File Number: 4-819
Date: Nov. 30, 2023
Details: Rulemaking Petition To Amend the Pattern Day Trading Rule Submitted By: Kelly Ryan Kane
File Number: 4-817
Date: Nov. 9, 2023
Details: Rulemaking petition for modification of the dollar threshold figures defining an M&A broker Related Rulemaking Petition of Cabin Securities , Related Rulemaking Petition of Great Point Capital Advisors Submitted By: Mark Atchity, President & CEO, JCC Capital Markets, LLC
File Number: 4-816
Date: Nov. 6, 2023
Details: 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
File Number: 4-815
Date: April 25, 2023
Details: Rulemaking Petition to allow Inline XBRL format for Resource Extraction data Submitted By: Jennifer Froberg, EDGAR Services Team, Toppan Merrill
File Number: 4-814
Date: Sept. 5, 2023
Details: 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 Submitted By: Plasmatron Laboratories
File Number: 4-813
Date: Sept. 29, 2023
Details: 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
File Number: 4-812
Date: Oct. 3, 2023
Details: 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
File Number: 4-811
Date: Sept. 14, 2023
Details: 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
File Number: 4-810
Date: Aug. 27, 2023
Details: Proposal to REPEAL Approved Rule SR-NSCC-2010-11 View Received Comments Submitted By: Reflex Entertainment, LLC
File Number: 4-808
Date: July 25, 2023
Details: Rulemaking Petition to modify Rule 13f-1 to shorten the Form 13F filing deadline Submitted By: James Lintner
File Number: 4-807
Date: Aug. 15, 2023
Details: Proposal to the Amend Pattern Day Trading (PDT) Rule. Submitted By: Trung Nguyen
File Number: 4-806
Date: July 8, 2023
Details: Rulemaking Petition to prohibit payment for order flow Submitted By: Cory Elliott
File Number: 4-805
Date: June 16, 2023
Details: Rulemaking Petition to ensure protection from prohibited personnel practices Submitted By: Allison C. Giles, Assistant Counsel, National Treasury Employees Union
File Number: 4-804
Date: May 10, 2023
Details: 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
File Number: 4-803
Date: April 26, 2023
Details: Rulemaking Petition to mitigate the risks of short selling by closing a loophole in Rule 200 of Regulation SHO. Submitted By: Mr. Jacob Gillmore
File Number: 4-802
Date: Feb. 25, 2023
Details: Rulemaking Petition for modification of the M&A Broker Exemptions provision of the Consolidated Appropriations Act Submitted By: Dante Fichera, President, Independent Investment Bankers
File Number: 4-801
Date: March 9, 2023
Details: 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
File Number: 4-800
Date: Jan. 27, 2023
Details: 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
File Number: 4-799
Date: Jan. 13, 2023
Details: 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.
File Number: 4-798
Date: Dec. 16, 2022
Details: Rulemaking petition to strengthen insider trading reporting requirements and increase penalties for insider trading. Submitted By: Atticus Wong
File Number: 4-797
Date: Dec. 15, 2022
Details: Rulemaking petition to change the stock halt rule.
File Number: 4-796
Date: Nov. 9, 2022
Details: 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
File Number: 4-795
Date: Nov. 22, 2022
Details: 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
File Number: 4-794
Date: Oct. 7, 2022
Details: 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
File Number: 4-793
Date: Oct. 14, 2022
Details: Rulemaking petition to amend Reg SHO. Submitted By: R. T. Leuchtkafer
File Number: 4-792
Date: Sept. 10, 2022
Details: Rulemaking petition to extend the current rules regarding performance reporting of mutual funds and ETFs. Submitted By: Ramesh Errabolu
File Number: 4-791
Date: Aug. 2, 2022
Details: 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.
File Number: 4-790
Date: July 21, 2022
Details: 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 Exhibit 1 , Exhibit 2 , Exhibit 3 , Exhibit 4 , Exhibit 5 Submitted By: William J. Harrington, Croatan Institute
File Number: 4-789
Date: July 21, 2022
Details: 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 Submitted By: Paul Grewal, Chief Legal Officer, Coinbase Global, Inc.
File Number: 4-788
Date: July 20, 2022
Details: 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
File Number: 4-787
Date: June 7, 2022
Details: 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
File Number: 4-786
Date: May 20, 2022
Details: Rulemaking petition to require issuers to disclose their business dealings in and with the People's Republic of China Submitted By: Steve Milloy
File Number: 4-785
Date: May 11, 2022
Details: 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 Exhibit , SEC Release No. 34-83663 Submitted By: We Want Fair Markets
File Number: 4-784
Date: April 14, 2022
Details: 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
File Number: 4-783
Date: Feb. 7, 2022
Details: Petition for Issuance, Amendment or Repeal of Commission Rules Related to Whistleblower Submission of Original Information to the News Media View Received Comments 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
File Number: 4-782
Date: Jan. 22, 2022
Details: 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
File Number: 4-781
Date: Dec. 29, 2021
Details: Petition for Rulemaking to Abrogate or Amend Financial Industry Regulatory Authority Rules 2268(d), 12200, and 12204(d) View Received Comments Exhibits Submitted By: Andrew B. Kay, Esq., P. Randolph Seybold, Esq., Venable LLPRichard T. Choi, Esq., Ann B. Furman, Esq., Carlton Fields, P.A.
File Number: 4-780
Date: Nov. 16, 2021
Details: 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
File Number: 4-779
Date: Oct. 31, 2021
Details: Rulemaking petition for public disclosure of Covid mandated terminations Amended petition , Additional Petition Submitted By: George Webster
File Number: 4-778
Date: Oct. 29, 2021
Details: 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
File Number: 4-777
Date: Sept. 27, 2021
Details: 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
File Number: 4-776
Date: Sept. 27, 2021
Details: 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
File Number: 4-775
Date: Sept. 21, 2021
Details: 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
File Number: 4-774
Date: May 30, 2021
Details: 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
File Number: 4-773
Date: April 26, 2021
Details: Request to change the rules which qualifies an individual or individuals as an accredited investor Submitted By: Benny R. Brown
File Number: 4-772
Date: April 21, 2021
Details: Request to amend Regulation S-K (17 C.F.R. § 229.402(d), instruction (7)) Submitted By: Stuart J. Kaswell, Esq.
File Number: 4-771
Date: April 12, 2021
Details: 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
File Number: 4-770
Date: March 18, 2021
Details: 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
File Number: 4-769
Date: Feb. 8, 2021
Details: 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
File Number: 4-768
Date: Dec. 21, 2020
Details: 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
File Number: 4-767
Date: Nov. 9, 2020
Details: Request to amend custody rule 206(4)(2) View Received Comments Submitted By: Stuart Kaswell, Esq.
File Number: 4-766
Date: Nov. 2, 2020
Details: 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
File Number: 4-765
Date: Aug. 10, 2020
Details: Request to regulate use of encrypted, un-monitored chatrooms by traders View Received Comments Submitted By: Alberto Thomas, Partner, Fideres Partners LLP
File Number: 4-763
Date: July 9, 2020
Details: 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
File Number: 4-761
Date: April 29, 2020
Details: 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
File Number: 4-760
Date: April 16, 2020
Details: 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
File Number: 4-759
Date: April 6, 2020
Details: 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.
File Number: 4-758
Date: Feb. 12, 2020
Details: 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
File Number: 4-756
Date: Dec. 16, 2019
Details: 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
File Number: 4-755
Date: Oct. 24, 2019
Details: Rulemaking petition requesting a hard cap on the maximum APR rate of any stock borrowed Submitted By: Patrick Whittemore
File Number: 4-754
Date: Sept. 17, 2019
Details: Rulemaking petition requesting transparency of funding of consolidated market data Submitted By: Wesley Althoff, Securities Industry and Financial Markets Association
File Number: 4-752
Date: Aug. 15, 2019
Details: 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
File Number: 4-751
Date: Aug. 13, 2019
Details: Request appropriate action to prevent and prohibit registrants from making materially false and misleading claims and statements related to global climate change (Corrected) Supplement to petition Submitted By: Steve Milloy, Director, Energy & Environment Legal Institute
File Number: 4-750
Date: Aug. 9, 2019
Details: 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.
File Number: 4-748
Date: July 9, 2019
Details: Request to amendment of Title 17, §270.30b1-4, Report of proxy voting record Submitted By: James McRitchie, Corporate Governance
File Number: 4-746
Date: June 25, 2019
Details: 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
File Number: 4-745
Date: April 29, 2019
Details: 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
File Number: 4-744
Date: April 26, 2019
Details: Rulemaking petition to amend or repeal the pattern day trader rule View Received Comments Submitted By: Stephen Callahan
File Number: 4-743
Date: April 4, 2019
Details: Rulemaking petition on digital asset mining (Revised) Submitted By: Vincent R. Molinari, Templum Markets, LLC
File Number: 4-742
Date: April 5, 2019
Details: 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.
File Number: 4-741
Date: Feb. 27, 2019
Details: Rulemaking petition on biomass and climate disclosures Letter to the SEC , Exhibit A , Exhibit B , and Exhibit C Submitted By: Dusty Horwitt, Partnership for Policy Integrity
File Number: 4-740
Date: Dec. 19, 2018
Details: Rulemaking petition to amend Rule 17g-7(b) Submitted By: Chad Sandstedt, CFA, TagniFi, LLC
File Number: 4-739
Date: Dec. 19, 2018
Details: Request for rulemaking regarding the administration of the Financial Industry Regulatory Association Submitted By: Maranda E. Fritz, Thompson Hine LLP
File Number: 4-738
Date: Dec. 19, 2018
Details: Request for rulemaking with respect to certain actions, practices and rules of a certain clearing agency Submitted By: Brent R. Baker, Clyde Snow & Sessions
File Number: 4-736
Date: Dec. 12, 2018
Details: Request for rulemaking to address how digital assets are regulated once a trade occurs Submitted By: Vincent R. Molinari, Templum, Inc.
File Number: 4-735
Date: Nov. 7, 2018
Details: Request for rulemaking to clarify, improve and strengthen certain aspects of the SEC Whistleblower Program Submitted By: Taylor Scott Amarel
File Number: 4-734
Date: Nov. 7, 2018
Details: Request for rulemaking on extension of access equals delivery reforms to include business combination
File Number: 4-733
Date: Oct. 30, 2018
Details: Request for rulemaking to amend the rule restricting speech that is set forth in 17 C.F.R. § 202.5(e) ("The Gag Rule") Submitted By: Margaret Little, New Civil Liberties Alliance
File Number: 4-731
Date: Oct. 3, 2018
Details: 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
File Number: 4-730
Date: Oct. 1, 2018
Details: 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
File Number: 4-728
Date: Aug. 23, 2018
Details: 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
File Number: 4-727
Date: Aug. 7, 2018
Details: 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
File Number: 4-726
Date: July 30, 2018
Details: 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
File Number: 4-724
Date: June 18, 2018
Details: 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
File Number: 4-723
Date: May 22, 2018
Details: 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
File Number: 4-722
Date: March 27, 2018
Details: 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
File Number: 4-721
Date: Feb. 6, 2018
Details: 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
File Number: 4-720
Date: Feb. 6, 2018
Details: 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.
File Number: 4-719
Date: Jan. 26, 2018
Details: 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
File Number: 4-718
Date: Feb. 2, 2018
Details: 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
File Number: 4-717
Date: Jan. 17, 2018
Details: 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
File Number: 4-716
Date: Dec. 7, 2017
Details: Rulemaking petition concerning market data fees View Received Comments Submitted By: Ben Brown, Patomak Global Partners
File Number: 4-713
Date: Nov. 14, 2017
Details: Rulemaking petition to amend Exchange Act Rule 17a-4(f) View Received Comments Addendum Submitted By: Melissa MacGregor
File Number: 4-712
Date: Nov. 2, 2017
Details: 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.
File Number: 4-711
Date: July 6, 2017
Details: 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
File Number: 4-710
Date: March 15, 2017
Details: Rulemaking petition regarding the regulation of digital assets and blockchain technology View Received Comments Submitted By: Vincent Molinari, Ouisa Capital
File Number: 4-708
Date: March 2, 2017
Details: Rulemaking petition to amend Rule 1092(b)3 of PHLX Stock Exchange View Received Comments Submitted By: Martin Feins
File Number: 4-706
Date: Dec. 19, 2016
Details: Rulemaking petition to amend Form ADV to update reporting criteria of investment adviser asset ownership Submitted By: Mike Nicholas, Bond Dealers of America
File Number: 4-704
Date: Sept. 22, 2016
Details: 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
File Number: 4-703
Date: July 27, 2016
Details: 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.
