SEC Proposed Rules

We encourage the public to submit comments on the following proposed rules during the comment period. For detailed instructions, please read How to Submit Comments. Proposed rules currently available include:

Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

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Release No. Date Details
Fourth Quarter
33-10569 Oct. 30, 2018 Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts 
File No: S7-23-18
Comments Due: February 15, 2019
Comments received are available for this proposal.
See Also:   Appendix A: Hypothetical Initial Summary Prospectus
Appendix B: Hypothetical Updating Summary Prospectus
Appendix C: Feedback Flier – Variable Annuity Summary Prospectus (PDF)
Appendix D: Form N-3
Appendix E: Form N-4
Appendix F: Form N-6
34-84409 Oct. 11, 2018 Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers (Conformed to Federal Register version)
File No: S7-08-12
Comments Due: November 19, 2018
Federal Register version (83 FR 53007)
Third Quarter
34-84289 Sep. 26, 2018 Amendments to Rules for Nationally Recognized Statistical Rating Organizations
File No: S7-22-18
Comments Due: November 5, 2018
Comments received are available for this proposal.
Federal Register version (83 FR 50297)
34-84225 Sep. 20, 2018 Amendment to Single Issuer Exemption for Broker-Dealers
File No: S7-21-18
Comments Due: October 29, 2018
Comments received are available for this proposal.
Federal Register version (83 FR 48733)
BHCA-4 Sep. 4, 2018 Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
File No: S7-14-18
Comments Due: October 17, 2018
See also: Proposed Rule Release No. BHCA-3
Comments received are available for this proposal.
33-10526 Jul. 24, 2018 Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant’s Securities (Conformed to Federal Register Version)
Other Release No.:   34-83701
File No.:   S7-19-18
Comments Due: December 3, 2018
Comments received are available for this proposal. Federal Register version (83 FR 49630)
Second Quarter
34-83557 Jun. 29, 2018 Amendments to the Commission’s Whistleblower Program Rules (Conformed to Federal Register version)
File No.:   S7-16-18
Comments Due: September 18, 2018
Comments received are available for this proposal. Federal Register version (83 FR 34702)
33-10515 Jun. 28, 2018 Exchange-Traded Funds (Conformed to Federal Register version)
Other Release No.:   IC-33140
File No.:   S7-15-18
Comments Due: October 1, 2018
Comments received are available for this proposal. Federal Register version (83 FR 37332)
BHCA-3 Jun. 5, 2018 Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds (Conformed to Federal Register version)
Comments Due: 60 days after date of publication
Comments received are available for this proposal.
Federal Register version (83 FR 33432)
33-10498 May 23, 2018 Covered Investment Fund Research Reports (Conformed to Federal Register version)
Other Release Nos.:   34 83307; IC 33106
File No.:   S7-11-18
Comments Due: July 9, 2018
Comments received are available for this proposal. Federal Register version (83 FR 26788)
33-10491 May 2, 2018 Auditor Independence with Respect to Certain Loans or Debtor-Creditor Relationships (Conformed to Federal Register version)
Other Release Nos.:   IC-33091; IA-4904
File No.:   S7-10-18
Comments Due: July 9, 2018
Comments received are available for this proposal. Federal Register version (83 FR 20753)
34-83063 Apr. 18, 2018 Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures in Retail Communications and Restrictions on the use of Certain Names or Titles (Conformed to Federal Register Version)
Other Release No.:   IA-4888
File No.:   S7-08-18
Comments Due: August 7, 2018
Comments received are available for this proposal. See Also:   Appendix A: Form ADV General Instructions
Appendix B: Instructions to Form CRS
Appendix C: Dual Registrant Mock-up
Appendix D: Broker-Dealer Mock-up
Appendix E: Investment Adviser Mock-up
Appendix F: Feedback on the Relationship Summary (PDF) (Conformed to Federal Register Version)
Federal Register version (83 FR 21416)
IA-4889 Apr. 18, 2018 Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation
File No.:   S7-09-18
Comments Due: August 7, 2018
Comments received are available for this proposal. Federal Register version (83 FR 21203)
34-83062 Apr. 18, 2018 Regulation Best Interest (Conformed to Federal Register version)
File No.:   S7-07-18
Comments Due: August 7, 2018
Comments received are available for this proposal. Federal Register version (83 FR 21574)
First Quarter
34-82873 Mar. 14, 2018 Transaction Fee Pilot for NMS Stocks
File No.:   S7-05-18
Comments Due: May 25, 2018
Comments received are available for this proposal. Federal Register version (83 FR 13008)
IC-33046 Mar. 14, 2018 Investment Company Liquidity Disclosure (Conformed to Federal Register version)
File No.:   S7-04-18
Comments Due: May 18, 2018
Comments received are available for this proposal. Federal Register version (83 FR 11905)