SEC Proposed Rules: 2013
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 | ||
33-9497 | 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 availablefor this proposal. See also: Final Rule: Release No. 33-9741 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 availablefor this proposal. |
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 availablefor this proposal. 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 availablefor this proposal. See also: Final Rule Release No. 33-9877; Division of Economic and Risk Analysis Memorandum: Potential Effect on Pay Ratio Disclosure of Exclusion of Different Percentages of Employees at a Range of Thresholds Division of Economic and Risk Analysis Memorandum: Extension of the Analysis of the Potential Effect on Pay Ratio Disclosure of Exclusion of Different Percentages of Employees at a Range of Thresholds 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 availablefor 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. 34-64603and 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 availablefor this proposal. 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 availablefor this proposal. |
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 availablefor this proposal. See also: Final Rule Correction Release No. 34-73639A; Final Rule Release No. 34-73639; Staff Guidance on Current SCI Industry Standards; 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
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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 availablefor this proposal.
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 availablefor this proposal. See also: Final Rule Correction Release No. 34-73639A; Final Rule Release No. 34-73639; Staff Guidance on Current SCI Industry Standards; 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 34-69491in the Federal Register Comments received are availablefor this proposal. Federal Register (78 FR 4365): HTML| PDF| text| XML |