SEC Proposed Rules

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:

First Quarter

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Release No.	Date	Details
First Quarter
34-69606	May 20, 2013	Regulation Systems Compliance and Integrity (extension of comment period) File No.:   S7-01-13 Comments Due:   July 8, 2013 Comments received are available for this proposal. Submit comments on S7-01-13 See also:  Proposed Rule Release No. 34-69077
34-69491	May 1, 2013	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 File Nos.:   S7-27-10, S7-32-10, S7-34-10, S7-35-10, S7-43-10, S7-03-11, S7-06-11, S7-08-11, S7-25-11, S7-40-11, S7-05-12, S7-08-12 Comments Due:   July 22, 2013 Submit comments on S7-27-10 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 Submit comments on S7-32-10 Prohibition Against Fraud, Manipulation, and Deception in Connection with Security-Based Swaps Submit comments on S7-34-10 Regulation SBSR - Reporting and Dissemination of Security-Based Swap Information Submit comments on S7-35-10 Security-Based Swap Data Repository Registration, Duties, and Core Principles Comments received are available for this proposal. Submit comments on S7-43-10 End-User Exception to Mandatory Clearing of Security-Based Swaps Submit comments on S7-03-11 Trade Acknowledgment and Verification of Security-Based Swap Transactions Submit comments on S7-06-11 Registration and Regulation of Security-Based Swap Execution Facilities (Proposed Interpretation) Submit comments on S7-08-11 Clearing Agency Standards for Operation and Governance Submit comments on S7-25-11 Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants Submit comments on S7-40-11 Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants Submit comments on S7-05-12 Statement of General Policy on the Sequencing of the Compliance Dates for Final Rules Applicable to Security-Based Swaps Adopted Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act Submit comments on S7-08-12 Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers Federal Register: (78 FR 30800) HTML | PDF | Text | XML
34-69490	May 1, 2013	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 File Nos.:   S7-02-13, S7-34-10, S7-40-11 Comments Due:   August 21, 2013 Comments received are available for this proposal. Submit comments on S7-02-13 See also: Appendix A: Tables illustrating the Commission's proposed application of Title VII to cross-border security-based swap activity Appendix B: Table illustrating registration of security-based swap dealers under proposal Appendix C: Re-proposed registration forms Appendix D: List of commenters Federal Register: (78 FR 30967) HTML | PDF | Text | XML
34-69077	Mar. 8, 2013	Regulation Systems Compliance and Integrity (Proposed Rule and Form; Proposed Rule Amendment; Corrected to conform to Federal Register version) File No.:   S7-01-13 Comments Due:   May 24, 2013 Comments received are available for this proposal. Submit comments on S7-01-13 See also:  Proposed Rule Release No. 34-69606 Federal Register (78 FR 18083): HTML | PDF | text | XML
34-68660	Jan. 15, 2013	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) File No.:   S7-08-12 Comments Due:   60 days from publication of 34-69491 in the Federal Register Comments received are available for this proposal. Submit comments on S7-08-12 See also:  Proposed Rule Release No. 34-68071 Federal Register (78 FR 4365): HTML | PDF | text | XML