the Singapore Government Bond futures contracts
Submitted by:   Mr. Jimmy Ang, Singapore Exchange Derivatives Trading Limited
4-484 July 29, 2003 Request for Rulemaking to Require that Amended Registrant Filings Include an Explicit Summary of Specific Changes in Language or Figures
Submitted by:   Scott H. Schulke
4-483   Request for Rulemaking under Section 12(g)(5) of the Securities Exchange Act of 1934 concerning securities held in "Street Name"
Comments received are available for this proposal.
  Feb. 24, 2009 Submitted by:   Lawrence J. Goldstein; Supplements to petition
  July 3, 2003 Submitted by:   Stephen Nelson, The Nelson Law Firm, on behalf of Nine Institutional Investors
4-491 May 15, 2003 Request for Rulemaking to Permit Shareholder-Nominated Director Candidates to Appear in Corporate Proxy Statements and Proxy Cards
Submitted by:   Richard L. Trumka, AFL-CIO
4-480 Apr. 14, 2003 Request for Rulemaking under the Securities Exchange Act of 1934 to Adopt New Rule 11Ac1-8 to Address the Practices of Trading-Through and Locking or Crossing OTC Quotes Across Separate Market Centers
Submitted by:   John M. Schaible, President, NexTrade Holdings, Inc.
Comments received are available for this proposal.
4-479 Apr. 11, 2003 Request for Rulemaking under the Securities Exchange Act of 1934 Concerning Trading of Nasdaq-Listed Securities
Submitted by:   Edward Knight, Executive Vice President, The Nasdaq Stock Market, Inc.
4-478 Apr. 3, 2003 Request for Rulemaking to Amend Rules 15c3-1 and 15c3-3 Concerning Net Capital and Collateral Treatment of Broker-Dealers' Investment in Shares of Certain Registered Investment Companies
Submitted by:   Paul Schott Stevens, Jack W. Murphy and Ethan D. Corey of Dechert LLP on behalf of Federated Investors, Inc.
Comments received are available for this proposal.
  Apr. 4, 2005 Amended
4-477 Mar. 24, 2003 Request for Rulemaking Requiring Pre-Notification and Disclosure of Certain Communications by Trial Lawyers
Submitted by:   Daniel J. Popeo, Chairman and General Counsel and Paul D. Kamenar, Senior Executive Counsel, Washington Legal Foundation
4-475 Sept. 4 2002 Request for Rulemaking Concerning Changes to Fundamental Investment Policies of Closed-End Funds (Section 12 - Majority of a Quorum to Approve a Change in Investment Policy)
Submitted by:   George W. Karpus, Karpus Investment Management
4-469 Nov. 1, 2002 Request for Rulemaking to Amend Rule 19c-5 Regarding Certain Options Exchange Licensing Arrangements
Submitted by:   David Krell, President and Chief Executive Officer, International Securities
Exchange
Comments received are available for this proposal.
4-465 Sept. 24, 2002 Request for Rulemaking Concerning Corporate Elections
Submitted by:   Deborah Pastor, Portfolio Manager, eRaider.com Inc.
Comments received are available for this proposal.
4-463 Sept. 20, 2002 Request for Rulemaking for Clarification of Material Disclosures with Respect to Financially Significant Environmental Liabilities and Compliance with Existing Material Financial Disclosures
Submitted by:   Jill Ratner, President, Rose Foundation for Communities and the Environment
Comments received are available for this proposal.
4-461 Aug. 1, 2002 Request for Rulemaking to Amend
Rule 14a-8(i) to Allow Shareholder Proposals To Elect Directors

Submitted by:   The Committee of Concerned Shareholders and James McRitchie
Comments received are available for this proposal.
4-457 May 23, 2002 Request for Rulemaking Concerning Definition of Investment Company
Submitted by:   Matthew A. Chambers and John C. Nagel, Wilmer, Cutler & Pickering, on behalf of the Biotechnology Industry Organization
4-450 Dec. 31, 2001 Request for Interpretive Release Concerning MD&A Under Regulation S-K, Item 303
Submitted by:   Arthur Andersen LLP, Deloitte and Touche LLP, Ernst & Young LLP, KPMG LLP, PricewaterhouseCoopers LLP, and the American Institute of Certified Public Accountants
Comments received are available for this proposal.
4-449 Dec. 12, 2001 Request for Rulemaking to Amend Regulation S-K, Items 401 and 404, Concerning Director Conflicts of Interest
Submitted by:   Richard Trumka, Secretary-Treasurer, American Federation of Labor and Congress of Industrial Organizations
4-448 Dec. 11, 2001 Request for Rulemaking Concerning Definition of Independent Auditor and Limiting Services Accounting Firms May Provide to Audit Clients
Submitted by:   Richard Trumka, Secretary-Treasurer, American Federation of Labor and Congress of Industrial Organizations

 

http://www.sec.gov/rules/petitions.shtml


Modified: 07/21/2014