SEC Proposed Rules: 2016

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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)
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. Federal Register version (81 FR 70744)
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. Federal Register version (81 FR 69240)
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. Federal Register version (81 FR 66898)
33-10201 Aug. 31, 2016 Exhibit Hyperlinks and HTML Format
File No.:   S7-19-16
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. Federal Register version (81 FR 58877)
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. Federal Register version (81 FR 51607)
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. Federal Register version (81 FR 49431)
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. Federal Register version (81 FR 43530)
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. Federal Register version (81 FR 43130)
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.
Federal Register version (81 FR 37669)
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.
Federal Register version (81 FR 8867)
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.
Federal Register version (81 FR 4598)
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