|
|
 |
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:
Fourth Quarter |
Third Quarter |
Second Quarter |
First Quarter
Additional Archives
2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | 1995 | 1994
SEC Proposed Rules RSS Feed
| Release No. |
Date |
Details |
| Fourth Quarter |
|
34-76624 |
Dec. 11, 2015 |
Establishing the Form and Manner with which Security-Based Swap Data Repositories Must Make Security-Based Swap Data Available to the Commission
File No.: S7-26-15
Comments Due: 60 days after publication in the Federal Register
|
|
IC-31933 |
Dec. 11, 2015 |
Use of Derivatives by Registered Investment Companies and Business Development Companies
File No.: S7-24-15
Comments Due: 90 days after publication in the Federal Register
Comments received are available for this proposal.
See also: DERA White Paper: Use of Derivatives by Registered Investment Companies
|
|
34-76620 |
Dec. 11, 2015 |
Disclosure of Payments by Resource Extraction Issuers
File No.: S7-25-15
Comments Due: Initial comments are due on January 25, 2016. Reply comments, which may respond only to issues raised in the initial comment period, are due on February 16, 2016.
|
|
34-76474 |
Nov. 18, 2015 |
Regulation of NMS Stock Alternative Trading Systems
File No.: S7-23-15
Comments Due: 60 days after publication in the Federal Register
Comments received are available for this proposal.
|
|
33-9973 |
Oct. 30, 2015 |
Proposed Rule Amendments to Facilitate Intrastate and Regional Securities Offerings (Corrected to Conform to Federal Register Version)
Other Release No.: 34-76319
File No.: S7-22-15
Comments Due: January 11, 2016
Comments received are available for this proposal.
Federal Register (80 FR 69785): HTML | PDF | Text | XML
See also: DERA White Paper: Capital Raising in the U.S.: An Analysis of the Market for Unregistered Securities Offerings, 2009-2014
|
| Third Quarter |
|
34-75977 |
Sep. 24, 2015 |
Amendments to the Commission's Rules of Practice
File No.: S7-19-15
Comments Due: December 4, 2015
Comments received are available for this proposal.
Federal Register (80 FR 60082):
HTML
|
PDF
|
Text
|
XML
|
|
34-75976 |
Sep. 24, 2015 |
Amendments to the Commission's Rules of Practice
File No.: S7-18-15
Comments Due: December 4, 2015
Comments received are available for this proposal.
Federal Register (80 FR 60091):
HTML
|
PDF
|
Text
|
XML
|
|
33-9922 |
Sep. 22, 2015 |
Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release (Conformed to Federal Register version)
Other Release No.: IC-31835
File No.: S7-16-15
Comments Due: January 13, 2016
Comments received are available for this proposal.
Federal Register (80 FR 62273):
HTML
|
PDF
|
Text
|
XML
See also: Division of Economic and Risk Analysis White Paper: Liquidity and Flows of U.S. Mutual Funds
|
|
34-75845 |
Sep. 4, 2015 |
Access to Data Obtained by Security-Based Swap Data Repositories and Exemption from Indemnification Requirement
File No.: S7-15-15
Comments Due: October 29, 2015
Comments received are available for this proposal.
Federal Register (80 FR 55181):
HTML
|
PDF
|
Text
|
XML
|
|
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
Comments received are available for this proposal.
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: January 13, 2016
Comments received are available for this proposal.
See also: Proposed Amendments to Regulation S-X;
Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release
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 SBSR—Reporting 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
|
