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 | 

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Release No. Date Details
Fourth Quarter
34-93614 Nov. 18, 2021 Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants (Conformed to Federal Register version)
File No: S7-19-21
Comments Due: January 3, 2022
See Also: Press Release No. 2021-240; Fact Sheet
34-93613 Nov. 18, 2021 Reporting of Securities Loans
File No: S7-18-21
Comments Due: 30 days after publication in the Federal Register
Comments received are available for this proposal.
See Also: Press Release No. 2021-239; Fact Sheet
34-93595 Nov. 17, 2021 Proxy Voting Advice (Conformed to Federal Register version)
File No: S7-17-21
Comments Due: December 27, 2021
Comments received are available for this proposal.
See Also: Press Release No. 2021-236; Fact Sheet
33-11005 Nov. 4, 2021 Updating EDGAR Filing Requirements (Conformed to Federal Register version)
File No: S7-16-21
Other Release Nos: 34-93519
Comments Due: December 22, 2021
Comments received are available for this proposal.
34-93518 Nov. 4, 2021 Electronic Submission of Applications for Orders under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F (Conformed to Federal Register version)
File No: S7-15-21
Other Release Nos: IA-5903; IC-34415
Comments Due: December 20, 2021
See Also: Press Release No. 2021-223; Fact Sheet
33-10998 Oct. 14, 2021 Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation (Conformed to Federal Register version)
File No: S7-12-15
Other Release Nos: 34-93311; IC-34399
Comments Due: November 22, 2021
Comments received are available for this proposal.
See also: Press Release 2021-210; Fact Sheet; Proposed Rule 33-9861
Third Quarter
34-93169 Sep. 29, 2021 Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers (Conformed to Federal Register version)
File No: S7-11-21
Other Release Nos: IC-34389
Comments Due: December 14, 2021
Comments received are available for this proposal.
Federal Register version (86 FR 57478)
Second Quarter
34-91603 Apr. 16, 2021 Reopening of Comment Period for Universal Proxy (Conformed to Federal Register version)
File No: S7-24-16
Other Release Nos: IC-34246
Comments Due: June 7, 2021
Comments received are available for this proposal. Federal Register version (86 FR 24364)
See also: Final Rule 34-93596; Press Release 2021-64; Proposed Rule 34-79164