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SEC Proposed Rules Archive: 2010

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

Additional Archives

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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.
Submit comments on S7-45-10
Additional Materials:
Form MA
Form MA Execution Page
Form MA-I
Form MA-W
Form MA-NR
Form MA-Instructions and Glossary
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.
Submit comments on S7-43-10
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.
Submit comments on S7-42-10
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.
Submit comments on S7-41-10
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.
Submit comments on S7-40-10
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.
Submit comments on S7-39-10
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.
Submit comments on S7-23-07
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.
Submit comments on S7-37-10
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.
Submit comments on S7-36-10
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.
Submit comments on S7-35-10
See also:  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.
Submit comments on S7-34-10
See also:  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.
Submit comments on S7-32-10
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.
Submit comments on S7-31-10
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.
Submit comments on S7-30-10
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.
Submit comments on S7-27-10
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.
Submit comments on S7-26-10
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.
Submit comments on S7-24-10
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.
Submit comments on S7-22-10
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.
Submit comments on S7-18-10
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.
Submit comments on S7-15-10
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.
Submit comments on S7-21-09
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.
Submit comments on S7-12-10
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.
Submit comments on S7-11-10
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.
Submit comments on S7-10-10
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.
Submit comments on S7-09-10
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.
Submit comments on S7-08-10
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.
Submit comments on S7-04-10
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

 

http://www.sec.gov/rules/proposed/proposedarchive/proposed2010.shtml

Modified: 01/14/2014