SEC Proposed Rules: 2016
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
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Release No. | Date | Details |
---|---|---|
Fourth Quarter | ||
34-79164 | Oct. 26, 2016 | Universal Proxy
File No.: S7-24-16 Comments Due: January 9, 2017 Comments received are available for this proposal. Federal Register version (81 FR 79122) See Also: Final Rule Rel. No. 34-93596 |
Third Quarter | ||
34-78963 | Sep. 28, 2016 | Definition of "Covered Clearing Agency"
File No.: S7-23-16 Comments Due: December 12, 2016 Comments received are available for this proposal. |
34-78962 | Sep. 28, 2016 | Amendment to Securities Transaction Settlement Cycle
File No.: S7-22-16 Comments Due: December 5, 2016 Comments received are available for this proposal. |
33-10220 | Sep. 23, 2016 | Extension of Comment Period for Disclosure Update and Simplification
File No.: S7-15-16 See also: Proposed Rule Release No. 33-10110; Demonstration Version (Corrected to conform to Federal Register version of Release) Comments Due: November 2, 2016 Comments received are available for this proposal. |
33-10201 | Aug. 31, 2016 | Exhibit Hyperlinks and HTML Format
File No.: S7-19-16 See also: Final Rule Rel. No. 33-10322 Comments Due: October 27, 2016 Comments received are available for this proposal. Federal Register version (81 FR 62689) |
33-10127 | Aug. 23, 2016 | Extension of Comment Period for Modernization of Property Disclosures for Mining Registrants
File No.: S7-10-16 See also: Proposed Rule Release No. 33-10098 Comments Due: September 26, 2016 Comments received are available for this proposal. |
33-10110 | Jul. 13, 2016 | Disclosure Update and Simplification (Corrected to conform to Federal Register version)
File No.: S7-15-16 See also: Demonstration Version (Corrected to conform to Federal Register version of Release) Comments Due: October 3, 2016 Comments received are available for this proposal. |
34-78309 | Jul. 13, 2016 | Disclosure of Order Handling Information
File No.: S7-14-16 Comments Due: September 26, 2016 Comments received are available for this proposal. |
Second Quarter | ||
IA-4439 | Jun. 28, 2016 | Adviser Business Continuity and Transition Plans
File No.: S7-13-16 Comments Due: September 6, 2016 Comments received are available for this proposal. |
33-10107 | Jun. 27, 2016 | Amendments to Smaller Reporting Company Definition
File No.: S7-12-16 Comments Due: August 30, 2016 Comments received are available for this proposal. |
33-10098 | Jun. 16, 2016 | Modernization of Property Disclosures for Mining Registrants
File No.: S7-10-16 See also: Extension of Comment Period, Release No. 33-10127 Comments Due: August 26, 2016 Comments received are available for this proposal. Federal Register versions (81 FR 41651): HTML | PDF |
34-77776 | May 6, 2016 | Incentive-based Compensation Arrangements
File No.: S7-07-16 Comments Due: July 22, 2016 Comments received are available for this proposal. |
First Quarter | ||
34-77172 | Feb. 18, 2016 | Extension of Comment Period for Advance Notice of Proposed Rulemaking; Concept Release; Request for Comment
File No.: S7-27-15 See also: Release No.: 34-76743 Comments Due: April 14, 2016 Comments received are available for this proposal. |
34-77157 | Feb. 17, 2016 | Covered Broker-Dealer Provisions under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Conformed to Federal Register version) File No.: S7-02-16 Comments Due: May 2, 2016 Comments received are available for this proposal. Federal Register version (81 FR 10798) |
34-76958 | Jan. 21, 2016 | Extension of Comment Period for Disclosure of Payments by Resource Extraction Issuers File No.: S7-25-15 Comments Due: Initial comments are due on February 16, 2016. Reply comments, which may respond only to issues raised in the initial comment period, are due on March 8, 2016. See also: Disclosure of Payments by Resource Extraction Issuers Comments received are available for this proposal. |
34-76922 | Jan. 15, 2016 | Access to Data Obtained by Security-Based Swap Data Repositories and Exemption from
Indemnification Requirement (Reopening of Comment Period)
File No.: S7-15-15 Comments Due: February 22, 2015 Comments received are available for this proposal. See also: Final Rule Release No. 34-78716 Federal Register (81 FR 3354): HTML | PDF | XML | Text |