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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 | First Quarter

Additional Archives

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Release No. Date Details
Fourth Quarter
34-68071 Oct. 18, 2012 Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers (Corrected to conform to Federal Register version)
File No.:   S7-08-12
Comments Due:   60 days from publication of 34-69491 in the Federal Register
Comments received are available for this proposal.
Submit comments on S7-08-12
See also:  Correction: Release No. 34-68071A.pdf
Federal Register (77 FR 70213): HTML | PDF | text | XML
IA-3483 Oct. 9, 2012 Temporary Rule Regarding Principal Trades with Certain Advisory Clients (Corrected to conform to Federal Register version)
File No.:   S7-23-07
Comments Due:   30 days after the date of publication in the Federal Register
Comments received are available for this proposal.
Submit comments on S7-23-07
See also:  Interim Final Temporary Rule Release No. IA-2653; Proposed Rule Release No. IA-3118; Final Rule Release Nos. IA-3128, IA-2965, IA-2965a; Small Entity Compliance Guide
Federal Register (77 FR 62185): HTML | PDF | text | XML
Third Quarter
33-9354 Aug. 29, 2012 Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings
File No.:   S7-07-12
Comments Due:   October 5, 2012
Comments received are available for this proposal.
Submit comments on S7-07-12
Federal Register (77 FR 54464): HTML | PDF | text | XML
Second Quarter
34-66910 May 3, 2012 Amendments to Financial Responsibility Rules for Broker-Dealers (Reopening of Comment Period)
File No.:   S7-08-07
Comments Due:   June 8, 2012
Comments received are available for this proposal.
Submit comments on S7-08-07
See also:  Proposed Rule Release No. 34-55431
Federal Register (77 FR 27150): HTML | PDF | text | XML
33-9309 Apr. 3, 2012 Investment Company Advertising: Target Date Retirement Fund Names and Marketing (Reopening of Comment Period)
File No.:   S7-12-10
Comments Due:   May 21, 2012
Comments received are available for this proposal.
Submit comments on S7-12-10
See also:  Proposed Rule Release No. 33-9126
Federal Register (77 FR 20749): HTML | PDF | Text | XML
First Quarter
IC-29969 Feb. 27, 2012 Identity Theft Red Flags Rules (Joint Proposed Rules; Guidelines)
File No.:   S7-02-12
Comments Due:   May 7, 2012
Comments received are available for this proposal.
Federal Register (77 FR 13450): HTML | PDF | Text | XML

 

http://www.sec.gov/rules/proposed/proposedarchive/proposed2012.shtml

Modified: 05/02/2013