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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:

Third Quarter |  Second Quarter |  First Quarter

Additional Archives

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Release No. Date Details
Third Quarter
34-75612 Aug. 5, 2015 Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons to Effect or Be Involved in Effecting Security-Based Swaps
File No.:   S7-14-15
Comments Due:   October 26, 2015 Federal Register (80 FR 51683): HTML | PDF | Text | XML
33-9861 Jul. 1, 2015 Listing Standards for Recovery of Erroneously Awarded Compensation
Other Release Nos.: 34-75342; IC-31702
File No.:   S7-12-15
Comments Due:   September 14, 2015
Comments received are available for this proposal.
Federal Register (80 FR 41143): HTML | PDF | text | XML
Second Quarter
IA-4091 May 20, 2015 Amendments to Form ADV and Investment Advisers Act Rules
File No.:   S7-09-15
Comments Due:   August 11, 2015
Comments received are available for this proposal.
See also: Appendix A: Form ADV: General Instructions;
Appendix B: Form ADV: Instructions for Part 1A;
Appendix C: Form ADV: Glossary of Terms;
Appendix D: Form ADV: Part 1A
Federal Register (80 FR 33717): HTML | PDF | Text | XML
33-9776 May 20, 2015 Investment Company Reporting Modernization (Corrected to Conform to Federal Register Version)
Other Release Nos.:   34-75002; IC-31610;
File No.:   S7-08-15
Comments Due:   August 11, 2015
Comments received are available for this proposal.
See also: Proposed Amendments to Regulation S-X
Federal Register (80 FR 33589): HTML | PDF | Text | XML
34-74835 Apr. 29, 2015 Pay Versus Performance
File No.:   S7-07-15
Comments Due:   July 6, 2015
Comments received are available for this proposal.
Federal Register (80 FR 26329): HTML | PDF | Text | XML
34-74834 Apr. 29, 2015 Application of Certain Title VII Requirements to Security-Based Swap Transactions Connected with a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed By Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent
File No.:   S7-06-15
Comments Due:   July 13, 2015
Comments received are available for this proposal.
Federal Register (80 FR 27443): HTML | PDF | Text | XML
First Quarter
34-74581 Mar. 25, 2015 Exemption for Certain Exchange Members
File No.:   S7-05-15
Comments Due:   June 1, 2015
Comments received are available for this proposal.
34-74245 Feb. 11, 2015 Regulation SBSRóReporting and Dissemination of Security-Based Swap Information (Corrected to Conform to Federal Register Version)
File No.:   S7-03-15
Comments Due:   May 4, 2015
Comments received are available for this proposal.
See also: Administrative Notice
Federal Register (80 FR 14739): HTML | PDF | text | XML
33-9723 Feb. 9, 2015 Disclosure of Hedging by Employees, Officers and Directors
Other Release Nos.:   34-74232; IC-31450
File No.:   S7-01-15
Comments Due:   April 20, 2015
Comments received are available for this proposal.

Federal Register (80 FR 8485): HTML | PDF | text | XML

 

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

Modified: 09/03/2015