SEC Proposed Rules: 2015

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

RSS Feed   SEC Proposed Rules RSS Feed

Release No. Date Details
Fourth Quarter
34-76624 Dec. 11, 2015 Establishing the Form and Manner with which Security-Based Swap Data Repositories Must Make Security-Based Swap Data Available to the Commission (Corrected to Conform to Federal Register Version)
File No.:   S7-26-15
Comments Due:   February 22, 2016
Comments received are available for this proposal. Federal Register (80 FR 79757): HTML | PDF | XML
IC-31933 Dec. 11, 2015 Use of Derivatives by Registered Investment Companies and Business Development Companies (Corrected to Conform to Federal Register Version)
File No.:  S7-24-15
Comments Due:   March 28, 2016
Comments received are available for this proposal. See also:  DERA Memorandum: Risk Adjustment and Haircut Schedules; DERA White Paper: Use of Derivatives by Registered Investment Companies
Federal Register (80 FR 80883): HTML | PDF | XML
34-76620 Dec. 11, 2015 Disclosure of Payments by Resource Extraction Issuers (Corrected to Conform to Federal Register Version)
File No.:   S7-25-15
Comments Due:  Initial comments are due on January 25, 2016. Reply comments, which may respond only to issues raised in the initial comment period, are due on February 16, 2016
Comments received are available for this proposal. See also: Extension of Comment Period for Disclosure of Payments by Resource Extraction Issuers Federal Register (80 FR 80057): HTML | PDF | XML
34-76474 Nov. 18, 2015 Regulation of NMS Stock Alternative Trading Systems (Corrected to Conform to Federal Register Version)
File No.:   S7-23-15
Comments Due:   February 26, 2016
Comments received are available for this proposal. Federal Register (80 FR 80997): HTML | PDF | XML
33-9973 Oct. 30, 2015 Proposed Rule Amendments to Facilitate Intrastate and Regional Securities Offerings (Corrected to Conform to Federal Register Version)
Other Release No.:  34-76319
File No.:   S7-22-15
Comments Due:   January 11, 2016
Comments received are available for this proposal. Federal Register (80 FR 69785): HTML | PDF | Text | XML
See also:  DERA White Paper: Capital Raising in the U.S.: An Analysis of the Market for Unregistered Securities Offerings, 2009-2014
Third Quarter
34-75977 Sep. 24, 2015 Amendments to the Commission's Rules of Practice
File No.:  S7-19-15
Comments Due:  December 4, 2015
Comments received are available for this proposal. Federal Register (80 FR 60082): HTML | PDF | Text | XML
34-75976 Sep. 24, 2015 Amendments to the Commission's Rules of Practice
File No.:  S7-18-15
Comments Due:  December 4, 2015
Comments received are available for this proposal. Federal Register (80 FR 60091): HTML | PDF | Text | XML
33-9922 Sep. 22, 2015 Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release (Conformed to Federal Register version)
Other Release No.:   IC-31835
File No.:  S7-16-15
Comments Due:  January 13, 2016
Comments received are available for this proposal.
Federal Register (80 FR 62274): HTML | PDF | Text | XML
See also:  Division of Economic and Risk Analysis White Paper: Liquidity and Flows of U.S. Mutual Funds
34-75845 Sep. 4, 2015 Access to Data Obtained by Security-Based Swap Data Repositories and Exemption from Indemnification Requirement
File No.:  S7-15-15
Comments Due:  October 29, 2015
Comments received are available for this proposal.
Federal Register (80 FR 55181): HTML | PDF | Text | XML
See also: Access to Data Obtained by Security-Based Swap Data Repositories and Exemption from Indemnification Requirement
34-75612 Aug. 5, 2015 Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons to Effect or Be Involved in Effecting Security-Based Swaps
File No.:   S7-14-15
Comments Due:   October 26, 2015
Comments received are available for this proposal.
Federal Register (80 FR 51683): HTML | PDF | Text | XML
33-9861 Jul. 1, 2015 Listing Standards for Recovery of Erroneously Awarded Compensation
Other Release Nos.: 34-75342; IC-31702
File No.:   S7-12-15
Comments Due:   September 14, 2015
Comments received are available for this proposal.
Federal Register (80 FR 41143): HTML | PDF | text | XML
Second Quarter
IA-4091 May 20, 2015 Amendments to Form ADV and Investment Advisers Act Rules
File No.:   S7-09-15
Comments Due:   August 11, 2015
Comments received are available for this proposal.
See also: Appendix A: Form ADV: General Instructions;
Appendix B: Form ADV: Instructions for Part 1A;
Appendix C: Form ADV: Glossary of Terms;
Appendix D: Form ADV: Part 1A
Federal Register (80 FR 33717): HTML | PDF | Text | XML
33-9776 May 20, 2015 Investment Company Reporting Modernization (Corrected to Conform to Federal Register Version)
Other Release Nos.:   34-75002; IC-31610;
File No.:   S7-08-15
Comments Due:  January 13, 2016
Comments received are available for this proposal.
See also: Proposed Amendments to Regulation S-X;
Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release
Federal Register (80 FR 33589): HTML | PDF | Text | XML
34-74835 Apr. 29, 2015 Pay Versus Performance
File No.:   S7-07-15
Comments Due:   July 6, 2015
Comments received are available for this proposal.
Federal Register (80 FR 26329): HTML | PDF | Text | XML
34-74834 Apr. 29, 2015 Application of Certain Title VII Requirements to Security-Based Swap Transactions Connected with a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed By Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent
File No.:   S7-06-15
Comments Due:   July 13, 2015
Comments received are available for this proposal.
Federal Register (80 FR 27443): HTML | PDF | Text | XML
First Quarter
34-74581 Mar. 25, 2015 Exemption for Certain Exchange Members
File No.:   S7-05-15
Comments Due:   June 1, 2015
Comments received are available for this proposal.
Federal Register (80 FR 18035): HTML | PDF | XML
34-74245 Feb. 11, 2015 Regulation SBSR—Reporting and Dissemination of Security-Based Swap Information (Corrected to Conform to Federal Register Version)
File No.:   S7-03-15
Comments Due:   May 4, 2015
Comments received are available for this proposal.
See also: Administrative Notice
Federal Register (80 FR 14739): HTML | PDF | text | XML
33-9723 Feb. 9, 2015 Disclosure of Hedging by Employees, Officers and Directors
Other Release Nos.:   34-74232; IC-31450
File No.:   S7-01-15
Comments Due:   April 20, 2015
Comments received are available for this proposal.
Federal Register (80 FR 8485): HTML | PDF | text | XML