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:

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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