SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


SEC Proposed Rules Archive: 2009

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

RSS Feed   SEC Proposed Rules RSS Feed

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.
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.
See also:  Final Rule Release No. 33-9259; FR Notice of Stay of Effective and Compliance Dates; Order Granting Stay; Final Rule Release No. 33-9136; 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.
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.
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.
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.
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.
Comments received are available for S7-18-08.
Comments received are available for S7-19-08.
See also:  Proposed Rule Release No. 34-58070; Proposed Rule Release No. 33-8940; Proposed Rule Release No. IC-28327
See also:  Final Rule Release No. 33-9245
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.
See also:  Proposed Rule Release No. 34-62445
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.
See also:  Final Rule Release No. 34-63247; Final Rule Release No. 34-61595; Proposed Rule Release No. 34-59748
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.
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.
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.
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.

See also:  Rule 2a-7 Amendments Proposed by SEC in June 2009, Marked to Show Changes from Current Rule 2a-7; Final Rule Release No. IC-29132
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.

See also:  Final Rule Release No. 33-9259; FR Notice of Stay of Effective and Compliance Dates; Order Granting Stay; Final Rule Release No. 33-9136; 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.
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.
See also:  Final Rule Release No. 34-63247; Final Rule Release No. 34-61595; Proposed Rule Release No. 34-60509
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.
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

 

http://www.sec.gov/rules/proposed/proposedarchive/proposed2009.shtml

Modified: 05/21/2014