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SEC Proposed Rules

Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

Additional Archives

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Release No. Date Details
Fourth Quarter
33-9497 Dec. 18, 2013 Proposed Rule Amendments for Small and Additional Issues Exemptions Under Section 3(b) of the Securities Act (Conformed to Federal Register version)
Other Release Nos.:   34-71120; 39-2493
File No.:   S7-11-13
Comments Due: March 24, 2014
Comments received are available for this proposal.
Federal Register (79 FR 3925): HTML | PDF | text | XML
33-9470 Oct. 23, 2013 Crowdfunding (Corrected to conform to Federal Register version)
Other Release Nos.:   34-70741
File No.:   S7-09-13
Comments Due: February 3, 2014
Comments received are available for this proposal.
Federal Register (78 FR 66427): HTML | PDF | text | XML
Third Quarter
33-9458 Sep. 27, 2013 Re-opening of Comment Period for Amendments to Regulation D, Form D and Rule 156
Other Release Nos.:   34-70538, IC-30737
File No.:   S7-06-13
Comments Due: November 4, 2013
Comments received are available for this proposal.
See also:  Proposed Rule: Release No. 33-9416; Division of Economic and Risk Analysis White Paper: Capital Raising in the U.S.: An Analysis of Unregistered Offerings Using the Regulation D Exemption, 2009-2012
Federal Register (78 FR 61222): HTML | PDF | text | XML
33-9452 Sep. 18, 2013 Pay Ratio Disclosure
Other Release No.:   34-70443
File No.:   S7-07-13
Comments Due:   December 2, 2013
Comments received are available for this proposal.
Federal Register (78 FR 60559): HTML | PDF | text | XML
34-70277 Aug. 28, 2013 Credit Risk Retention (Corrected to conform to Federal Register version)
File No.:   S7-14-11
Comments Due:   October 30, 2013
Comments received are available for this proposal.
See also:  Division of Economic and Risk Analysis White Paper: Qualified Residential Mortgage: Background Data Analysis on Credit Risk Retention; Proposed Rule Release Nos. 34-64603 and 34-64148
Federal Register: (78 FR 57927): HTML | PDF | Text | XML
33-9416 Jul. 10, 2013 Amendments to Regulation D, Form D and Rule 156 under the Securities Act (Corrected to Conform to the Federal Register Version)
Other Release Nos.:   34-69960, IC-30595
File No.:   S7-06-13
Comments Due: September 23, 2013
Comments received are available for this proposal.
See also:  Re-opening of Comment Period: Release No. 33-9458; Division of Economic and Risk Analysis White Paper: Capital Raising in the U.S.: An Analysis of Unregistered Offerings Using the Regulation D Exemption, 2009-2012
Federal Register (78 FR 44806): HTML | PDF | text | XML
Second Quarter
33-9408 Jun. 5, 2013 Money Market Fund Reform; Amendments to Form PF
Other Release Nos.:   IA-3616, IC-30551
File No.:   S7-03-13
Comments Due:  September 17, 2013
Comments received are available for this proposal.
Federal Register: HTML | PDF | text | XML
34-69606 May 20, 2013 Regulation Systems Compliance and Integrity (extension of comment period)
File No.:   S7-01-13
Comments Due:   July 8, 2013
Comments received are available for this proposal.
See also:  Proposed Rule Release No. 34-69077
Federal Register: HTML | PDF | text | XML
34-69491 May 1, 2013 Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act
File Nos.:   S7-27-10, S7-32-10, S7-34-10, S7-35-10, S7-43-10, S7-03-11, S7-06-11, S7-08-11, S7-25-11, S7-40-11, S7-05-12, S7-08-12
Comments Due:   July 22, 2013 Federal Register: (78 FR 30800) HTML | PDF | Text | XML
34-69490 May 1, 2013 Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and Forms Relating to the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
File Nos.:   S7-02-13, S7-34-10, S7-40-11
Comments Due:   August 21, 2013
Comments received are available for this proposal.
See also:
  • Appendix A: Tables illustrating the Commission's proposed application of Title VII to cross-border security-based swap activity
  • Appendix B: Table illustrating registration of security-based swap dealers under proposal
  • Appendix C: Re-proposed registration forms
  • Appendix D: List of commenters
Proposed Rule Release Nos. 34-63346; 34-65543
Federal Register: (78 FR 30967) HTML | PDF | Text | XML
First Quarter
34-69077 Mar. 8, 2013 Regulation Systems Compliance and Integrity (Proposed Rule and Form; Proposed Rule Amendment; Corrected to conform to Federal Register version)
File No.:   S7-01-13
Comments Due:   May 24, 2013
Comments received are available for this proposal.
See also:  Proposed Rule Release No. 34-69606
Federal Register (78 FR 18083): HTML | PDF | text | XML
34-68660 Jan. 15, 2013 Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers (Extension of Comment Period)
File No.:   S7-08-12
Comments Due:   60 days from publication of 34-69491 in the Federal Register
Comments received are available for this proposal.
See also:  Proposed Rule Release No. 34-68071
Federal Register (78 FR 4365): HTML | PDF | text | XML

 

http://www.sec.gov/rules/proposed/proposedarchive/proposed2013.shtml

Modified: 05/06/2014