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:
| Release No. |
Date |
Details |
| Fourth Quarter |
|
33-9098 |
Dec. 18, 2009 |
Revisions to Rule 163
File No.: S7-30-09
Comments Due: January 27, 2010
Federal Register version
Comments received are available for this proposal.
Submit comments on S7-30-09
|
|
33-9086 |
Dec. 14, 2009 |
Facilitating Shareholder Director Nominations
Other Release Nos.: 34-61161, IC-29069
File No.: S7-10-09
Comments Due: January 19, 2010
Federal Register version
Comments received are available for this proposal.
Submit comments on S7-10-09
See also: Proposed Rule Release No. 33-9046
|
|
34-61051 |
Nov. 23, 2009 |
Proposed Rules for Nationally Recognized Statistical Rating Organizations
File No.: S7-28-09
Comments Due: February 2, 2010.
Federal Register version
Comments received are available for this proposal.
Submit comments on S7-28-09
|
|
34-60997 |
Nov. 13, 2009 |
Regulation of Non-Public Trading Interest (Corrected)
File No.: S7-27-09
Comments Due: February 22, 2010
Federal Register version
Comments received are available for this proposal.
Submit comments on S7-27-09
|
|
33-9070A |
Oct. 22, 2009 |
Credit Ratings Disclosure
Other Release Nos.: 34-60797A, IC-28942A
File No.: S7-24-09
See also: Proposed Rule Release No. 33-9070
Federal Register version
Comments received are available for this proposal.
|
|
33-9074 |
Oct. 19, 2009 |
Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
File No.: S7-23-09
Comments Due: November 23, 2009
Federal Register version
Comments received are available for this proposal.
See also: Final Rule Release No. 33-9087
|
|
33-9073 |
Oct. 14, 2009 |
Amendments to Rules Requiring Internet Availability of Proxy Materials
Other Release Nos.: 34-60825, IC-28946
File No.: S7-22-09
Comments Due: November 20, 2009.
Federal Register version
Comments received are available for this proposal.
Submit comments on S7-22-09
|
|
33-9070 |
Oct. 7, 2009 |
Credit Ratings Disclosure (Corrected)
Other Release Nos.: 34-60797; IC-28942
File Nos.: S7-24-09
Comments Due: December 14, 2009.
Federal Register version
Comments received are available for this proposal.
Submit comments on S7-24-09
See also: Proposed Rule Release No. 33-9070A
|
|
33-9069 |
Oct. 5, 2009 |
References to Ratings of Nationally Recognized Statistical Rating Organizations
Other Release Nos.: 34-60790, IA-2932, IC-28940
File Nos.: S7-17-08, S7-18-08, S7-19-08
Comments Due: December 8, 2009.
Federal Register version
Comments received are available for S7-17-08.
Submit comments on S7-17-08
Comments received are available for S7-18-08.
Submit comments on S7-18-08
Comments received are available for S7-19-08.
Submit comments on S7-19-08
See also: Proposed Rule Release No. 34-58070; Proposed Rule Release No. 33-8940; Proposed Rule Release No. IC-28327
|
| Third Quarter |
|
34-60684 |
Sep. 18, 2009 |
Elimination of Flash Order Exception From Rule 602 of Regulation NMS
File No.: S7-21-09
Comments Due: November 23, 2009
Federal Register version
Comments received are available for this proposal.
Submit comments on S7-21-09
|
|
34-60509 |
Aug. 17, 2009 |
Amendments to Regulation SHO
File No.: S7-08-09
Comments Due: September 21, 2009
Federal Register version
Comments received are available for this proposal.
Submit comments on S7-08-09
See also: Proposed Rule Release No. 34-59748 and Final Rule Release No. 34-61595
|
|
IA-2910 |
Aug. 3, 2009 |
Political Contributions by Certain Investment Advisers
File No.: S7-18-09
Comments Due: October 6, 2009
Federal Register version
Comments received are available for this proposal.
Submit comments on S7-18-09
|
|
34-60332 |
Jul. 17, 2009 |
Proposed Amendment to Municipal Securities Disclosure
File No.: S7-15-09
Comments Due: September 8, 2009
Federal Register version
Comments received are available for this proposal.
Submit comments on S7-15-09
|
|
33-9052 |
Jul. 10, 2009 |
Proxy Disclosure and Solicitation Enhancements
Other Release No.: 34-60280, IC-28817
File No.: S7-13-09
Comments Due: September 15, 2009
Federal Register version
Comments received are available for this proposal.
See also: Final Rule Release No. 33-9089
|
|
34-60218 |
Jul. 1, 2009 |
Shareholder Approval of Executive Compensation of TARP Recipients
File No.: S7-12-09
Comments Due: September 8, 2009
Federal Register version
Comments received are available for this proposal.
Submit comments on S7-12-09
See also: Final Rule Release No. 34-61335
|
| Second Quarter |
|
IC-28807 |
Jun. 30, 2009 |
Money Market Fund Reform
File No.: S7-11-09
Comments Due: September 8, 2009
Federal Register version
Comments received are available for this proposal.
Submit comments on S7-11-09
See also: Rule 2a-7 Amendments Proposed by SEC in June 2009, Marked to Show Changes from Current Rule 2a-7
|
|
33-9046 |
Jun. 10, 2009 |
Facilitating Shareholder Director Nominations
Other Release Nos.: 34-60089, IC-28765
File No.: S7-10-09
Comments Due: August 17, 2009
Federal Register version
Comments received are available for this proposal.
Submit comments on S7-10-09
See also: Proposed Rule Release No. 33-9086
|
|
IA-2876 |
May 20, 2009 |
Custody of Funds or Securities of Clients by Investment Advisers
File No.: S7-09-09
Comments Due: July 28, 2009
Federal Register version
Comments received are available for this proposal.
See also: Final Rule Release No. IA-2968
|
|
34-59769 |
Apr. 15, 2009 |
Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act
Other Release Nos.: IA-2866, IC-28697
File No.: S7-09-07
Comments Due: May 20, 2009
Federal Register version
Comments received are available for this proposal.
Submit comments on S7-09-07
See also: Proposed Rule Release No. 34-55497
|
|
34-59748 |
Apr. 10, 2009 |
Amendments to Regulation SHO
File No.: S7-08-09
Comments Due: June 19, 2009
Federal Register version
Comments received are available for this proposal.
Submit comments on S7-08-09
See also: Proposed Rule Release No. 34-60509 and Final Rule Release No. 34-61595
|
| First Quarter |
|
33-9005 |
Feb. 3, 2009 |
Roadmap for the Potential Use of Financial Statements Prepared in Accordance With International Financial Reporting Standards by U.S. Issuers
Other Release No.: 34-59350
File No.: S7-27-08
Comments Due: April 20, 2009
Federal Register version
Comments received are available for this proposal.
Submit comments on S7-27-08
See also: Proposed Rule Release No. 33-8982
|
|
34-59343 |
Feb. 2, 2009 |
Re-proposed Rules for Nationally Recognized Statistical Rating Organizations
File No.: S7-04-09
Comments Due: March 26, 2009
Federal Register version
Comments received are available for this proposal.
See also: Final Rule Release No. 34-61050
|
