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:

Third Quarter |  Second Quarter |  First Quarter

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Release No. Date Details
Third Quarter
34-78963 Sep. 28, 2016 Definition of "Covered Clearing Agency"
File No.:   S7-23-16
Comments Due:  60 days after date of publication in the Federal Register
34-78962 Sep. 28, 2016 Amendment to Securities Transaction Settlement Cycle
File No.:   S7-22-16
Comments Due:  60 days after date of publication in the Federal Register
33-10220 Sep. 23, 2016 Extension of Comment Period for Disclosure Update and Simplification
File No.:   S7-15-16
See also: Proposed Rule Release No. 33-10110; Demonstration Version (Corrected to conform to Federal Register version of Release)
Comments Due:  November 2, 2016
Comments received are available for this proposal.
33-10201 Aug. 31, 2016 Exhibit Hyperlinks and HTML Format
File No.:   S7-19-16
Comments Due:   October 27, 2016
Comments received are available for this proposal.
33-10127 Aug. 23, 2016 Extension of Comment Period for Modernization of Property Disclosures for Mining Registrants
File No.:   S7-10-16
See also: Proposed Rule Release No. 33-10098
Comments Due:  September 26, 2016
Comments received are available for this proposal. Federal Register version (81 FR 58877)
33-10110 Jul. 13, 2016 Disclosure Update and Simplification (Corrected to conform to Federal Register version)
File No.:   S7-15-16
See also: Demonstration Version (Corrected to conform to Federal Register version of Release)
Comments Due:  October 3, 2016
Comments received are available for this proposal. Federal Register version (81 FR 51607)
34-78309 Jul. 13, 2016 Disclosure of Order Handling Information
File No.:   S7-14-16
Comments Due:  September 26, 2016
Comments received are available for this proposal. Federal Register version (81 FR 49431)
Second Quarter
IA-4439 Jun. 28, 2016 Adviser Business Continuity and Transition Plans
File No.:   S7-13-16
Comments Due:  September 6, 2016
Comments received are available for this proposal. Federal Register version (81 FR 43530)
33-10107 Jun. 27, 2016 Amendments to Smaller Reporting Company Definition
File No.:   S7-12-16
Comments Due:  August 30, 2016
Comments received are available for this proposal. Federal Register version (81 FR 43130)
33-10098 Jun. 16, 2016 Modernization of Property Disclosures for Mining Registrants
File No.:   S7-10-16
See also: Extension of Comment Period, Release No. 33-10127
Comments Due:  August 26, 2016
Comments received are available for this proposal. Federal Register versions (81 FR 41651): HTML | PDF
34-77776 May 6, 2016 Incentive-based Compensation Arrangements
File No.:   S7-07-16
Comments Due:  July 22, 2016
Comments received are available for this proposal.
Federal Register version (81 FR 37669)
First Quarter
34-77172 Feb. 18, 2016 Extension of Comment Period for Advance Notice of Proposed Rulemaking; Concept Release; Request for Comment
File No.:   S7-27-15
See also: Release No.: 34-76743
Comments Due:  April 14, 2016
Comments received are available for this proposal.
Federal Register version (81 FR 8867)
34-77157 Feb. 17, 2016 Covered Broker-Dealer Provisions under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Conformed to Federal Register version)
File No.:   S7-02-16
Comments Due:   May 2, 2016
Comments received are available for this proposal.
Federal Register version (81 FR 10798)
34-76958 Jan. 21, 2016 Extension of Comment Period for Disclosure of Payments by Resource Extraction Issuers
File No.:   S7-25-15
Comments Due:  Initial comments are due on February 16, 2016. Reply comments, which may respond only to issues raised in the initial comment period, are due on March 8, 2016.
See also: Disclosure of Payments by Resource Extraction Issuers
Comments received are available for this proposal.
Federal Register version (81 FR 4598)
34-76922 Jan. 15, 2016 Access to Data Obtained by Security-Based Swap Data Repositories and Exemption from Indemnification Requirement (Reopening of Comment Period)
File No.:   S7-15-15
Comments Due:  February 22, 2015
Comments received are available for this proposal.
See also:  Final Rule Release No. 34-78716
Federal Register (81 FR 3354): HTML | PDF | XML | Text