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SEC Proposed Rules: 2011

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

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Release No. Date Details
Fourth Quarter
34-66058 Dec. 23, 2011 Prohibition Against Conflicts of Interest in Certain Securitizations (extension of comment period)
File No.:   S7-38-11
Federal Register: HTML | PDF | text | XML
Comments Due:   February 13, 2012
Comments received are available for this proposal.
See also:  Proposed Rule Release Nos. 34-65942 and 34-65355
34-66057 Dec. 23, 2011 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds (extension of comment period)
File No.:   S7-41-11
Federal Register: HTML | PDF | text | XML
Comments Due:   February 13, 2012
Comments received are available for this proposal.
See also:  Proposed Rule Release No. 34-65545
34-65942 Dec. 13, 2011 Prohibition Against Conflicts of Interest in Certain Securitizations (extension of comment period)
File No.:   S7-38-11
Federal Register: HTML | PDF | Text | XML
Comments Due:   January 13, 2012
Comments received are available for this proposal.
See also:  Proposed Rule Release No. 34-65355 and 34-66058
34-65545 Oct. 12, 2011 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds (Notice of Proposed Rulemaking) [Corrected to conform to Federal Register version]
File No.:   S7-41-11
Federal Register: HTML | PDF | Text | XML
Comments Due:   January 13, 2012
Comments received are available for this proposal.
See also:  Proposed Rule Release No. 34-66057
34-65543 Oct. 12, 2011 Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
File No.:   S7-40-11
Federal Register: HTML | PDF | text | XML
Comments Due:   60 days from publication of 34-69491 in the Federal Register
Comments received are available for this proposal.
Additional Materials:
Form SBSE
Form SBSE-A
Form SBSE-BD
Form SBSE-C
Form SBSE-W
See also:  Security-Based Swaps Implementation Policy Statement
Third Quarter
34-65355 Sep. 19, 2011 Prohibition against Conflicts of Interest in Certain Securitizations
File No.:   S7-38-11
Federal Register version
Comments Due:   December 19, 2011
Comments received are available for this proposal.
See also:  Proposed Rule Release No. 34-65942 and 34-66058
33-9251 Aug. 8, 2011 Covered Securities Pursuant to Section 18 of the Securities Act of 1933
File No.:   S7-31-11
Comments Due:   September 12, 2011
Federal Register version
Comments received are available for this proposal.
See also:  Final Rule Release No. 33-9295
33-9244 Jul. 26, 2011 Re-proposal of Shelf Eligibility Conditions for Asset-Backed Securities and Other Additional Requests for Comment
Other Release No.:   34-64968
File No.:   S7-08-10
Comments Due:   October 4, 2011
Federal Register version
Comments received are available for this proposal.
See also:  Proposed Rule Release No. 33-9117
Second Quarter
34-64766 Jun. 29, 2011 Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
File No.:   S7-25-11
Comments Due:   60 days from publication of 34-69491 in the Federal Register
Federal Register version; See also Correction
Comments received are available for this proposal.
See also:  Security-Based Swaps Implementation Policy Statement
34-64676 Jun. 15, 2011 Broker-Dealer Reports
File No.:   S7-23-11
Comments Due:   August 26, 2011
Federal Register version
Comments received are available for this proposal.
33-9222 Jun. 9, 2011 Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies
File No.:   S7-22-11
Comments Due:   July 25, 2011
Federal Register version
Comments received are available for this proposal.
See also:  Final Rule Release No. 33-9308
34-64603 Jun. 6, 2011 Credit Risk Retention (extension of comment period)
File No.:   S7-14-11
Comments Due:   August 1, 2011
Federal Register version
Comments received are available for this proposal.
See also:  Proposed Rule Release No. 34-64148
33-9204A Jun. 1, 2011 Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping (Joint Proposed Rules; Proposed Interpretation; Correction)
Other Release No.:   34-64372A
File No.:   S7-16-11
Federal Register version
See also:  Proposed Rule Release No. 33-9204
33-9211 May 25, 2011 Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings
File No.:   S7-21-11
Comments Due:   July 14, 2011
Federal Register version
Comments received are available for this proposal.
PA-45 May 18, 2011 Privacy Act of 1974: Implementation and Amendment of Exemptions
File No.:   S7-19-11
Comments Due:   June 23, 2011
Federal Register version
Comments received are available for this proposal.
See also:  Final Rule Release No. PA-47
34-64514 May 18, 2011 Proposed Rules for Nationally Recognized Statistical Rating Organizations (Corrected version - adds missing file nos. on pages 2, 348 and 349)
File No.:   S7-18-11
Comments Due:   August 8, 2011
Federal Register version
Comments received are available for this proposal.
IA-3198 May 10, 2011 Investment Adviser Performance Compensation (Notice of Intent to Issue Order)
File No.:   S7-17-11
Comments Due:   July 11, 2011
Federal Register version
Comments received are available for this proposal.
See also:  Order: Release No. IA-3236; Final Rule: Release No. IA-3372
33-9204 Apr. 29, 2011 Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping (Proposed Interpretations) (Corrected to conform to Federal Register version)
Other Release No.:   34-64372
File No.:   S7-16-11
Comments Due:   July 22, 2011
Federal Register versions: 33-9204 and 33-9204A
Comments received are available for this proposal.

See also:  Proposed Rule Release No. 33-9204A; Security-Based Swaps Implementation Policy Statement
33-9203 Apr. 29, 2011 Listing Standards for Compensation Committees (extension of comment period)
Other Release No.:   34-64366
File No.:   S7-13-11
Comments Due:   May 19, 2011
Federal Register version
Comments received are available for this proposal.
See also:  Proposed Rule Release No. 33-9199; Final Rule Release No. 33-9330
34-64352 Apr. 27, 2011 Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934
File No.:   S7-15-11
Comments Due:   July 5, 2011
Federal Register version
Comments received are available for this proposal.
First Quarter
34-64148 Mar. 30, 2011 Credit Risk Retention
File No.:   S7-14-11
Comments Due:   June 10, 2011
Federal Register version
Comments received are available for this proposal.
See also:  Proposed Rule Release No. 34-64603 (extension of comment period)
33-9199 Mar. 30, 2011 Listing Standards for Compensation Committees
File No.:   S7-13-11
Comments Due:   April 29, 2011
Federal Register version
Comments received are available for this proposal.
See also:  Proposed Rule Release No. 33-9203; Final Rule Release No. 33-9330
34-64140 Mar. 29, 2011 Incentive-Based Compensation Arrangements
File No.:   S7-12-11
Comments Due:   May 31, 2011
Federal Register version
Comments received are available for this proposal.
34-64099 Mar. 18, 2011 Proposed amendments to Rule 17Ad-17; Transfer agents', brokers', and dealers' obligation to search for lost securityholders; paying agents' obligation to search for missing securityholders
File No.:   S7-11-11
Comments Due:   May 9, 2011
Federal Register version
Comments received are available for this proposal.
34-64087 Mar. 17, 2011 Beneficial Ownership Reporting Requirements and Security-Based Swaps
File No.:   S7-10-11
Comments Due:   April 15, 2011
Federal Register version
Comments received are available for this proposal.
See also:  Final Rule Release No. 34-64628
34-64018 Mar. 3, 2011 Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC (Reopening of Comment Period)
File No.:   S7-27-10
Comments Due:   April 29, 2011
Federal Register version
Comments received are available for this proposal.
See also:  Proposed Rule Release No. 34-63107
34-64017 Mar. 3, 2011 Clearing Agency Standards for Operation and Governance
File No.:   S7-08-11
Comments Due:   60 days from publication of 34-69491 in the Federal Register
Federal Register version
Comments received are available for this proposal.
See also:  Security-Based Swaps Implementation Policy Statement
33-9193 Mar. 3, 2011 References to Credit Ratings in Certain Investment Company Act Rules and Forms
Other Release No.:   IC-29592
File No.:   S7-07-11
Comments Due:   April 25, 2011
Federal Register version
Comments received are available for this proposal.
See also:  Final Rule Release No. IC-30268
33-9186 Feb. 9, 2011 Security Ratings
Other Release No.:   34-63874
File No.:   S7-18-08
Comments Due:   March 28, 2011
Federal Register version
Comments received are available for this proposal.
See also:  Final Rule Release No. 33-9245
34-63825 Feb. 2, 2011 Registration and Regulation of Security-Based Swap Execution Facilities (Proposed Interpretation)
File No.:   S7-06-11
Comments Due:   60 days from publication of 34-69491 in the Federal Register
Federal Register version
Comments received are available for this proposal.
See also:  Security-Based Swaps Implementation Policy Statement
34-63795 Jan. 28, 2011 Disclosure of Payments by Resource Extraction Issuers (extension of comment period)
File No.:   S7-42-10
Comments Due:   March 2, 2011
Federal Register version
Comments received are available for this proposal.
See also:  Proposed Rule Release No. 34-63549 and Final Rule Rel. No. 34-67717
33-9179 Jan. 28, 2011 Mine Safety Disclosure (extension of comment period)
Other Release No.:   34-63794
File No.:   S7-41-10
Comments Due:   March 2, 2011
Federal Register version
Comments received are available for this proposal.
See also:  Proposed Rule Release No. 33-9164
34-63793 Jan. 28, 2011 Conflict Minerals (extension of comment period)
File No.:   S7-40-10
Comments Due:   March 2, 2011
Federal Register version
Comments received are available for this proposal.
< See also:  Proposed Rule Release No. 34-63547 and Final Rule Rel. No. 34-67716
IA-3145 Jan. 26, 2011 Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
File No.:   S7-05-11
Comments Due:   April 12, 2011
Federal Register version
Comments received are available for this proposal.
See also:  Final Rule Release No. IA-3308
33-9177 Jan. 25, 2011 Net Worth Standard for Accredited Investors
Other Release No.:   IA-3144, IC-29572
File No.:   S7-04-11
Comments Due:   March 11, 2011
Federal Register version
Comments received are available for this proposal.
See also:  Final Rule Release No. 33-9287
34-63727 Jan. 14, 2011 Trade Acknowledgment and Verification of Security-Based Swap Transactions
File No.:   S7-03-11
Comments Due:   60 days from publication of 34-69491 in the Federal Register
Federal Register version
Comments received are available for this proposal.
See also:  Security-Based Swaps Implementation Policy Statement
34-63652 Jan. 6, 2011 Suspension of the Duty to File Reports for Classes of Asset-Backed Securities Under Section 15(d) of the Securities Exchange Act of 1934
File No.:   S7-02-11
Comments Due:   February 7, 2011
Federal Register version
Comments received are available for this proposal.
See also:  Final Rule Release No. 34-65148

 

http://www.sec.gov/rules/proposed/proposedarchive/proposed2011.shtml

Modified: 05/06/2014