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.
Federal Register version (85 FR 2332)
33-10734 Dec. 18, 2019 Amending the “Accredited Investor” Definition
File No: S7-25-19
Other Release No.: 34-87784
Comments Due: March 16, 2020
Comments received are available for this proposal.
Federal Register version (85 FR 2574)
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)
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)
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)
34-87457 Nov. 5, 2019 Amendments to Exemptions from the Proxy Rules for Proxy Voting Advice
File No: S7-22-19
Comments Due: February 3, 2020
Comments received are available for this proposal.
Federal Register version (84 FR 66518)
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)
33-10720 Oct. 24, 2019 Filing Fee Disclosure and Payment Methods Modernization (Conformed to Federal Register Version)
File No: S7-20-19
Comments Due: February 25, 2020
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 Due: November 29, 2019
Comments received are available for this proposal.
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)
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)
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 Due: December 2, 2019
Comments received are available for this proposal.
Federal Register version (84 FR 52936)
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.
Federal Register version (84 FR 48458)
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 Due: October 22, 2019
Comments received are available for this proposal.
Federal Register version (84 FR 44358)
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)
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)
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)
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)
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: Proposed Form N-2
Federal Register version (84 FR 14448)
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)
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: Proposed Rule Rel. No. 33-10569