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the text or substance of any proposed rule or amendment or specify the rule or portion of a rule requested to be repealed.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 Date Details
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
4-718 Rulemaking petition requesting a conformance period for Rule 135d under the Securities Act of 1933
Submitted By:

Kyle Brandon, Securities Industry and Financial Markets Association
4-717 Rulemaking petition to reduce conflicts of interest, market complexity, and costs related to the provision of equity market data
View Received Comments
Submitted By:

Tyler Gellasch, Healthy Markets Association
4-716 Rulemaking petition concerning market data fees
View Received Comments
Submitted By:

Ben Brown, Patomak Global Partners
4-713 Rulemaking petition to amend Exchange Act Rule 17a-4(f)
View Received Comments
See Also - Addendum
Submitted By:

Melissa MacGregor
4-712 Rulemaking petition to set up a pilot program to require the periodic public disclosure of short-sale positions in securities of biopharmaceutical companies by investment advisers (Revised)
Submitted By:

Parker H. Petit, MiMedx Group, Inc.
4-711 Rulemaking petition to require issuers to disclose information about their human capital management policies, practices and performance
View Received Comments
Submitted By:

Meredith Miller, Human Capital Management Coalition
4-710 Rulemaking petition regarding the regulation of digital assets and blockchain technology
View Received Comments
Submitted By:

Vincent Molinari, Ouisa Capital
4-708 Rulemaking petition to amend Rule 1092(b)3 of PHLX Stock Exchange
View Received Comments
Submitted By:

Martin Feins
4-706 Rulemaking petition to amend Form ADV to update reporting criteria of investment adviser asset ownership
Submitted By:

Mike Nicholas, Bond Dealers of America
4-704 Rulemaking Petition to amend Rule 146(b) to designate securities listed on IEX as covered securities for purposes of Section 18 of the Securities Act
Submitted By:

Sophia Lee, Investors Exchange LLC
4-703 Rulemaking Petition to amend § 242.902(a) of Regulation SBSR to allow security-based swap data repositories to publicly disseminate a transaction report of a security-based swap, or a life cycle event or adjustment due to a life cycle event, upon the deadline specified in § 242.901(j) of Regulation SBSR or as subsequently provided in the Block Rule
Submitted By:

Tara Kruse, International Swaps and Derivatives Association, Inc.
4-702 Rulemaking petition requesting amendments to the self-regulatory organization provisions related to complex securities arbitrations
Submitted By:

George Brunelle, Brunelle & Hadjikow, P.C.
4-699 Rulemaking Petition to Amend Regulation A to make SEC Reporting Companies Eligible Issuers and Permit At the Market Offerings
View Received Comments
Submitted By:

Dan Zinn, OTC Markets Group Inc.
4-696 Request for rulemaking to require public companies to disclose gender pay ratios on an annual basis, or in the alternative, to provide guidance to companies regarding voluntary reporting on pay equity to their investors
See Also - 2020
Submitted By:

PAX Ellevate Management LLC
4-695 Request for rulemaking to advance from just comparative columnar format, per 17 CFR § 229.301, to also include diagramming of account relationships (DOAR) within financial statements
See Also - Revised Petition
Submitted By:

Robert D. Zingher, BS, MBA (Acctg)
4-693 Request to Repeal Rule 275.206(4)-5 - Political Contributions
Submitted By:

New York Republican State Committee and Tennessee Republican Party
4-691 Request to require disclosure of short positions in parity with required disclosure of long positions
View Received Comments
Submitted By:

Edward S. Knight, Executive Vice President, General Counsel and Chief Regulatory Officer of Nasdaq
4-690 Request for rulemaking to amend rule 15c2-11 of the Securities Exchange Act of 1934
Submitted By:

Vincent R. Molinari, Chief Executive Officer, GATE Global Impact Inc.
4-689 Request to require the periodic public disclosure of short-sale activities by institutional investment managers
View Received Comments
Submitted By:

Elizabeth King, New York Stock Exchange and James M. Cudahy, National Investor Relations Institute
4-688 Request for rule-making to require general partners to make better disclosure of private equity expenses to limited partners
Submitted By:

Shanua Autiello, Director of Communications, Office of General Treasurer Seth Magaziner on behalf of a bipartisan coalition of State and City Treasurers and Comptrollers compromised of Jeffrey Barnette, Deputy Chief Financial Officer and Treasurer, District of Columbia; Mark Gordon, State Treasurer, Wyoming; Scott M. Stringer, New York City Comptroller; John Chiang, State Treasurer, California; Curtis M. Loftis, Jr., Treasurer, South Carolina; Don Stenberg, State Treasurer, Nebraska; Thomas P. DiNapoli, New York State Comptroller, New York State Common Retirement Fund; Seth Magaziner, General Treasurer, Rhode Island; Ted Wheeler, State Treasurer, Oregon; Manju Ganeriwala, State Treasurer, Virginia; Beth Pearce, State Treasurer, Vermont; and Clint Zweifel, State Treasurer, Missouri
4-687 Request to adopt a rule that prevents a brokerage from requiring arbitration as the sole means of dispute resolution as a condition of opening an account
Submitted By:

Dr. James H. Sutton
4-686 Request for interpretive guidance and rulemaking to clarify or enhance certain disclosure requirements in connection with proxy solicitations and other reports filed with the Commission
Submitted By:

Glenn Davis, Council of Institutional Investors
4-685 Request for rulemaking to allow the sale of shares held by Board Members of public companies only after they terminate their position
Submitted By:

Indrayni (Indira) Amladi, CFA
4-684 Petition to require Earnings Reports disseminated by a Press Release to include a simple table at the top of the Report outlining important facts, including month and date of revenues, operating profit, earnings per share, etc. for the current year against the previous year
Submitted By:

Herman Hammer
4-683 Request for rulemaking to amend Exchange Act Rules 17a-3 and/or 17a-4
Submitted By:

Peter Frank Di Silvio
4-682 Request for rulemaking for an amendment of the proxy rule regarding Board nominee disclosure
View Received Comments
Submitted By:

Meryl Murtagh, North Carolina Department of the State Treasurer
4-680 Request for rulemaking to adopt amendments to Rules 600(b)(57) (definition of a protected bid or offer), 605 and 606 (disclosure of order execution and order routing information), and 610(c) (the access fee cap) of Regulation NMS, as well as to exercise the SEC's authority under Rule 608(a)(2) to amend the consolidated tape plans
View Received Comments
Submitted By:

Joe Ratterman, BATS Global Markets, Inc.
4-679 Request for rulemaking petition to expand the definition of "qualified securities" under Rule 15c3-3(a)(6)
Submitted By:

Lee A. Pickard, Esq., Pickard and Djinis LLP on behalf of Federated Investors, Inc.
4-677 Request for rulemaking petition and the issuance of a Policy Statement Regarding Certain Aspects of the Dodd-Frank Whistleblower Program
Submitted By:

Jordan A. Thomas, Labaton Sucharow LLP
4-676 Request for rulemaking petition to clarify and strengthen protections for whistleblowers, requesting the Commission hold hearings and create an Advisory Committee on Whistleblower Reporting and Protection
View Received Comments
Submitted By:

Jordan A. Thomas, Labaton Sucharow LLP
4-675 Request for rulemaking to amend Rule 14a-8 under the Securities Exchange Act of 1934 regarding resubmission of Shareholder Proposals
View Received Comments
See Also - Exhibits
Submitted By:

Thomas Quaadman, Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
4-672 Request for rulemaking to amend Section 14 of the Securities Exchange Act of 1934 to facilitate the use of universal proxy cards in contested elections
View Received Comments
Submitted By:

Glenn Davis, Director of Research, Council of Institutional Investors
4-671 Request for rulemaking to combine Form 144 into Form 4
See Also - Example Form 4-144
Submitted By:

Jesse M. Brill
4-667 Request for rulemaking to modernize the regulations of Business Development Companies
Submitted By:

Brett Palmer, Small Business Investor Alliance
4-666 Request for rulemaking to revise the Commission's guidance to proxy advisory firms
View Received Comments
Submitted By:

Edward S. Knight, Executive Vice President, General Counsel & Chief Regulatory Officer, NASDAQ OMX
4-665 Request for rulemaking to revise Rule 501 of Regulation D to afford to persons in civil unions, domestic partnerships, and similar relationships, the same right and opportunity to qualify for accredited investor status as married persons have.
Submitted By:

David L. Dallas Jr., Williams Mullen
4-664 Request for rulemaking to permit, for a temporary period, alternative disclosure in lieu of the disclosure currently required by the Conflict Minerals Rules.
Submitted By:

W. Brinkley Dickerson, Troutman Sanders LLP
4-662 Request for rulemaking regarding Option Floor Crosses
Submitted By:

John Nagel, Citadel Securities LLC; Jonathan Grodnick, CTC, L.L.C.; Gerald D. O'Connell, Susquehanna International Group, LLP
4-659 Request for rulemaking concerning amendment of beneficial ownership reporting rules under Section 13(f) of the Securities Exchange Act of 1934 in order to shorten the reporting deadline under paragraph (a)(1) of Rule 13f-1
View Received Comments
Submitted By:

Janet McGinness, Executive Vice President & Corporate Secretary, NYSE Euronext; Kenneth A. Bertsch, President & CEO, Society of Corporate Secretaries and Governance Professionals; and Jeffrey D. Morgan, President & CEO, National Investor Relations Institute
4-658 Request for rulemaking concerning amending Rule 10b5-1 or further interpretive guidance regarding the circumstances under which Rule 10b5-1 trading plans may be adopted, modified, or cancelled
Submitted By:

Jeff Mahoney, General Counsel, Council of Institutional Investors
4-656 Request for rulemaking to mandate that mutual funds fully disclose through a disclaimer in their prospectuses that shareholders are being financially disadvantaged by new and liquidating shareholders who are not paying their portion of the brokerage trading commissions that were generated to establish the portfolio's holdings, a result of buying the portfolio securities.
See Also - Additional letter, Supplement to petition, SEM Summary, Long Term Loss
Submitted By:

Seymour Sacks, President, Sacks Equalization Model, Inc.
4-654 Request for rulemaking to amend Industry Guide 7
View Received Comments
Submitted By:

David L. Kanagy, Executive Director, Society for Mining, Metallurgy & Exploration
4-653 Request for rulemaking regarding the definition of Eligible Contract Participant in Commodity Exchange Act Section 1a(18), interpretive letter, exemptive relief, or other guidance
Submitted By:

Diana L. Preston, Vice President and Senior Counsel, Center for Securities, Trust & Investments, American Bankers Association
4-651 Request for rulemaking regarding neutral Internet voting platform
View Received Comments
Submitted By:

Larry S. Eiben, CoFounder Moxy Vote, LLC
4-650 Request for rulemaking to require all trades to be executed only at the top of each minute, at the double zero tick
Submitted By:

James H. Sutton
4-649 Request for rulemaking regarding re-statements of financial statements
Submitted By:

Carl Olson, Chairman, Fund for Stockowners Rights
4-648 Request for rulemaking to reestablish the original congressional intent for a clear dichotomy between "Salesperson" and "Investment Adviser" under the Investment Advisers Act of 1940
View Received Comments
Submitted By:

Susan Seltzer, President, The Derivative Project
4-647 Request for interpretive release with guidance, clarifying that broker-dealers and their agents are prohibited from charging issuers for proxy processing, suppression, voting and other fees for wrap fee accounts and separately managed accounts, at the beneficial owner level
Submitted By:

Karen V. Danielson, President, Shareholder Services Association and Charles V. Rossi, President, The Securities Transfer Association, Inc.
4-646 Request for rulemaking to amend Rule 6c-10 under the Investment Company Act of 1940 to prohibit a Company from extending a deferred sales load "holding period" for existing shareholders
Submitted By:

Ronald Workman, CFP, LPL Registered Principal, Coastview Financial
4-644A Request for rulemaking to: adopt new Securities Act Rule 241 to exempt certain over-the counter options from provisions of the Securities Act; provide a temporary exemption with respect to Credit Default Swaps; and to amend Exchange Act Rule 12h-1 to exempt from Exchange Act registration options that are issued and cleared by a registered or exempt clearing agency in its function as a central counterparty.
Submitted By:

James E. Brown, Executive Vice President — Legal, The Options Clearing Corporation
4-644A Request for rulemaking to amend Rule 238 under the Securities Act to extend the rule's exemption from all provisions of the Securities Act (other than 17(a)) to over-the-counter options that are cleared by a clearing agency registered with the Commission pursuant to Section 17A of the Exchange Act, provided that such options are offered and sold only to "eligible contract participants" as defined in Section 3(a)(65) of the Exchange Act; and to amend Rule 12h-1 under the Exchange Act to extend the rule's exemption from registration to options that are cleared by a clearing agency registered with the Commission pursuant to Section 17A of the Exchange Act, without requiring that such options be "standardized options," as defined in Exchange Act Rule 9b-1, provided that such options are offered and sold only to eligible contract participants.
See Also - Petition 4-644A
Submitted By:

James E. Brown, Executive Vice President — Legal, The Options Clearing Corporation
4-644 Request for rulemaking to: adopt new Securities Act Rule 241 to exempt certain over-the counter options from provisions of the Securities Act; provide a temporary exemption with respect to Credit Default Swaps; and to amend Exchange Act Rule 12h-1 to exempt from Exchange Act registration options that are issued and cleared by a registered or exempt clearing agency in its function as a central counterparty.
Submitted By:

James E. Brown, Executive Vice President — Legal, The Options Clearing Corporation
4-644 Request for rulemaking to amend Rule 238 under the Securities Act to extend the rule's exemption from all provisions of the Securities Act (other than 17(a)) to over-the-counter options that are cleared by a clearing agency registered with the Commission pursuant to Section 17A of the Exchange Act, provided that such options are offered and sold only to "eligible contract participants" as defined in Section 3(a)(65) of the Exchange Act; and to amend Rule 12h-1 under the Exchange Act to extend the rule's exemption from registration to options that are cleared by a clearing agency registered with the Commission pursuant to Section 17A of the Exchange Act, without requiring that such options be "standardized options," as defined in Exchange Act Rule 9b-1, provided that such options are offered and sold only to eligible contract participants.
See Also - Petition 4-644A
Submitted By:

James E. Brown, Executive Vice President — Legal, The Options Clearing Corporation
4-643 Request for rulemaking to amend Rule 502(c) of Regulation D to eliminate the prohibition on offers or sales of securities by general solicitation or general advertising with respect to private funds
View Received Comments
Submitted By:

Richard H. Baker, President and CEO, Managed Funds Association
4-642 Request for rulemaking concerning Mandatory Sustainability Reporting and Disclosure
Submitted By:

Lisa Woll, CEO, US SIF: The Forum for Sustainable and Responsible Investing (formerly the Social Investment Forum)
4-641 Request for rulemaking, regulation or order pursuant to Section 36(a)(1) of the Exchange Act to provide exemptive relief from the application of Section 15(c)(3) of the Exchange Act and Rule 15c3-3 thereunder
View Received Comments
See Also - Exhibits
Submitted By:

Counsel on behalf of ICE Clear Credit LLC

Note:

Exhibits
4-638 Request for rulemaking to amend Rule 146(b) of the Securities Act of 1933 to designate securities listed on C2 Options Exchange, Incorporated as covered securities for the purpose of Section 18 of the Securities Act
Submitted By:

Joanne Moffic-Silver, Secretary, C2 Options Exchange, Incorporated
4-637-2 Petition to require public companies to disclose to shareholders the use of corporate resources for political activities
View Received Comments
Submitted By:

Lucian A. Bebchuk, Co-Chair, Bernard S. Black, John C. Coffee Jr., James D. Cox, Jeffrey N. Gordon, Ronald J. Gilson, Henry Hansmann, Robert J. Jackson Jr., Co-Chair, Donald C. Langevoort, Hillary A. Sale, The Committee on Disclosure of Corporate Political Spending
4-637-2 Request for rulemaking that would require public companies to disclose to shareholders the use of corporate resources for political activities
View Received Comments
See Also - Exhibits, 4-637-2 Amended Petition
Submitted By:

Citizens for Responsibility and Ethics in Washington and Stephen M. Silberstein
4-637 Petition to require public companies to disclose to shareholders the use of corporate resources for political activities
View Received Comments
Submitted By:

Lucian A. Bebchuk, Co-Chair, Bernard S. Black, John C. Coffee Jr., James D. Cox, Jeffrey N. Gordon, Ronald J. Gilson, Henry Hansmann, Robert J. Jackson Jr., Co-Chair, Donald C. Langevoort, Hillary A. Sale, The Committee on Disclosure of Corporate Political Spending
4-634 Request for rulemaking to mandate universal institutional brokerage commission transparency and disclosure
View Received Comments
See Also - additional letter
Submitted By:

William T. George
4-632 Request for rulemaking to amend Rule 146(b) of the Securities Act of 1933 to designate securities listed on BATS Exchange, Inc. as covered securities for the purpose of Section 18 of the Securities Act.
Submitted By:

Eric Swanson, SVP & General Counsel, BATS Exchange, Inc.
4-630 Request for rulemaking to amend Rule 14a-4(b)(2)(Requirements as to proxy) to eliminate the "withhold authority" vote on proxy forms used for the election of corporate directors.
View Received Comments
See Also - Supplement to petition
Submitted By:

Edward J. Durkin, Director, Corporate Affairs Department, United Br
4-628 Request for rulemaking to amend Rule 651 of the Philadelphia Stock Exchange (n/k/a NASDAQ OMX PHLX)
View Received Comments
See Also - Supplement to petition
Submitted By:

Joseph D. Carapico, G.P., Pennmont Securities
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