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:

Second Quarter |  First Quarter

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Release No. Date Details
Second Quarter
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 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 (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)