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:

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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