SEC Proposed Rules: 2014

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
Third Quarter
33-9693	Dec. 18, 2014	Changes to Exchange Act Registration Requirements to Implement Title V and Title VI of the JOBS Act Other Release No.:   34-73876 File No.:   S7-12-14 Comments Due: March 2, 2015 Comments received are available for this proposal. Submit Comments on S7-12-14 Federal Register (79 FR 78343): HTML | PDF | text | XML
33-9643	Sep. 8, 2014	Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only By Eligible Contract Participant File No.:   S7-09-14 Comments Due: November 10, 2014 Comments received are available for this proposal. Submit Comments on S7-09-14 Federal Register (79 FR 54224): HTML | PDF | Text | XML
IA-3893	Aug. 12, 2014	Temporary Rule Regarding Principal Trades With Certain Advisory Clients File No.:   S7-23-07 Comments Due: September 17, 2014 Comments received are available for this proposal. Submit Comments on S7-23-07 Federal Register (79 FR 48709): HTML | PDF | Text | XML
IC-31184	Jul. 23, 2014	Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule (Corrected to conform to Federal Register version) File No.:   S7-07-11 Comments Due: October 14, 2014 Comments received are available for this proposal. Submit Comments on S7-07-11 See also:  Correction of IC-31184 Federal Register (79 FR 47985): HTML | PDF | Text | XML
Second Quarter
34-72440	Jun. 20, 2014	Freedom of Information Act Regulations: Fee Schedule, Addition of Appeal Time Frame, and Miscellaneous Administrative Changes File No.:   S7-07-14 Comments Due: July 28, 2014 Comments received are available for this proposal. See also:  Final Rule Release No. 34-75388 Federal Register (79 FR 36443): HTML | PDF | Text | XML
34-71958	Apr. 17, 2014	Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Capital Rule for Certain Security-Based Swap Dealers File No.:   S7-05-14 Comments Due: July 1, 2014 Comments received are available for this proposal. Submit Comments on S7-05-14 Federal Register (79 FR 25193): HTML | PDF | text | XML
33-9570	Apr. 3, 2014	Investment Company Advertising: Target Date Retirement Fund Names and Marketing Other Release Nos.:   34-71861; IC-31004 File No.:   S7-12-10 Comments Due:  June 9, 2014 Comments received are available for this proposal. Submit Comments on S7-12-10 See also:  Proposed Rule Release Nos. 33-9309 and 33-9126 Federal Register (79 FR 19564): HTML | PDF | Text | XML
First Quarter
33-9568	Mar. 28, 2014	Extension of Comment Period for Asset-Backed Securities Release Other Release Nos.:   34-71830 File No.:   S7-08-10 Comments Due:   April 28, 2014 Comments received are available for this proposal. Submit comments on S7-08-10 See also:  Proposed Rule Release Nos. 33-9552, 33-9244 and 33-9117 Federal Register (79 FR 18483): HTML | PDF | Text | XML
34-71699	Mar. 12, 2014	Standards for Covered Clearing Agencies File No.:   S7-03-14 Comments Due:  May 27, 2014 Comments received are available for this proposal. Submit comments on S7-03-14 Federal Register (79 FR 29507) [Republished to correct certain footnotes]: HTML | PDF | text | XML
33-9552	Feb. 25, 2014	Re-Opening of Comment Period for Asset-Backed Securities Release Other Release Nos.:   34-71611 File No.:   S7-08-10 Comments Due:   March 28, 2014 Comments received are available for this proposal. Submit comments on S7-08-10 See also:  Proposed Rule Release Nos. 33-9244 and 33-9117 Federal Register (79 FR 11361): HTML | PDF | text | XML