SEC Proposed Rules: 2014

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
33-9693 Dec. 18, 2014 Changes to Exchange Act Registration Requirements to Implement Title V and Title VI of the JOBS Act
Other Release No.:   34-73876
File No.:   S7-12-14
Comments Due: March 2, 2015
Comments received are available for this proposal.
Federal Register (79 FR 78343): HTML | PDF | text | XML
Third Quarter
33-9643 Sep. 8, 2014 Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only By Eligible Contract Participant
File No.:   S7-09-14
Comments Due: November 10, 2014
Comments received are available for this proposal.
Federal Register (79 FR 54224): HTML | PDF | Text | XML
IA-3893 Aug. 12, 2014 Temporary Rule Regarding Principal Trades With Certain Advisory Clients
File No.:   S7-23-07
Comments Due: September 17, 2014
Comments received are available for this proposal.
Federal Register (79 FR 48709): HTML | PDF | Text | XML
IC-31184 Jul. 23, 2014 Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule (Corrected to conform to Federal Register version)
File No.:   S7-07-11
Comments Due: October 14, 2014
Comments received are available for this proposal.
See also:  Correction of IC-31184
Federal Register (79 FR 47985): HTML | PDF | Text | XML
Second Quarter
34-72440 Jun. 20, 2014 Freedom of Information Act Regulations: Fee Schedule, Addition of Appeal Time Frame, and Miscellaneous Administrative Changes
File No.:   S7-07-14
Comments Due: July 28, 2014
Comments received are available for this proposal.
See also:  Final Rule Release No. 34-75388
Federal Register (79 FR 36443): HTML | PDF | Text | XML
34-71958 Apr. 17, 2014 Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Capital Rule for Certain Security-Based Swap Dealers
File No.:   S7-05-14
Comments Due: July 1, 2014
Comments received are available for this proposal.
Federal Register (79 FR 25193): HTML | PDF | text | XML
33-9570 Apr. 3, 2014 Investment Company Advertising: Target Date Retirement Fund Names and Marketing
Other Release Nos.:   34-71861; IC-31004
File No.:   S7-12-10
Comments Due:  June 9, 2014
Comments received are available for this proposal.
See also:  Proposed Rule Release Nos. 33-9309 and 33-9126
Federal Register (79 FR 19564): HTML | PDF | Text | XML
First Quarter
33-9568 Mar. 28, 2014 Extension of Comment Period for Asset-Backed Securities Release
Other Release Nos.:   34-71830
File No.:   S7-08-10
Comments Due:   April 28, 2014
Comments received are available for this proposal.
See also:  Proposed Rule Release Nos. 33-9552, 33-9244 and 33-9117
Federal Register (79 FR 18483): HTML | PDF | Text | XML
34-71699 Mar. 12, 2014 Standards for Covered Clearing Agencies
File No.:   S7-03-14
Comments Due:  May 27, 2014
Comments received are available for this proposal.
Federal Register (79 FR 29507) [Republished to correct certain footnotes]: HTML | PDF | text | XML
33-9552 Feb. 25, 2014 Re-Opening of Comment Period for Asset-Backed Securities Release
Other Release Nos.:   34-71611
File No.:   S7-08-10
Comments Due:   March 28, 2014
Comments received are available for this proposal.
See also:  Proposed Rule Release Nos. 33-9244 and 33-9117
Federal Register (79 FR 11361): HTML | PDF | text | XML

How to Submit Comments