SEC Proposed Rules Archive: 2019
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 | ||
| 33-10738 | Dec. 30, 2019 | Amendments to Rule 2-01, Qualifications of Accountants (Conformed to Federal Register Version)
File No: S7-26-19 Other Release No.: 34-87864; FR-86; IA-5422; IC-33737 Comments Due: March 16, 2020 Comments received are available for this proposal. |
| 33-10734 | Dec. 18, 2019 | Amending the “Accredited Investor” Definition
File No: S7-25-19 Other Release No.: 34-87784 Comments received are available for this proposal. Federal Register version (85 FR 2574) See Also: Final Rule Rel. No. 33-10824 |
| 34-87783 | Dec. 18, 2019 | Disclosure of Payments by Resource Extraction Issuers (Conformed to Federal Register Version)
File No: S7-24-19 Comments Due: March 16, 2020 Comments received are available for this proposal. Federal Register version (85 FR 2522) See Also: Final Rule Rel. No. 34-90679 |
| 34-87607 | Nov. 25, 2019 | Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence by Broker-Dealers and Registered Investment Advisers Regarding Retail Customers’ Transactions in Certain Leveraged/Inverse Investment Vehicles (Conformed to Federal Register version)
File No: S7-24-15 Other Release Nos.: IA-5413, IC-33704 Comments Due: March 24, 2020 Comments received are available for this proposal. See also: Appendix A: Funds’ Use of Derivatives Feedback Flier Appendix B: Sales Practices Rules for Transacting in Shares of Leveraged/Inverse Investment Vehicles Feedback Flier Federal Register version (85 FR 4446) See Also: Final Rule Rel. No. IC-34084 and Proposed Rule IC-31933 |
| 34-87458 | Nov. 5, 2019 | Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8 (Conformed to Federal Register Version)
File No: S7-23-19 Comments Due: February 3, 2020 Comments received are available for this proposal. Federal Register version (84 FR 66458) See also: Final Rule Release No. 34-89964 |
| 34-87457 | Nov. 5, 2019 | Amendments to Exemptions from the Proxy Rules for Proxy Voting Advice File No: S7-22-19 Comments received are available for this proposal. Federal Register version (84 FR 66518) See Also: Final Rule Rel. No. 34-89372 |
| IA-5407 | Nov. 4, 2019 | Investment Adviser Advertisements; Compensation for Solicitations
File No: S7-21-19 Comments Due: February 10, 2020 Comments received are available for this proposal. See also: Appendix B: Investor Feedback Flyer Appendix C: Smaller Adviser Feedback Flyer Federal Register version (84 FR 67518) See Also: Final Rule Rel. No. IA-5653 |
| 33-10720 | Oct. 24, 2019 | Filing Fee Disclosure and Payment Methods Modernization (Conformed to Federal Register Version)
File No: S7-20-19 See Also: Final Rule Rel. No. 33-10997 Comments received are available for this proposal. Federal Register version (84 FR 71580) |
| IC-33658 | Oct. 18, 2019 | Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940 (Conformed to Federal Register Version)
File No: S7-19-19 Comments received are available for this proposal. See Also: Final Rule Rel. No. IC-33921 Federal Register version (84 FR 58075) |
| 34-87193 | Oct. 1, 2019 | Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments (Conformed to Federal Register version)
File No: S7-15-19 Comments Due: December 10, 2019 Comments received are available for this proposal. Federal Register version (84 FR 54794) See Also: Final Rule Rel. No. 34-89618 |
| Third Quarter | ||
| 34-87115 | Sep. 25, 2019 | Publication or Submission of Quotations Without Specified Information (Conformed to Federal Register version)
File No: S7-14-19 Comments Due: December 30, 2019 Comments received are available for this proposal. Federal Register version (84 FR 58206) See Also: Final Rule Rel. No. 33-10842 |
| 33-10688 | Sep. 17, 2019 | Update of Statistical Disclosures for Bank and Savings and Loan Registrants (Conformed to Federal Register version)
File No: S7-02-17 Other Release No.: 34-86984 Comments received are available for this proposal. Federal Register version (84 FR 52936) See Also: Final Rule Rel. No. 33-10835 and Request for Comment Rel. No. 33-10321 |
| 34-86901 | Sep. 9, 2019 | Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail
File No: S7-13-19 Comments Due: October 28, 2019 Comments received are available for this proposal. |
| 33-10668 | Aug. 8, 2019 | Modernization of Regulation S-K Items 101, 103, and 105 (Conformed to Federal Register version)
File No: S7-11-19 Other Release No.: 34-86614 Comments received are available for this proposal. Federal Register version (84 FR 44358) See Also: Final Rule Rel. No. 33-10825 |
| 34-86304 | Jul. 3, 2019 | Customer Margin Rules Relating to Security Futures (Conformed to Federal Register version)
File No: S7-09-19 Comments Due: August 26, 2019 Comments received are available for this proposal. Federal Register version (84 FR 36434) See Also: Final Rule Rel. No. 34-90244 |
| Second Quarter | ||
| 34-85823 | May 10, 2019 | Proposed Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements (Conformed to Federal Register version)
File No: S7-07-19 Comments Due: July 23, 2019 Comments received are available for this proposal. Federal Register version (84 FR 24206) See Also: Final Rule Rel. No. 34-87780 |
| 34-85814 | May 9, 2019 | Amendments to the Accelerated Filer and Large Accelerated Filer Definitions (Conformed to Federal Register version)
File No: S7-06-19 Comments Due: July 29, 2019 Comments received are available for this proposal. Federal Register version (84 FR 24876) See Also: Final Rule Rel. No. 34-88365 |
| 33-10635 | May 3, 2019 | Amendments to Financial Disclosures about Acquired and Disposed Businesses (Conformed to Federal Register version)
File No: S7-05-19 Other Release Nos.: 34-85765; IC-33465 Comments Due: July 29, 2019 Comments received are available for this proposal. Federal Register version (84 FR 24600) See Also: Final Rule Rel. No. 33-10786 |
| First Quarter | ||
| 33-10619 | Mar. 20, 2019 | Securities Offering Reform for Closed-End Investment Companies (Conformed to Federal Register version)
File No: S7-03-19 Other Release Nos.: 34-85382; IC-33427 Comments Due: June 10, 2019 Comments received are available for this proposal. See Also: Final Rule Rel. No. 33-10771 |
| 33-10607 | Feb. 19, 2019 | Solicitations of Interest Prior to a Registered Public Offering (Conformed to Federal Register version)
File No: S7-01-19 Comments Due: April 29, 2019 Comments received are available for this proposal. Federal Register version (84 FR 6713) See Also: Final Rule Rel. No. 33-10699 |
| 33-10605 | Feb. 14, 2019 | Reopening of Comment Period for Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts (Conformed to Federal Register version)
File No: S7-23-18 Comments Due: March 15, 2019 Comments received are available for this proposal. Federal Register version (84 FR 5393) See Also: Final Rule Rel. No. 33-10765; Proposed Rule Rel. No. 33-10569 |