SEC Proposed Rules: 2013

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

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Release No. Date Details
Fourth Quarter
33-9497 Dec. 18, 2013 Proposed Rule Amendments for Small and Additional Issues Exemptions Under Section 3(b) of the Securities Act (Conformed to Federal Register version)
Other Release Nos.:   34-71120; 39-2493
File No.:   S7-11-13
Comments Due: March 24, 2014
Comments received are availablefor this proposal.
See also:  Final Rule: Release No. 33-9741
Federal Register (79 FR 3925): HTML| PDF| text| XML
33-9470 Oct. 23, 2013 Crowdfunding (Corrected to conform to Federal Register version)
Other Release Nos.:   34-70741
File No.:   S7-09-13
Comments Due: February 3, 2014
Comments received are availablefor this proposal.
Federal Register (78 FR 66427): HTML| PDF| text| XML
Third Quarter
33-9458 Sep. 27, 2013 Re-opening of Comment Period for Amendments to Regulation D, Form D and Rule 156
Other Release Nos.:   34-70538, IC-30737
File No.:   S7-06-13
Comments Due: November 4, 2013
Comments received are availablefor this proposal.
See also:  Proposed Rule: Release No. 33-9416; Division of Economic and Risk Analysis White Paper: Capital Raising in the U.S.: An Analysis of Unregistered Offerings Using the Regulation D Exemption, 2009-2012
Federal Register (78 FR 61222): HTML| PDF| text| XML
33-9452 Sep. 18, 2013 Pay Ratio Disclosure
Other Release No.:   34-70443
File No.:   S7-07-13
Comments Due:   December 2, 2013
Comments received are availablefor this proposal.
See also:  Final Rule Release No. 33-9877; Division of Economic and Risk Analysis Memorandum: Potential Effect on Pay Ratio Disclosure of Exclusion of Different Percentages of Employees at a Range of Thresholds
Division of Economic and Risk Analysis Memorandum: Extension of the Analysis of the Potential Effect on Pay Ratio Disclosure of Exclusion of Different Percentages of Employees at a Range of Thresholds
Federal Register (78 FR 60559): HTML| PDF| text| XML
34-70277 Aug. 28, 2013 Credit Risk Retention (Corrected to conform to Federal Register version)
File No.:   S7-14-11
Comments Due:   October 30, 2013
Comments received are availablefor this proposal.
See also:  Division of Economic and Risk Analysis White Paper: Qualified Residential Mortgage: Background Data Analysis on Credit Risk Retention; Proposed Rule Release Nos. 34-64603and 34-64148
Federal Register: (78 FR 57927): HTML| PDF| Text| XML
33-9416 Jul. 10, 2013 Amendments to Regulation D, Form D and Rule 156 under the Securities Act (Corrected to Conform to the Federal Register Version)
Other Release Nos.:   34-69960, IC-30595
File No.:   S7-06-13
Comments Due: September 23, 2013
Comments received are availablefor this proposal.
See also:  Re-opening of Comment Period: Release No. 33-9458; Division of Economic and Risk Analysis White Paper: Capital Raising in the U.S.: An Analysis of Unregistered Offerings Using the Regulation D Exemption, 2009-2012
Federal Register (78 FR 44806): HTML| PDF| text| XML
Second Quarter
33-9408 Jun. 5, 2013 Money Market Fund Reform; Amendments to Form PF
Other Release Nos.:   IA-3616, IC-30551
File No.:   S7-03-13
Comments Due:  September 17, 2013
Comments received are availablefor this proposal.
Federal Register: HTML| PDF| text| XML
34-69606 May 20, 2013 Regulation Systems Compliance and Integrity (extension of comment period)
File No.:   S7-01-13
Comments Due:   July 8, 2013
Comments received are availablefor this proposal.
See also:  Final Rule Correction Release No. 34-73639A; Final Rule Release No. 34-73639; Staff Guidance on Current SCI Industry Standards; Proposed Rule Release No. 34-69077
Federal Register: HTML| PDF| text| XML
34-69491 May 1, 2013 Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act
File Nos.:   S7-27-10, S7-32-10, S7-34-10, S7-35-10, S7-43-10, S7-03-11, S7-06-11, S7-08-11, S7-25-11, S7-40-11, S7-05-12, S7-08-12
Comments Due:   July 22, 2013
  • Submit comments on S7-27-10
    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
    Comments received are available for this proposal.
  • Prohibition Against Fraud, Manipulation, and Deception in Connection with Security-Based Swaps
    Comments received are available for this proposal.
  • Submit comments on S7-34-10
    Regulation SBSR - Reporting and Dissemination of Security-Based Swap Information
    Comments received are available for this proposal.
  • Submit comments on S7-35-10
    Security-Based Swap Data Repository Registration, Duties, and Core Principles
    Comments received are available for this proposal.
  • Submit comments on S7-43-10
    End-User Exception to Mandatory Clearing of Security-Based Swaps
    Comments received are available for this proposal.
  • Submit comments on S7-03-11
    Trade Acknowledgment and Verification of Security-Based Swap Transactions
    Comments received are available for this proposal.
  • Submit comments on S7-06-11
    Registration and Regulation of Security-Based Swap Execution Facilities (Proposed Interpretation)
    Comments received are available for this proposal.
  • Submit comments on S7-08-11
    Clearing Agency Standards for Operation and Governance
    Comments received are availablefor this proposal.
  • Submit comments on S7-40-11
    Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
    Comments received are available for this proposal.
  • Submit comments on S7-05-12
    Statement of General Policy on the Sequencing of the Compliance Dates for Final Rules Applicable to Security-Based Swaps Adopted Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act
    Comments received are available for this proposal.
  • Submit comments on S7-08-12
    Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
    Comments received are available for this proposal.
Federal Register: (78 FR 30800) HTML| PDF| Text| XML
34-69490 May 1, 2013 Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and Forms Relating to the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
File Nos.:   S7-02-13, S7-34-10, S7-40-11
Comments Due:   August 21, 2013
Comments received are availablefor this proposal.
See also:
  • Appendix A: Tables illustrating the Commission's proposed application of Title VII to cross-border security-based swap activity
  • Appendix B: Table illustrating registration of security-based swap dealers under proposal
  • Appendix C: Re-proposed registration forms
  • Appendix D: List of commenters
Proposed Rule Release Nos. 34-63346; 34-65543
Federal Register: (78 FR 30967) HTML| PDF| Text| XML
First Quarter
34-69077 Mar. 8, 2013 Regulation Systems Compliance and Integrity (Proposed Rule and Form; Proposed Rule Amendment; Corrected to conform to Federal Register version)
File No.:   S7-01-13
Comments Due:   May 24, 2013
Comments received are availablefor this proposal.
See also:  Final Rule Correction Release No. 34-73639A; Final Rule Release No. 34-73639; Staff Guidance on Current SCI Industry Standards; Proposed Rule Release No. 34-69606
Federal Register (78 FR 18083): HTML| PDF| text| XML
34-68660 Jan. 15, 2013 Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers (Extension of Comment Period)
File No.:   S7-08-12
Comments Due:   60 days from publication of 34-69491in the Federal Register
Comments received are availablefor this proposal.
See also:  Proposed Rule Release No. 34-68071
Federal Register (78 FR 4365): HTML| PDF| text| XML