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:
Release No. |
Date |
Details |
Fourth Quarter |
34-63576 |
Dec. 20, 2010 |
Registration of Municipal Advisors
File No.: S7-45-10
Comments Due: February 22, 2011
Federal Register version
Comments received
are available
for this proposal.
See also: Final Rule Release Nos.
34-71288
and
34-70462; Interim Temporary Final Rule Release No.
34-70468, Extension of Temporary Registration of Municipal Advisors;
Small Entity Compliance Guide
|
34-63557 |
Dec. 15, 2010 |
Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations
File No.: S7-44-10
Comments Due: February 14, 2011
Federal Register version
Comments received
are available
for this proposal.
See also: Final Rule Release Nos.
34-67286,
Correction:
34-67286A,
Extension:
34-68357; Proposed Rule Release No.
34-63557;
Comments; and
Security-Based Swaps Implementation Policy Statement
|
34-63556 |
Dec. 15, 2010 |
End-User Exception to Mandatory Clearing of Security-Based Swaps (Corrected)
File No.: S7-43-10
Comments Due: 60 days from publication of
34-69491
in the Federal Register
Federal Register version
Comments received
are available
for this proposal.
See also:
Security-Based Swaps Implementation Policy Statement
|
34-63549 |
Dec. 15, 2010 |
Disclosure of Payments by Resource Extraction Issuers
File No.: S7-42-10
Comments Due: March 2, 2011
Federal Register version
Comments received
are available
for this proposal.
See also: Extension of comment period,
Rel. No. 34-63795
and Final Rule
Rel. No. 34-67717
|
33-9164 |
Dec. 15, 2010 |
Mine Safety Disclosure
Other Release No.: 34-63548
File No.: S7-41-10
Comments Due: March 2, 2011
Federal Register version
Comments received
are available
for this proposal.
See also: Extension of comment period,
Rel. No. 33-9179;
Final Rule Release No. 33-9286
|
34-63547 |
Dec. 15, 2010 |
Conflict Minerals
File No.: S7-40-10
Comments Due: March 2, 2011
Federal Register version
Comments received
are available
for this proposal.
See also: Extension of comment period,
Rel. No. 34-63793
and Final Rule
Rel. No. 34-67716
|
34-63452 |
Dec. 7, 2010 |
Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant"(Proposed Interpretations)
File No.: S7-39-10
Comments Due: February 22, 2011
Federal Register version
Comments received
are available
for this proposal.
|
IA-3118 |
Dec. 1, 2010 |
Temporary Rule Regarding Principal Trades with Certain Advisory Clients
File No.: S7-23-07
Comments Due: December 20, 2010
Federal Register version
Comments received
are available
for this proposal.
|
IA-3111 |
Nov. 19, 2010 |
Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers with Less Than $150 Million in Assets Under Management, and Foreign Private Advisers (Corrected)
File No.: S7-37-10
Comments Due: January 24, 2011
Federal Register version
Comments received
are available
for this proposal.
See also:
Letter on Transition and Initial Filing Deadlines from the Division of Investment Management
|
IA-3110 |
Nov. 19, 2010 |
Rules Implementing Amendments to the Investment Advisers Act of 1940 (Corrected)
File No.: S7-36-10
Comments Due: January 24, 2011
Additional Materials:
Appendix A: Form ADV: General Instructions
Appendix B: Form ADV: Instructions for Part 1A
Appendix C: Form ADV: Glossary of Terms
Appendix D: Form ADV, Part 1A
Appendix E: Form ADV Execution Pages
Appendix F: Form ADV-H
Appendix G: Form ADV-NR
Federal Register version
Comments received
are available
for this proposal.
See also:
Letter on Transition and Initial Filing Deadlines from the Division of Investment Management; Final Rule Release Nos.
IA-3221
and
IA-3403
|
34-63347 |
Nov. 19, 2010 |
Security-Based Swap Data Repository Registration, Duties, and Core Principles (Corrected to conform to Federal Register version)
File No.: S7-35-10
Comments Due: January 24, 2011 Comments received
are available
for this proposal.
See also: Final Rule;
Security-Based Swaps Implementation Policy Statement |
34-63346 |
Nov. 19, 2010 |
Regulation SBSR - Reporting and Dissemination of Security-Based Swap Information (Corrected)
File No.: S7-34-10
Comments Due: 60 days from publication of
34-69491
in the Federal Register
Federal Register version
Comments received
are available
for this proposal.
See also: Final Rule;
Memorandum on Block Trades Analysis from the Division of Risk, Strategy and Financial Innovation;
Security-Based Swaps Implementation Policy Statement
|
34-63237 |
Nov. 3, 2010 |
Proposed Rules for Implementing the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934 (Corrected version - corrects minor typographical errors)
File No.: S7-33-10
Comments Due: December 17, 2010
Federal Register version
Comments received
are available
for this proposal.
See also: Final Rule Release No.
34-64545
|
34-63236 |
Nov. 3, 2010 |
Prohibition Against Fraud, Manipulation, and Deception in Connection with Security-Based Swaps
File No.: S7-32-10
Comments Due: 60 days from publication of
34-69491
in the Federal Register
Federal Register version
Comments received
are available
for this proposal.
See also:
Final Rule Rel. No. 34-97656;
|
33-9153 |
Oct. 18, 2010 |
Shareholder Approval of Executive Compensation and Golden Parachute Compensation
Other Release No.: 34-63124
File No.: S7-31-10
Comments Due: November 18, 2010
Federal Register version
Comments received
are available
for this proposal.
See also: Final Rule Release No.
33-9178
|
34-63123 |
Oct. 18, 2010 |
Reporting of Proxy Votes on Executive Compensation and Other Matters
Other Release No.: IC-29463
File No.: S7-30-10
Comments Due: November 18, 2010
Federal Register version
Comments received
are available
for this proposal.
|
34-63107 |
Oct. 14, 2010 |
Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC
File No.: S7-27-10
Comments Due: 60 days from publication of
34-69491
in the Federal Register
Federal Register version
Comments received
are available
for this proposal.
See also: Proposed Rule Release No.
34-64018;
Security-Based Swaps Implementation Policy Statement
|
33-9150 |
Oct. 13, 2010 |
Issuer Review of Assets in Offerings of Asset-Backed Securities (Corrected)
Other Release No.: 34-63091
File No.: S7-26-10
Comments Due: November 15, 2010
Federal Register version
Comments received
are available
for this proposal.
See also: Final Rule Release No.
33-9176
|
IA-3098 |
Oct. 12, 2010 |
Family Offices
File No.: S7-25-10
Comments Due: November 18, 2010
Federal Register version
Comments received
are available
for this proposal.
See also: Final Rule Release No.
IA-3220
|
33-9148 |
Oct. 4, 2010 |
Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Other Release No.: 34-63029
File No.: S7-24-10
Comments Due: November 15, 2010
Federal Register version
Comments received
are available
for this proposal.
See also: Final Rule Release No.
33-9175A; Final Rule Release No.
33-9175;
Correction |
Third Quarter |
33-9143 |
Sep. 17, 2010 |
Short-Term Borrowings Disclosure
Other Release No.: 34-62932
File No.: S7-22-10
Comments Due: November 29, 2010
Federal Register version
Comments received
are available
for this proposal.
|
33-9137 |
Aug. 30, 2010 |
Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
File No.: S7-18-10
Comments Due: October 4, 2010
Federal Register version
Comments received
are available
for this proposal.
|
33-9128 |
Jul. 21, 2010 |
Mutual Fund Distribution Fees; Confirmations
Other Release No.: 34-62544, IC-29367
File No.: S7-15-10
Comments Due: November 5, 2010
Federal Register version
Comments received
are available
for this proposal.
|
34-62445 |
Jul. 2, 2010 |
Elimination of Flash Order Exception from Rule 602 of Regulation NMS (Proposed Rule; Reopening of Comment Period)
File No.: S7-21-09
Comments Due: August 9, 2010
Federal Register version
Comments received
are available
for this proposal.
See also: Proposed Rule Release No.
34-60684
|
Second Quarter |
33-9126 |
Jun. 16, 2010 |
Investment Company Advertising: Target Date Retirement Fund Names and Marketing
Other Release Nos.: 34-62300, IC-29301
File No.: S7-12-10
Comments Due: August 23, 2010
Federal Register version
Comments received
are available
for this proposal.
See also: Proposed Rule Release No.
33-9309 |
34-62174 |
May 26, 2010 |
Consolidated Audit Trail
File No.: S7-11-10
Comments Due: August 9, 2010
Federal Register version
Comments received
are available
for this proposal.
|
34-61908 |
Apr. 14, 2010 |
Large Trader Reporting System
File No.: S7-10-10
Comments Due: June 22, 2010
Federal Register version
Comments received
are available
for this proposal.
See also: Final Rule Release No.
34-64976
|
34-61902 |
Apr. 14, 2010 |
Proposed Amendments to Rule 610 of Regulation NMS
File No.: S7-09-10
Comments Due: June 21, 2010
Federal Register version
Comments received
are available
for this proposal.
|
33-9117 |
Apr. 7, 2010 |
Asset-Backed Securities
Other Release No.: 34-61858
File No.: S7-08-10
Comments Due: August 2, 2010
Federal Register version
Comments received
are available
for this proposal.
See also: Final Rule Release No.
33-9638; Proposed Rule Release Nos. 33-9552 and 33-9244, Federal Register Correction (79 FR 58674), Federal Register Correction (79 FR 66607), Technical Amendment Release No. 33-9720
|
First Quarter |
34-61414 |
Jan. 26, 2010 |
Purchases of Certain Equity Securities by the Issuer and Others
File No.: S7-04-10
Comments Due: March 1, 2010
Federal Register version
Comments received
are available
for this proposal.
|
34-61379 |
Jan. 19, 2010 |
Risk Management Controls for Brokers or Dealers with Market Access
File No.: S7-03-10
Comments Due: March 29, 2010
Federal Register version
Comments received
are available
for this proposal.
See also: Final Rule Release No.
34-64748; Final Rule Release No.
34-63241
|