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 |
34-66058 |
Dec. 23, 2011 |
Prohibition Against Conflicts of Interest in Certain Securitizations (extension of comment period)
File No.: S7-38-11
Federal Register:
HTML
|
PDF
|
text
|
XML
Comments Due: February 13, 2012
Comments received
are available
for this proposal.
See also: Proposed Rule Release Nos.
34-65942
and
34-65355
|
34-66057 |
Dec. 23, 2011 |
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds (extension of comment period)
File No.: S7-41-11
Federal Register:
HTML
|
PDF
|
text
|
XML
Comments Due: February 13, 2012
Comments received
are available
for this proposal.
See also: Proposed Rule Release No.
34-65545
|
34-65942 |
Dec. 13, 2011 |
Prohibition Against Conflicts of Interest in Certain Securitizations (extension of comment period)
File No.: S7-38-11
Federal Register:
HTML
|
PDF
|
Text
|
XML
Comments Due: January 13, 2012
Comments received
are available
for this proposal.
See also: Proposed Rule Release No.
34-65355
and
34-66058
|
34-65545 |
Oct. 12, 2011 |
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds (Notice of Proposed Rulemaking) [Corrected to conform to Federal Register version]
File No.: S7-41-11
Federal Register:
HTML
|
PDF
|
Text
|
XML
Comments Due: January 13, 2012
Comments received
are available
for this proposal.
See also: Proposed Rule Release No.
34-66057
|
34-65543 |
Oct. 12, 2011 |
Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
File No.: S7-40-11
Federal Register:
HTML
|
PDF
|
text
|
XML
Comments Due: 60 days from publication of
34-69491
in the Federal Register
Comments received
are available
for this proposal.
Additional Materials:
Form SBSE
Form SBSE-A
Form SBSE-BD
Form SBSE-C
Form SBSE-W
See also: Final Rule Release No. 34-75611; Security-Based Swaps Implementation Policy Statement
|
Third Quarter |
34-65355 |
Sep. 19, 2011 |
Prohibition against Conflicts of Interest in Certain Securitizations
File No.: S7-38-11
Federal Register version
Comments Due: December 19, 2011
Comments received
are available
for this proposal.
See also: Proposed Rule Release No.
34-65942
and
34-66058
|
33-9251 |
Aug. 8, 2011 |
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
File No.: S7-31-11
Comments Due: September 12, 2011
Federal Register version
Comments received
are available
for this proposal.
See also: Final Rule Release No.
33-9295 |
33-9244 |
Jul. 26, 2011 |
Re-proposal of Shelf Eligibility Conditions for Asset-Backed Securities and Other Additional Requests for Comment
Other Release No.: 34-64968
File No.: S7-08-10
Comments Due: October 4, 2011
Federal Register version
Comments received
are available
for this proposal.
See also: Proposed Rule Release No.
33-9117 |
Second Quarter |
34-64766 |
Jun. 29, 2011 |
Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
File No.: S7-25-11
Comments Due: 60 days from publication of
34-69491
in the Federal Register
Federal Register version; See also
Correction
Comments received
are available
for this proposal.
See also: Final Rule 34-77617;
Security-Based Swaps Implementation Policy Statement
|
34-64676 |
Jun. 15, 2011 |
Broker-Dealer Reports
File No.: S7-23-11
Comments Due: August 26, 2011
Federal Register version
Comments received
are available
for this proposal.
|
33-9222 |
Jun. 9, 2011 |
Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies
File No.: S7-22-11
Comments Due: July 25, 2011
Federal Register version
Comments received
are available
for this proposal.
See also: Final Rule Release No.
33-9308
|
34-64603 |
Jun. 6, 2011 |
Credit Risk Retention (extension of comment period)
File No.: S7-14-11
Comments Due: August 1, 2011
Federal Register version
Comments received
are available
for this proposal.
See also: Proposed Rule Release No.
34-64148
|
33-9204A |
Jun. 1, 2011 |
Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping (Joint Proposed Rules; Proposed Interpretation; Correction)
Other Release No.: 34-64372A
File No.: S7-16-11
Federal Register version
See also: Proposed Rule Release No.
33-9204
|
33-9211 |
May 25, 2011 |
Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings
File No.: S7-21-11
Comments Due: July 14, 2011
Federal Register version
Comments received
are available
for this proposal.
|
PA-45 |
May 18, 2011 |
Privacy Act of 1974: Implementation and Amendment of Exemptions
File No.: S7-19-11
Comments Due: June 23, 2011
Federal Register version
Comments received
are available
for this proposal.
See also: Final Rule Release No.
PA-47
|
34-64514 |
May 18, 2011 |
Proposed Rules for Nationally Recognized Statistical Rating Organizations (Corrected version - adds missing file nos. on pages 2, 348 and 349)
File No.: S7-18-11
Comments Due: August 8, 2011
Federal Register version
Comments received
are available
for this proposal.
See also: Final Rule Release No.
34-72936
|
IA-3198 |
May 10, 2011 |
Investment Adviser Performance Compensation (Notice of Intent to Issue Order)
File No.: S7-17-11
Comments Due: July 11, 2011
Federal Register version
Comments received
are available
for this proposal.
See also: Order: Release No.
IA-3236;
Final Rule: Release No. IA-3372
|
33-9204 |
Apr. 29, 2011 |
Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping (Proposed Interpretations) (Corrected to conform to Federal Register version)
Other Release No.: 34-64372
File No.: S7-16-11
Comments Due: July 22, 2011
Federal Register versions:
33-9204
and
33-9204A
Comments received
are available
for this proposal.
See also: Proposed Rule Release No.
33-9204A;
Security-Based Swaps Implementation Policy Statement
|
33-9203 |
Apr. 29, 2011 |
Listing Standards for Compensation Committees (extension of comment period)
Other Release No.: 34-64366
File No.: S7-13-11
Comments Due: May 19, 2011
Federal Register version
Comments received
are available
for this proposal.
See also: Proposed Rule Release No.
33-9199; Final Rule Release No.
33-9330
|
34-64352 |
Apr. 27, 2011 |
Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934
File No.: S7-15-11
Comments Due: July 5, 2011
Federal Register version
Comments received
are available
for this proposal.
|
First Quarter |
34-64148 |
Mar. 30, 2011 |
Credit Risk Retention
File No.: S7-14-11
Comments Due: June 10, 2011
Federal Register version
Comments received
are available
for this proposal.
See also: Proposed Rule Release No.
34-64603
(extension of comment period) |
33-9199 |
Mar. 30, 2011 |
Listing Standards for Compensation Committees
File No.: S7-13-11
Comments Due: April 29, 2011
Federal Register version
Comments received
are available
for this proposal.
See also: Proposed Rule Release No.
33-9203; Final Rule Release No.
33-9330
|
34-64140 |
Mar. 29, 2011 |
Incentive-Based Compensation Arrangements
File No.: S7-12-11
Comments Due: May 31, 2011
Federal Register version
Comments received
are available
for this proposal.
|
34-64099 |
Mar. 18, 2011 |
Proposed amendments to Rule 17Ad-17; Transfer agents', brokers', and dealers' obligation to search for lost securityholders; paying agents' obligation to search for missing securityholders
File No.: S7-11-11
Comments Due: May 9, 2011
Federal Register version
Comments received
are available
for this proposal.
|
34-64087 |
Mar. 17, 2011 |
Beneficial Ownership Reporting Requirements and Security-Based Swaps
File No.: S7-10-11
Comments Due: April 15, 2011
Federal Register version
Comments received
are available
for this proposal.
See also: Final Rule Release No.
34-64628
|
34-64018 |
Mar. 3, 2011 |
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 (Reopening of Comment Period)
File No.: S7-27-10
Comments Due: April 29, 2011
Federal Register version
Comments received
are available
for this proposal.
See also: Proposed Rule Release No.
34-63107
|
34-64017 |
Mar. 3, 2011 |
Clearing Agency Standards for Operation and Governance
File No.: S7-08-11
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
|
33-9193 |
Mar. 3, 2011 |
References to Credit Ratings in Certain Investment Company Act Rules and Forms
Other Release No.: IC-29592
File No.: S7-07-11
Comments Due: April 25, 2011
Federal Register version
Comments received
are available
for this proposal.
See also: Final Rule Release No.
IC-30268
|
33-9186 |
Feb. 9, 2011 |
Security Ratings
Other Release No.: 34-63874
File No.: S7-18-08
Comments Due: March 28, 2011
Federal Register version
Comments received
are available
for this proposal.
See also: Final Rule Release No.
33-9245
|
34-63825 |
Feb. 2, 2011 |
Registration and Regulation of Security-Based Swap Execution Facilities (Proposed Interpretation)
File No.: S7-06-11
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
|
34-63795 |
Jan. 28, 2011 |
Disclosure of Payments by Resource Extraction Issuers (extension of comment period)
File No.: S7-42-10
Comments Due: March 2, 2011
Federal Register version
Comments received
are available
for this proposal.
See also: Proposed Rule Release No.
34-63549
and Final Rule
Rel. No. 34-67717
|
33-9179 |
Jan. 28, 2011 |
Mine Safety Disclosure (extension of comment period)
Other Release No.: 34-63794
File No.: S7-41-10
Comments Due: March 2, 2011
Federal Register version
Comments received
are available
for this proposal.
See also: Proposed Rule Release No.
33-9164
|
34-63793 |
Jan. 28, 2011 |
Conflict Minerals (extension of comment period)
File No.: S7-40-10
Comments Due: March 2, 2011
Federal Register version
Comments received
are available
for this proposal.
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See also: Proposed Rule Release No.
34-63547
and Final Rule
Rel. No. 34-67716
|
IA-3145 |
Jan. 26, 2011 |
Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
File No.: S7-05-11
Comments Due: April 12, 2011
Federal Register version
Comments received
are available
for this proposal.
See also: Final Rule Release No.
IA-3308
|
33-9177 |
Jan. 25, 2011 |
Net Worth Standard for Accredited Investors
Other Release No.: IA-3144, IC-29572
File No.: S7-04-11
Comments Due: March 11, 2011
Federal Register version
Comments received
are available
for this proposal.
See also: Final Rule Release No.
33-9287
|
34-63727 |
Jan. 14, 2011 |
Trade Acknowledgment and Verification of Security-Based Swap Transactions
File No.: S7-03-11
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
|
34-63652 |
Jan. 6, 2011 |
Suspension of the Duty to File Reports for Classes of Asset-Backed Securities Under Section 15(d) of the Securities Exchange Act of 1934
File No.: S7-02-11
Comments Due: February 7, 2011
Federal Register version
Comments received
are available
for this proposal.
See also: Final Rule Release No.
34-65148
|