Appendix A

The following is a list of rulemaking provisions in the Dodd-Frank Act applicable to the SEC.  The provisions are divided into three categories, depending on whether the SEC has issued final rules, proposed rules, or has not issued a rulemaking release with respect to each provision. 

Final Rules

Sec. 404—Records to be maintained and reports to be provided by private funds (Form PF)

Sec. 406—Disclosure rules on private funds

Sec. 407—Exemption of venture capital fund advisers, definition of “venture capital fund”

Sec. 408—Exemption from registration by certain private fund advisers

Sec. 409—Family office

Sec. 410—Asset threshold for federal registration of investment advisers

Sec. 411—Custody of client accounts by registered investment advisers (completed prior to Dodd-Frank Act)

Sec. 413(a)—Adjustment of the accredited investor standard

Sec. 418—Qualified client standard, inflation adjustment

Sec. 712—Joint CFTC and SEC rulemaking regarding mixed swaps

Sec. 712(d)(1)—Joint CFTC and SEC rulemaking concerning swaps-related definitions

Sec. 712(d)(2)(B)—Joint CFTC and SEC rulemaking regarding recordkeeping by trade repositories with respect to security-based swaps transactions

Sec. 712(d)(2)(C)—Joint CFTC and SEC rulemaking regarding recordkeeping by dealers and participants for security based swap transactions

Sec. 742(c)—Rules applicable to retail commodity transactions

Sec. 761(b)—Rules to further define “commercial risk” and other terms

Sec. 761(a)(6)—Rules to facilitate identification of major security-based swap participants

Sec. 761(a)(6)—Exemption from the definition of security-based swap dealer for de minimis activity

Sec. 763(a)—Rules to request information from persons claiming the end-user exception and prevent abuse of exceptions to swap rules

Sec. 763(a)—Rules providing process for clearing agencies to submit information to the SEC about security-based swaps to determine whether they should be subject to a mandatory clearing requirement (it is possible there may be additional rules)

Sec. 763(a)—Rules for providing a process for staying a clearing requirement and reviewing clearing arrangements for swaps approved by the SEC for clearing (it is possible there may be additional rules)

Sec. 763(a)—Rules to prevent evasion of clearing requirements (it is possible there may be additional rules)

Sec. 763(b)—Rules governing clearing agencies for security-based swaps

Sec. 766(a)—Transition rules regarding the reporting of pre-enactment security-based swap transactions

Sec. 766(b)—Beneficial ownership reporting for certain security-based swaps

Sec. 805(a)(2)(A)—Authority to prescribe risk management standards for designated clearing entities

Sec. 806(e)(1)—Procedures for changes to rules, procedures or operation of designated financial market utilities

Sec. 916—Streamlining of filing procedures for self-regulatory organizations

Sec. 924—Whistleblower provisions

Sec. 926—Disqualifying felons and other “bad actors” from Regulation D offerings

Sec. 929W—Notice to missing security holders

Sec. 939A—Review of reliance on credit ratings (some removals of references to ratings are in the proposed stage)

Sec. 939B—Elimination of exemption from fair disclosure rule

Sec. 942(a)—Suspension of section 15(d) duty to file

Sec. 943—Representations and warranties in asset-backed securities offerings

Sec. 945—Due diligence analysis and disclosure in asset-backed securities issues

Sec. 951—Shareholder approval of executive compensation (Securities Act rules are finalized, Advisers Act rules are in the proposed stage)

Sec. 952—Compensation committee independence—Direction of SROs to take action to prohibit listing of certain securities unless issuers comply with independence requirements

Sec. 952—Compensation committee independence—Factors that may affect independence

Sec. 952—Compensation committee independence—Proxy disclosure regarding compensation consultants

Sec. 971—Proxy access rules (portion of rulemaking has been vacated)

Sec. 972—Chairman/CEO structure disclosure in annual proxy

Sec. 975—Municipal advisor regulation (temporary interim final rule)

Sec. 982—Rules for auditor oversight of brokers and dealers

Sec. 989G—Exemption for non-accredited filers

Sec. 1088(a)(8)—Identity theft red flag guidelines and regulations

Sec. 1502—Conflict minerals

Sec. 1503(d)(2)—Reporting requirements regarding coal or other mine safety

Sec. 1504—Disclosure of payments by resource extraction issuers (rule has been vacated)

Proposed Rules

Sec. 619—Prohibition on proprietary trading and certain relationships with hedge funds and private equity funds

Sec. 621—Conflicts of interest regarding certain securitizations

Sec. 763(a)—Transition reporting rules for security-based swaps

Sec. 763(c)—Data collection and reporting rules for security-based swap execution facilities

Sec. 763(c)—Rules governing security-based swap execution facilities

Sec. 763(d)—Rules permitting commingling of property with respect to certain cleared security-based swap transactions

Sec. 763(d)—Rules regarding certain permitted investments of segregated property

Sec. 763(d)—Rules regarding counterparty requests for segregation of property relating to undeclared security-based swaps

Sec. 763(g)—Rules regarding fraud in the security-based swap market

Sec. 763(i)—Rules providing for public availability of security-based swap transaction and pricing data

Sec. 763(i)—Rules regarding the types of data to be collected with respect to security–based swap transactions

Sec. 763(i)—Duties and core principles of security-based swap data repositories

Sec. 763(i)—Rules governing security-based swap data repositories’ CCOs, annual compliance reports, and financial reports

Sec. 763(i)—Rules setting forth requirements for public dissemination of security-based swap transaction data

Sec. 763(i)—Rules governing the registration of security-based swap data repositories

Sec. 764—Rules regarding the registration of security-based swap dealers or major security-based swap participants

Sec. 764(a)—Rules, including capital and margin, governing security-based swap dealers and major security-based swap participants that are not banks

Sec. 764(a)—Business conduct standards applicable to security-based swap dealers and major security-based swap participants

Sec. 764(a)—Rules relating to documentation of security-based swap transactions

Sec. 764(a)—Duties of security-based swap dealers and major security-based swap participants related to monitoring of trading, risk management procedures, disclosure of general information, ability to obtain information, conflicts of interest, and antitrust considerations

Sec. 765(a)—Conflicts of interest related to security-based swap trading and clearing

Sec. 766(a)—Reporting of uncleared security-based swap transactions

Sec. 766(a)—Recordkeeping for certain security-based swap transactions

Sec. 932(a)(2)(A)—Internal controls over process for determining credit ratings

Sec. 932(a)(4)—Separation of ratings from sales and marketing

Sec. 932(a)(4)—Separation of ratings from sales and marketing (look back)

Sec. 932(a)(8)—Office of Credit Ratings, issuance of rules to carry out functions

Sec. 932(a)(8)—Transparency of credit ratings performance

Sec. 932(a)(8)—Credit ratings methodologies

Sec. 932(a)(8)—Transparency of credit rating methodologies and information reviewed

Sec. 932(a)(8)—Due diligence services for asset-backed securities

Sec. 936—Qualification standards for credit rating analysts

Sec. 938—Universal ratings symbols

Sec. 939(c)—Removal of statutory references to credit ratings

Sec. 939A—Review of reliance on credit ratings (some removals of references to ratings have been finalized)

Sec. 939H—Rules to prevent improper conflict of interest arising from NRSRO employees providing services to issuers of securities unrelated to the credit ratings

Sec. 941(b)—Credit risk retention (general) (joint with other regulators)

Sec. 941(b)—Credit risk retention (residential mortgages) (joint with other regulators)

Sec. 941(b)—Credit risk retention exemptions (joint with other regulators)

Sec. 942(b)—Disclosures and reporting for asset-backed securities

Sec. 956(a)—Compensation structure reporting (joint with other financial regulators)

Sec. 956(b)—Prohibition on certain compensation arrangements (joint with other financial regulators)

Sec. 975—Municipal advisor regulation (final rule)

Other Rulemaking Provisions

Sec. 120(e)—Establishment of appeal procedure for agency determination regarding additional standards

Sec. 153(c)(2)—Office of Financial Research, standardization of types and forms of data reported

Sec. 165(i)—Stress tests

Sec. 205(h)—Orderly liquidation of covered brokers and dealers

Sec. 210(c)(8)(H)—Recordkeeping of qualified financial contracts (jointly with other financial regulators)

Sec. 413(b)—Rules for adjusting the accredited investor standard

Sec. 712(d)(2)(A)—Other rules relating to definitions for swap terms as the Commission and CFTC determine are necessary and appropriate, in the public interest, and for the protection of investors

Sec. 713—Comparability of requirements relating to portfolio margining

Sec. 714—Rules regarding abusive swaps

Sec. 716—Rules regarding swaps entity affiliates of insured depository institutions

Sec. 719(d)—Rules regarding stable value contracts, after joint study with CFTC

Sec. 731—Ongoing comparability of capital and margin requirements

Sec. 733—Rules defining swaps that can be executed on a swap execution facility

Sec. 763(h)—Rules regarding position limits in security-based swaps

Sec. 763(h)—Rules directing SROs to establish position limits

Sec. 763(h)—Rules providing for large trader reporting of security-based swaps

Sec. 764—Periodic reporting rules for security-based swap dealers and participants

Sec. 764(a)—Reporting and recordkeeping rules applicable to security-based swap dealers and major security-based swap participants

Sec. 764(a)—Rules regarding daily security-based swap trading recordkeeping

Sec. 767—Rules to determine whether to permit applicability of state bucket shop law

Sec. 913—Rulemaking regarding obligations of brokers, dealers and investment advisers, including authority to establish a uniform fiduciary standard of care (6 separate rulemaking provisions)

Sec. 915—Regulations for Office of Investor Advocate

Sec. 919—Rules designating the documents and information to be provided by broker or dealer to retail investors

Sec. 921—Rules to restrict mandatory pre-dispute arbitration

Sec. 929D—Rules regarding lost and stolen securities

Sec. 929Q—Revision to recordkeeping rule

Sec. 929R—Rules regarding beneficial ownership reporting

Sec. 929R—Rules regarding short-swing profit reporting

Sec. 929X(a)—Short sale reforms, public disclosure reporting

Sec. 929X(b)—Short sale reforms, rules regarding enforcement options and remedies

Sec. 929X(c)—Short sale reforms, rules regarding customer notice

Sec. 933—State of mind in private actions

Sec. 939F—Rules to implement regime for the assignment of NRSROs to issue credit ratings

Sec. 953(a)—Pay v. performance disclosure

Sec. 953(b)—Additional executive compensation disclosure

Sec. 954—Recovery of executive compensation

Sec. 955—Disclosure regarding employee and director hedging

Sec. 984(a)—Additional rulemaking authority regarding transparency of information available to brokers, dealers, and investors with respect to loan or borrowing of securities

Sec. 984(b)—Increased transparency of information available to brokers, dealers, and investors with respect to loan or borrowing of securities

Completed Studies and Reports Required by the Dodd-Frank Act

Sec. 342—Report to Congress on the activities of the Office of Minority and Women Inclusion

Sec. 719(b)—Report to Congress, jointly with the CFTC, regarding a study regarding the feasibility of requiring the derivatives industry to adopt standardized computer-readable algorithmic descriptions

Sec. 719(c)—Report to Congress, jointly with the CFTC, regarding a study regarding how swaps are regulated in the United States, Asia, and Europe, to identify areas of regulation that are similar and could be harmonized.

Sec. 813—Report to Congress, jointly with the CFTC and the Federal Reserve, on risk management supervision of designated clearing entities

Sec. 913—Report to Congress on the study of the obligations of brokers, dealers, and investment advisers

Sec. 914—Report to Congress on the need for enhanced resources for investment adviser examinations and enforcement

Sec. 917—Study regarding financial literacy among retail investors

Sec. 919B—Study of ways to improve investor access to information about investment advisers and broker-dealers

Secs. 922 and 924—Report to Congress on the securities whistleblower incentive and protection program

Sec. 929Y—Study on the cross-border scope of the private right of action under Section 10(b) of the Securities Exchange Act

Sec. 932—Summary report of Commission staff’s examinations of NRSROs

Sec. 939(h)—Report to Congress on standardization within certain elements of the credit rating process

Sec. 939A—Report to Congress on review of reliance on credit ratings

Sec. 939F—Study on the rating process for structured finance products and the feasibility of an assignment system

Sec. 961—Report and certification sent to Congress regarding internal supervisory controls

Sec. 967—Report to Congress on the implementation of SEC organizational reform recommendations

Sec. 989G—Report to Congress on study regarding reducing the costs to smaller issuers (with market capitalization between $75 million and $ 250 million) for complying with §404(b) of the Sarbanes-Oxley Act of 2002