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Petitions for Rulemaking Submitted to the SEC

Any person may request that the Commission issue, amend or repeal a rule of general application. Petitions must be filed with the Secretary of the Commission. Petitions may be submitted via electronic mail to Secretarys-Office@SEC.GOV (preferred method) or via physical mail at 100 F. Street NE, Washington, D.C. 20549-1090. To help us process your petition more efficiently, please use only one method.

Petitions must contain the text or substance of any proposed rule or amendment or specify the rule or portion of a rule requested to be repealed. Persons submitting petitions must also include a statement of their interest and/or reasons for requesting Commission action.

All petitions will be forwarded to the appropriate division or office of the Commission for consideration and recommendation. Following submission of the staff's recommendation to the Commission, petitioners will be notified of any action taken by the Commission.

For additional information please refer to the Commission's Rules of Practice, Rule 192 (17 CFR 201.192).

Note: Rulemaking petitions are made available to the public after processing. Do not include personal identifiable information in submissions; submit only information that you wish to make available publicly. We may redact in part or withhold entirely from publication submitted material that is obscene or subject to copyright protection.

File Number Sort ascending Date Details
4-831 Proposal for Enhancing Market Orderliness through SEC Rule 201 Extension
Submitted By:

Jake P. Noch -  Founder / Managing Director - Jake P. Noch Family Office, LLC

4-830 Petition for Rulemaking to Prohibit National Securities Exchanges from Listing High-Risk Penny Stocks and Mandate Certain Issuer Disclosures to Facilitate Their Risk Assessment
Submitted By:

Thomas M. Merritt, CHRO/Deputy General Counsel, Virtu Financial

4-829 Petition for rulemaking or guidance regarding calculation of short-swing profits under Section 16(b) of the Securities and Exchange Act of 1934
Submitted By:

Andrew Chin, Paul B. Eaton Distinguished Professor, University of North Carolina School of Law

4-828 Petition for transparency in Obligation Warehouse data operated by the National Securities Clearing Corporation
Submitted By:

S. Winn

4-827 Petition to Reduce Inequality in the Stock Market By Mandating Fair and Reasonable Dividends
Submitted By:

Ovan Morrison

4-826 Petition to initiate a rulemaking to create a “pre-date” period for certain microcaps which potentially will effect reverse stock splits
Submitted By:

Sebastian Xavier Arellano

4-825 Petition to initiate rulemaking to modernize Section 13(f) disclosure rules by reducing the 45-day filing period to no more than five business days to improve the utility of 13F filings for market participants and increase investor confidence
View Received Comments
Submitted By:
  1. C. Edward (Ted) Allen, Vice President, Policy & Advocacy, Society for Corporate Governance;
  2. Chris Taylor, Vice President, NYSE Global Head of  Advisory; and
  3. Matthew D. Brusch, President and CEO, National Investor Relations Institute
4-824 Petition to initiate a rulemaking to protect investors’ rights under Section 11 of the Securities Act of 1933 (Section 11) by endorsing and requiring technological solutions to facilitate the tracing of shares sold into the marketplace by direct listings
Submitted By:

Jeffrey P. Mahoney, Esq., General Counsel, Council of Institutional Investors

4-823 Petition for Modification of Definition for Accredited Investors
Submitted By:

Fabricio R. Murillo Garcia

4-822 Proposal to Amend the Pattern Day Trading Rule
Submitted By:

Calvin Cherry

4-821 Rulemaking petition to require certain communications with whistleblowers and their counsel
Submitted By:

Philip S. Brewster, Co-Counsel to Mark Coffey; Patrick M. Mincey, Co-Counsel to Mark Coffey; Stephen J. Bell, Co-Counsel to Mark Coffey

4-819 Rulemaking Petition To Amend the Pattern Day Trading Rule
Submitted By:

Kelly Ryan Kane

4-817 Rulemaking petition for modification of the dollar threshold figures defining an M&A broker
See Also - Related Rulemaking Petition of Cabin Securities, Related Rulemaking Petition of Great Point Capital Advisors
Submitted By:

Mark Atchity, President & CEO, JCC Capital Markets, LLC

4-816 Petition for Rulemaking to amend Instruction 2 to the definition of “smaller reporting company” in Rule 12b-2 under the Securities Exchange Act of 1934
Submitted By:

Andrew Reilly, RIMÔN

4-815 Rulemaking Petition to allow Inline XBRL format for Resource Extraction data
Submitted By:

Jennifer Froberg, EDGAR Services Team, Toppan Merrill

4-814 Request that the Commission amend Rules 14b-1-2 regarding obligations of registered entities that exercise fiduciary powers regarding communications to beneficial owners and provision of beneficial owner information to registrants
See Also - Related Rulemaking Petition from Ashley Mair, Related Rulemaking Petition from Paul Swift III, Related Rulemaking Petition from James Carroll, Related Rulemaking Petition from Kevin Lau, Related Rulemaking Petition from Erik Alvarenga, Related Rulemaking Petition from Jørgen Mikkelsen
Submitted By:

Plasmatron Laboratories

4-813 Request that the Commission develop rules to require public companies operating in the retail sector that are involved in selling tobacco products to disclose revenue from the sale of products that contain tobacco.
Submitted By:

Steven Glass, Managing Director & Investment Analyst, Pella Funds Management

4-812 Amendment to Rules 21F-10(d) and 21F-11(d) of the SEC’s Whistleblower rules
Submitted By:

Stephen M. Kohn and Allison Wise, both of Kohn, Kohn & Colapinto

4-811 Rulemaking petition to amend Rule 0-7 under the Investment Advisers Act of 1940, which defines a small entity for purposes of the Regulatory Flexibility Act of 1980
View Received Comments
Submitted By:

Karen L. Barr, President & CEO, Investment Adviser Association

4-810 Proposal to REPEAL Approved Rule SR-NSCC-2010-11
View Received Comments
Submitted By:

Reflex Entertainment, LLC

4-808 Rulemaking Petition to modify Rule 13f-1 to shorten the Form 13F filing deadline
Submitted By:

James Lintner

4-807 Proposal to the Amend Pattern Day Trading (PDT) Rule.
Submitted By:

Trung Nguyen

4-806 Rulemaking Petition to prohibit payment for order flow
Submitted By:

Cory Elliott

4-805 Rulemaking Petition to ensure protection from prohibited personnel practices
Submitted By:

Allison C. Giles, Assistant Counsel, National Treasury Employees Union

4-804 Rulemaking Petition to amend Rules 144A(a) of the Securities Act of 1933 and 2a51-1(g) of the Investment Company Act of 1940.
Submitted By:

Timothy P. Terry on behalf of the Private Investor Coalition

4-803 Rulemaking Petition to mitigate the risks of short selling by closing a loophole in Rule 200 of Regulation SHO.
Submitted By:

Mr. Jacob Gillmore

4-802 Rulemaking Petition for modification of the M&A Broker Exemptions provision of the Consolidated Appropriations Act
Submitted By:

Dante Fichera, President, Independent Investment Bankers

4-801 Rulemaking Petition for the modernization of Rule 144
View Received Comments
Submitted By:

Edwin Hu, et al., Working Group on Investor Protection in Public Offerings

4-800 Rulemaking Petition for modification of the dollar threshold figures defining an M&A broker eligible for exemption from registration
Submitted By:

Amy C. Cross, Founder & CEO, StillPoint Capital LLC

4-799 Rulemaking Petition for Policy Clarification on Credit Rating Agencies
View Received Comments
Submitted By:

Frank Partnoy, UC Berkeley and International Institute of Law and Finance, et al.

4-798 Rulemaking petition to strengthen insider trading reporting requirements and increase penalties for insider trading.
Submitted By:

Atticus Wong

4-797 Rulemaking petition to change the stock halt rule.
Submitted By:

Joseph Fan

4-796 Rulemaking petition to reduce the diversity, equity, and inclusion ("DEI") barriers for "accredited investors" by replacing the net worth and income requirements of Rule 501(a) under the Securities Act of 1933 with non-financial metrics.
Submitted By:

Nicolas Morgan, Founder and President, Investor Choice Advocates Network

4-795 Rulemaking petition to amend Rule 15c2-11 to expressly exempt from Rule 15c2-11 fixed-income securities that satisfy the requirements of Rule 144A; or, in the alternative, expressly exempt Rule 144A securities from Rule 15c2-11 pursuant to the exemptive authority set forth in Rule 15c2-11(g).
View Received Comments
Submitted By:

Andrew J. Pincus, Esq., Mayer Brown LLP

4-794 Rulemaking petition to amend FINRA Rules 12601(b) and 13601(b) to curtail late settlement abuse and disregard for FINRA arbitrator time commitments
Submitted By:

Thomas M. Madden, FINRA Arbitrator and Mediator, Marist College School of Management

4-793 Rulemaking petition to amend Reg SHO.
Submitted By:

R. T. Leuchtkafer

4-792 Rulemaking petition to extend the current rules regarding performance reporting of mutual funds and ETFs.
Submitted By:

Ramesh Errabolu

4-791 Rulemaking petition to amend Regulation A (Rules 251 through 263) to allow shelf offerings by certain seasoned issuers.
Submitted By:

Jarod C. Winters, Chief Operating Officer & Chief Compliance Officer, Collectable Technologies, Inc.

4-790 Rulemaking petition that requests a rulemaking to prohibit a security-based swap dealer or other entity subject to Commission regulation from predicating a security-based swap or other financial instrument subject to Commission regulation on a flip clause, walk-away, or variable subordination.
View Received Comments
See Also - Exhibit 1, Exhibit 2, Exhibit 3, Exhibit 4, Exhibit 5
Submitted By:

William J. Harrington, Croatan Institute

4-789 Rulemaking petition requesting that the Commission propose and adopt rules to govern the regulation of securities that are offered and traded via digitally native methods, including potential rules to identify which digital assets are securities.
View Received Comments
See Also - Letter from the Secretary to Paul Grewal, Chief Legal Officer, Coinbase Global, Inc., dated December 15, 2023
Submitted By:

Paul Grewal, Chief Legal Officer, Coinbase Global, Inc.

4-788 Rulemaking petition to enact a rule or otherwise require issuers and their directors to disclose Executive & Non-Executive commitments in a more accessible format.
Submitted By:

Kimon Demetriades

4-787 Rulemaking petition to require public companies to disclose public companies' investments in their workforce
View Received Comments
Submitted By:

Working Group on Human Capital Accounting Disclosure:

  • Ralph Richard Banks, Jackson Eli Reynolds Professor of Law at Stanford Law School
  • Paul Brest, Former Dean and Professor Emeritus at Stanford Law School
  • John C. Coates IV, John F. Cogan, Jr. Professor of Law and Economics at Harvard Law School and former General Counsel and Acting Director of the SEC's Division of Corporation Finance
  • Gerald Davis, Gilbert and Ruth Whitaker Professor of Business Administration at the University of Michigan Ross School of Business
  • Joseph A. Grundfest, William A. Franke Professor of Law and Business at Stanford Law School and former SEC Commissioner
  • Colleen Honigsberg, Associate Professor of Law at Stanford Law School
  • Robert J. Jackson, Jr., Pierrepont Family Professor of Law at New York University School of Law and former SEC Commissioner
  • Shivaram Rajgopal, Roy Bernard Kester and T.W. Byrnes Professor of Accounting and Auditing, Columbia Business School
  • Ethan Rouen, Assistant Professor of Business Administration and Faculty Co-Chair, Impact Weighted Accounts Project at Harvard Business School
  • Daniel Taylor, Arthur Andersen Professor of Accounting at The Wharton School of the University of Pennsylvania and Director of the Wharton Forensic Analytics Lab
4-786 Rulemaking petition to require issuers to disclose their business dealings in and with the People's Republic of China
Submitted By:

Steve Milloy

4-785 Rulemaking petition to invoke SEC Rule 304 (a)(4) to remove GME and AMC across all ATS dark pools for at least 14 days.
View Received Comments
See Also - Exhibit, SEC Release No. 34-83663
Submitted By:

We Want Fair Markets

4-784 Rulemaking petition requesting the Commission enact a rule requiring issuers to disclose their business dealings in and with the Russian Federation and the Republic of Belarus
View Received Comments
Submitted By:

Victoria Kulik, President, Ukrainian American Bar Association; Dora Chomiak, President, Razon, Inc.; and Natalie Jaresko, Former Minister of Finance of Ukraine

4-783 Petition for Issuance, Amendment or Repeal of Commission Rules Related to Whistleblower Submission of Original Information to the News Media
View Received Comments
See Also - Appendix
Submitted By:

Stephen M. Kohn, Attorney for Media Whistleblowers, Kohn, Kohn and Colapinto, LLP; Siri Nelson, Executive Director, National Whistleblower Center; and Mary Jane Wilmoth, Publisher, Whistleblower Network News

4-782 Petition for Rulemaking to request that the Commission issue an open call for comment from the public regarding the need for flexibility in the application of the federal securities laws to digital assets in order to initiate an open-sourced redesign of regulations enforced pursuant to the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, and the Investment Company Act of 1940, and other laws enforced by the SEC.
View Received Comments
Submitted By:

J.W. Verret, Associate Professor, George Mason University Antonin Scalia School of Law

4-781 Petition for Rulemaking to Abrogate or Amend Financial Industry Regulatory Authority Rules 2268(d), 12200, and 12204(d)
View Received Comments
See Also - Exhibits
Submitted By:

Andrew B. Kay, Esq., P. Randolph Seybold, Esq., Venable LLPRichard T. Choi, Esq., Ann B. Furman, Esq., Carlton Fields, P.A.

4-780 Rulemaking petition to amend FINRA rule 9554 to preclude a respondent from raising the "inability to pay" defense against an industry claimant
Submitted By:

Kevin Carroll, Managing Director and Associate General Counsel, SIFMA

4-779 Rulemaking petition for public disclosure of Covid mandated terminations
See Also - Amended petition, Additional Petition
Submitted By:

George Webster

4-778 Rulemaking petition regarding the process for reviewing fee filings submitted by self-regulatory organizations
View Received Comments
Submitted By:

Tyler Gellasch, Executive Director, Healthy Markets Association

4-777 Request regarding finalization of proposed interpretive rule under the Advisers Act affecting broker-dealers and to withdraw Commission interpretation regarding the solely incidental prong of the broker-dealer exclusion from the definition of investment adviser.
Submitted By:

Michael Kitces, Executive Chairman and Co-Founder, XY Planning Network

4-776 Request restrictions on use of certain names and titles under Section 208(c)
Submitted By:

Michael Kitces, Executive Chairman and Co-Founder, XY Planning Network

4-775 Request to amend amend SEC Rule 605 of Regulation NMS (Rule 605) to provide investors with greater transparency and enhanced, critical information about execution quality
Submitted By:

Douglas A. Cifu, Chief Executive Officer, Virtu Financial

4-774 Request the Commission develop mandatory rules for public companies to disclose high-quality, comparable, decision-useful information concerning BLM Pledge fulfillment
View Received Comments
Submitted By:

William Michael Cunningham, Creative Investment Research

4-773 Request to change the rules which qualifies an individual or individuals as an accredited investor
Submitted By:

Benny R. Brown

4-772 Request to amend Regulation S-K (17 C.F.R. § 229.402(d), instruction (7))
Submitted By:

Stuart J. Kaswell, Esq.

4-771 Request the Commission provide regulatory clarity with respect to the regulation of a new form of digital assets – non-fungible tokens
Submitted By:

Vincent Molinari, Sustainable Holdings, PBC

4-770 Request to amend Financial Industry Regulatory Authority ("FINRA") Rules 12904 and 13904 to allow FINRA to cease publication of expunged arbitration awards and to redact identifying information in expunged arbitration awards
Submitted By:

Paul J. Bazil, Pickard Djinis and Pisarri LLP

4-769 Request to amend the fair disclosure provisions to allow stakeholders to understand material facts on company compliance with federal statutes
Submitted By:

John William Templeton, Journal of Black Innovation

4-768 Request to adopt amendments to rules applicable to SPAC IPOs to permit SPACs to conduct public offerings on a best-efforts basis
Submitted By:

Loeb & Loeb LLP

4-767 Request to amend custody rule 206(4)(2)
View Received Comments
Submitted By:

Stuart Kaswell, Esq.

4-766 Request to limit unjustified COVID-19 lawsuits
View Received Comments
Submitted By:

Harold Kim, President, U.S. Chamber Institute for Legal Reform and Tom Quaadman, Executive Vice President, Center for Capital Markets Competitiveness

4-765 Request to regulate use of encrypted, un-monitored chatrooms by traders
View Received Comments
Submitted By:

Alberto Thomas, Partner, Fideres Partners LLP

4-763 Rulemaking petition requiring companies to report on the physical location of their significant assets
View Received Comments
Submitted By:

Joseph F. Keefe, President and Julie Gorte, Senior Vice President, Impax Asset Management LLC

4-761 Rulemaking petition to end the Commission's backdoor regulation of 12b-1 fees
View Received Comments
Submitted By:

Sam Kazman, Competitive Enterprise Institute; Mark Chenoweth, New Civil Liberties Alliance; Helgi C. Walker, Gibson, Dunn & Crutcher LLP; David T Bellaire, Financial Services Institute

4-760 Rulemaking petition requesting the Commission amend Rules 11 and 302 of Regulation S-T, as well as any other rules or forms necessary to permit such amendments to have their desired effect, at its earliest convenience to permit electronic signatures in addition to manual signatures.
View Received Comments
Submitted By:

Stephen E. Bochner and Richard C. Blake, Wilson Sonsini Goodrich & Rosati; David A. Bell and James D. Evans, Fenwick & West LLP; and, David G. Peinsipp and Charles S. Kim, Cooley LLP

4-759 Request to reinstitute the uptick rule (former Rule 10a-1(a)(1))
View Received Comments
Submitted By:

Richard A. Hayne, Chairman of the Board and Chief Executive Officer of Urban Outfitters, Inc.

4-758 Request for rulemaking on Short and Distort
View Received Comments
Submitted By:

Joshua Mitts, Associate Professor of Law, Columbia Law School; John C. Coffee, Jr., Adolf A. Berle Professor of Law, Director, Center on Corporate Governance, Columbia Law School; James D. Cox, Brainerd Currie Professor of Law, Duke University School of Law; Edward F. Greene, General Counsel, Securities & Exchange Commission (1981-82); Director, Division of Corporation Finance (1979-81); Senior Counsel, Cleary Gottlieb Steen & Hamilton, Co-Director, Program on Law, Economics & Capital Markets, Columbia Law School; Meyer Eisenberg, Deputy General Counsel and Acting Director, Division of Investment Management Securities & Exchange Commission (1998-2006) Lecturer in Law; Senior Research Scholar, Columbia Law School; Colleen Honigsberg, Associate Professor of Law, Stanford Law School; Donald Langevoort, Thomas Aquinas Reynolds Professor of Law, Georgetown University Law Center; Joshua Mitts, Associate Professor of Law, Columbia Law School; Peter Molk, Associate Professor of Law, University of Florida Levin College of Law; Randall Thomas, John S. Beasley II Chair in Law and Business, Vanderbilt Law School, Professor of Management. Owen Graduate School of Management; Robert B. Thompson, Peter P. Weidenbruch, Jr. Professor of Business Law, Georgetown University Law Center; Andrew Verstein, Professor of Law, Wake Forest University School of Law; and Charles K. Whitehead, Myron C. Taylor Alumni Professor of Business Law, Cornell Law School

4-756 Request to amend Rule 612 of Regulation NMS to adopt intelligent tick-size regime
Submitted By:

John A. Zecca, Executive Vice President, Chief Legal Officer & Chief Regulatory Officer, Nasdaq

4-755 Rulemaking petition requesting a hard cap on the maximum APR rate of any stock borrowed
Submitted By:

Patrick Whittemore

4-754 Rulemaking petition requesting transparency of funding of consolidated market data
Submitted By:

Wesley Althoff, Securities Industry and Financial Markets Association

4-752 Request amendment to Form ADV, Part 1A, Item 5 ("Information About Your Advisory Services"), Section E ("Compensation Arrangements") by requiring investment advisers to disclose the schedules of fees levied for their services and other compensation in a standardized format
Submitted By:

Dr. Benjamin H. Harris, Director, Kellogg Public-Private Interface at Northwestern University

4-751 Request appropriate action to prevent and prohibit registrants from making materially false and misleading claims and statements related to global climate change (Corrected)
See Also - Supplement to petition
Submitted By:

Steve Milloy, Director, Energy & Environment Legal Institute

4-750 Rulemaking petition to amend or eliminate the "five-year rule" contained in the definition of "undeveloped oil and gas reserves" under Rule 4-10(a)(31)(ii) of Regulation S-X
Submitted By:

Harold Hamm, Chief Executive Officer, Continental Resources, Inc.

4-748 Request to amendment of Title 17, §270.30b1-4, Report of proxy voting record
Submitted By:

James McRitchie, Corporate Governance

4-746 Rulemaking petition requesting repeal and reform of Rule 10b-18 to address manipulative repurchase programs that harm workers
View Received Comments
Submitted By:

ACRE (Action Center on Race and the Economy), AFL-CIO, American Family Voices, Americans for Financial Reform Education Fund, Center for Popular Democracy, Color of Change, Committee for Better Banks, Communications Workers of America (CWA), Consumer Action, CtW Investment Group, Demand Progress Education Fund, Institute for Policy Studies, Global Economy Project, Partnership for Working Families, Proxy Impact, Public Citizen, Strong Economy for All Coalition, Take on Wall Street, 13, United for Respect, Woodstock Institute

4-745 Rulemaking petition regarding disclosures on use of non-GAAP financials in proxy statement Compensation Discussion and Analysis
View Received Comments
Submitted By:

Kenneth A. Bertsch, Executive Director, and Jeffrey P. Mahoney, General Counsel, Council of Institutional Investors

4-744 Rulemaking petition to amend or repeal the pattern day trader rule
View Received Comments
Submitted By:

Stephen Callahan

4-743 Rulemaking petition on digital asset mining (Revised)
Submitted By:

Vincent R. Molinari, Templum Markets, LLC

4-742 Petition for Rulemaking to Require Filers to Submit Earnings Conference Call Transcripts on Form 8-K, Pursuant to Regulation FD Compliance
Submitted By:

Adam M. Altman, Adam M. Altman, Ltd.

4-741 Rulemaking petition on biomass and climate disclosures
See Also - Letter to the SEC, Exhibit A, Exhibit B, and Exhibit C
Submitted By:

Dusty Horwitt, Partnership for Policy Integrity

4-740 Rulemaking petition to amend Rule 17g-7(b)
Submitted By:

Chad Sandstedt, CFA, TagniFi, LLC

4-739 Request for rulemaking regarding the administration of the Financial Industry Regulatory Association
Submitted By:

Maranda E. Fritz, Thompson Hine LLP

4-738 Request for rulemaking with respect to certain actions, practices and rules of a certain clearing agency
Submitted By:

Brent R. Baker, Clyde Snow & Sessions

4-736 Request for rulemaking to address how digital assets are regulated once a trade occurs
Submitted By:

Vincent R. Molinari, Templum, Inc.

4-735 Request for rulemaking to clarify, improve and strengthen certain aspects of the SEC Whistleblower Program
Submitted By:

Taylor Scott Amarel

4-734 Request for rulemaking on extension of access equals delivery reforms to include business combination
Submitted By:

Jones Day

4-733 Request for rulemaking to amend the rule restricting speech that is set forth in 17 C.F.R. § 202.5(e) ("The Gag Rule")
See Also - Renewed Petition for Rulemaking, Letter from the Secretary to Margaret A. Little, New Civil Liberties Alliance, dated January 30, 2023
Submitted By:

Margaret Little, New Civil Liberties Alliance

4-731 Request for rulemaking petition to revise the notice and access provision to eliminate the carve-out for business combinations
Submitted By:

Randi L. Struder, Jones Day

4-730 Request for rulemaking on environmental, social, and governance (ESG) disclosure
View Received Comments
Submitted By:

Cynthia A. Williams, Osler Chair in Business Law, Osgoode Hall Law School; and Jill E. Fisch, Saul A. Fox Distinguished Professor of Business Law, University of Pennsylvania Law School

4-728 Request for rulemaking petition regarding market data fees and guidance on market data licensing practices and investor access to market data
View Received Comments
Submitted By:

Richard H. Baker, Managed Funds Association and Jirí Król, The Alternative Investment Management Association

4-727 Request for rulemaking petition to amend Form 10-K to provide full breakout by line of business of the elements of the income and the offsetting disbursements for all banks that submit Form 10-K
Submitted By:

Richard Junker

4-726 Request for rulemaking petition to promulgate regulations prohibiting the issuance, reliance on, or defense of improper agency guidance
Submitted By:

Mark Chenoweth, New Civil Liberties Alliance

4-724 Request for rulemaking petition to amend FINRA's Code of Arbitration Procedure Rule 12403(b)(2) to prevent parties from seeking information from the proposed arbitrators as to how the arbitrator would rule in the case
Submitted By:

Thomas Edward Wall

4-723 Request for rulemaking petition to require financial reports from obligors under Section 314(a) of the Trust Indenture Act of 1939
Submitted By:

Cathy Scott, on behalf of The Credit Roundtable

4-722 Request for rulemaking petition to modernize Rule 10b-18 under the Securities Exchange Act of 1934 by allowing executions priced at the midpoint of the national best bid and offer to qualify for the safe harbor treatment provided by the Rule
Submitted By:

John Ramsay, Chief Market Policy Officer, Investors Exchange LLC

4-721 Request for rulemaking petition to amend Exchange Act Rule 14(a) and Regulation 14B, or take other appropriate measures to facilitate advanced voting instructions
View Received Comments
Submitted By:

John Endean, President, American Business Conference

4-720 Request for rulemaking petition to materially amend and simplify the bucketing requirement in Rule 22e-4
Submitted By:

Michael R. Granito, Chief Risk Officer, Federated Investors, Inc.

4-719 Rulemaking petition related to issuance of initial coin offerings that took place prior to the promulgation of related guidance by the Commission
Submitted By:

Vincent R. Molinari, Liquid M Capital, LLC