SEC.gov Updates: Proposed Rules

SEC.gov Updates: Proposed Rules http://www.sec.gov/rules/proposed.shtml The latest proposed rules from the Securities and Exchange Commission en-us Fri, 16 Apr 2021 00:00:01 EST Fri, 16 Apr 2021 15:15 EDT Reopening of Comment Period for Universal Proxy https://www.sec.gov/rules/proposed/2021/34-91603.pdf 34-91603 Fri, 16 Apr 2021 15:15 EDT Rule 144 Holding Period and Form 144 Filings https://www.sec.gov/rules/proposed/2020/33-10911.pdf 33-10911 Tue, 22 Dec 2020 14:00 EDT Temporary Rules to Include Certain "Platform Workers" in Compensatory Offerings under Rule 701 and Form S-8 https://www.sec.gov/rules/proposed/2020/33-10892.pdf 33-10892 Tue, 24 Nov 2020 10:45 EDT Modernization of Rules and Forms for Compensatory Securities Offerings and Sales https://www.sec.gov/rules/proposed/2020/33-10891.pdf 33-10891 Tue, 24 Nov 2020 10:45 EDT Regulation ATS for ATSs that Trade U.S. Government Securities, NMS Stock, and Other Securities; Regulation SCI for ATSs that Trade U.S. Treasury Securities and Agency Securities; and Electronic Corporate Bond and Municipal Securities Markets https://www.sec.gov/rules/proposed/2020/34-90019.pdf 34-90019 Mon, 28 Sep 2020 10:20 EDT Administration of the Electronic Data Gathering, Analysis, and Retrieval System https://www.sec.gov/rules/proposed/2020/33-10821.pdf 33-108212 Fri, 21 Aug 2020 16:20 EDT Amendments to the National Market System Plan Governing the Consolidated Audit Trail to Enhance Data Security https://www.sec.gov/rules/proposed/2020/34-89632.pdf 34-89632 Fri, 21 Aug 2020 16:00 EDT Tailored Shareholder Reports, Treatment of Annual Prospectus Updates for Existing Investors, and Improved Fee and Risk Disclosure for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements https://www.sec.gov/rules/proposed/2020/33-10814.pdf 33-10814 Wed, 5 Aug 2020 15:00 EDT Reporting Threshold for Institutional Investment Managers https://www.sec.gov/rules/proposed/2020/34-89290.pdf 34-89290 Fri, 10 Jul 2020 15:00 EDT Good Faith Determinations of Fair Value https://www.sec.gov/rules/proposed/2020/ic-33845.pdf IC-33845 Tue, 21 Apr 2020 18:00 EDT Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets https://www.sec.gov/rules/proposed/2020/33-10763.pdf 33-10763 Wed, 4 Mar 2020 16:00 EST Market Data Infrastructure https://www.sec.gov/rules/proposed/2020/34-88216.pdf 34-88216 Fri, 14 Feb 2020 16:30 EST Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds https://www.sec.gov/rules/proposed/2020/bhca-8.pdf BHCA-8 Mon, 3 Feb 2020 13:30 EST Management’s Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information https://www.sec.gov/rules/proposed/2020/33-10750.pdf 33-10750 Thu, 30 Jan 2020 12:30 EST Amendments to Rule 2-01, Qualifications of Accountants https://www.sec.gov/rules/proposed/2019/33-10738.pdf 33-10738 Mon, 30 Dec 2019 12:30 EST Amending the “Accredited Investor” Definition https://www.sec.gov/rules/proposed/2019/33-10734.pdf 33-10734 Wed, 18 Dec 2019 15:00:00 EST Disclosure of Payments by Resource Extraction Issuers https://www.sec.gov/rules/proposed/2019/34-87783.pdf 34-87783 Wed, 18 Dec 2019 15:00:00 EST Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence by Broker-Dealers and Registered Investment Advisers Regarding Retail Customers’ Transactions in Certain Leveraged/Inverse Investment Vehicles https://www.sec.gov/rules/proposed/2019/34-87607.pdf 34-87607 Mon, 25 Nov 2019 17:00:00 EST Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8 https://www.sec.gov/rules/proposed/2019/34-87458.pdf 34-87458 Tue, 05 Nov 2019 13:30:00 EST Amendments to Exemptions from the Proxy Rules for Proxy Voting Advice https://www.sec.gov/rules/proposed/2019/34-87457.pdf 34-87457 Tue, 05 Nov 2019 13:30:00 EST Investment Adviser Advertisements; Compensation for Solicitations https://www.sec.gov/rules/proposed/2019/ia-5407.pdf IA-5407 Mon, 04 Nov 2019 17:30:00 EST Filing Fee Disclosure and Payment Methods Modernization https://www.sec.gov/rules/proposed/2019/33-10720.pdf 33-10720 Thu, 24 Oct 2019 13:10:00 EDT Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940 https://www.sec.gov/rules/proposed/2019/ic-33658.pdf IC-33658 Fri, 18 Oct 2019 14:03:00 EDT Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments https://www.sec.gov/rules/proposed/2019/34-87193.pdf 34-87193 Tue, 01 Oct 2019 17:23:00 EDT Publication or Submission of Quotations Without Specified Information https://www.sec.gov/rules/proposed/2019/34-87115.pdf 34-87115 Thu, 26 Sep 2019 09:30:00 EDT Update of Statistical Disclosures for Bank and Savings and Loan Registrants https://www.sec.gov/rules/proposed/2019/33-10688.pdf 33-10688 Tue, 17 Sep 2019 09:30:00 EDT Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail https://www.sec.gov/rules/proposed/2019/34-86901.pdf 34-86901 Mon, 9 Sep 2019 17:00:00 EDT Modernization of Regulation S-K Items 101, 103, and 105 https://www.sec.gov/rules/proposed/2019/33-10668.pdf 33-10668 Thu, 8 Aug 2019 16:30:00 EDT Customer Margin Rules Relating to Security Futures https://www.sec.gov/rules/proposed/2019/34-86304.pdf 34-86304 Wed, 3 Jul 2019 17:55 EDT Proposed Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements https://www.sec.gov/rules/proposed/2019/34-85823.pdf 34-85823 Fri, 10 May 2019 18:45 EST Amendments to the Accelerated Filer and Large Accelerated Filer Definitions https://www.sec.gov/rules/proposed/2019/34-85814.pdf 34-85814 Thu, 09 May 2019 18:45 EST Amendments to Financial Disclosures about Acquired and Disposed Businesses https://www.sec.gov/rules/proposed/2019/33-10635.pdf 33-10635 Fri, 03 May 2019 18:45 EST Securities Offering Reform for Closed-End Investment Companies https://www.sec.gov/rules/proposed/2019/33-10607.pdf 33-10619 Wed, 20 Mar 2019 18:45 EST Solicitations of Interest Prior to a Registered Public Offering https://www.sec.gov/rules/proposed/2019/33-10607.pdf 33-10607 Tue, 19 Feb 2019 13:39 EST Extension of Comment Period for Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts https://www.sec.gov/rules/proposed/2019/33-10605.pdf 33-10605 Thu, 14 Feb 2019 18:20 EST Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds https://www.sec.gov/rules/proposed/2018/bhca-5.pdf BHCA-5 Fri, 21 Dec 2018 18:20 EST Risk Mitigation Techniques for Uncleared Security-Based Swaps https://www.sec.gov/rules/proposed/2018/34-84861.pdf 34-84861 Tue, 19 Dec 2018 17:16 EST Fund of Funds Arrangements https://www.sec.gov/rules/proposed/2018/33-10590.pdf 33-10590 Wed, 19 Dec 2018 14:16 EST Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts https://www.sec.gov/rules/proposed/2018/33-10569.pdf 33-10569 Tue, 30 Oct 2018 18:40 EDT Amendments to Rules for Nationally Recognized Statistical Rating Organizations https://www.sec.gov/rules/proposed/2018/34-84289.pdf 34-84289 Wed, 26 Sep 2018 11:45 EDT Amendment to Single Issuer Exemption for Broker-Dealers https://www.sec.gov/rules/proposed/2018/34-84225.pdf 34-84225 Thu, 20 Sep 2018 14:45 EDT Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds https://www.sec.gov/rules/proposed/2018/bhca-4.pdf BHCA-4 Tue, 4 Sep 2018 14:45 EDT Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities https://www.sec.gov/rules/proposed/2018/33-10526.pdf 33-10526 Tue, 24 Jul 2018 16:49 EDT