SEC Proposed Rules: Archive 2020

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
33-10911 Dec. 22, 2020 Rule 144 Holding Period and Form 144 Filings (Conformed to Federal Register version)
File No: S7-24-20
Other Release Nos: 34-90773
Comments Due: March 22, 2021
Comments received are available for this proposal.
Federal Register version (86 FR 5063)
See also: Press Release 2020-336
33-10892 Nov. 24, 2020 Temporary Rules to Include Certain "Platform Workers" in Compensatory Offerings under Rule 701 and Form S-8 (Conformed to Federal Register version)  
File No: S7-19-20
Other Release Nos: 34-90948
Comments Due: February 9, 2021
Comments received are available for this proposal.
Federal Register version (85 FR 79936)
See also: Press Release 2020-293
33-10891 Nov. 24, 2020 Modernization of Rules and Forms for Compensatory Securities Offerings and Sales (Conformed to Federal Register version)
File No: S7-18-20
Comments Due: February 9, 2021
Comments received are available for this proposal.
Federal Register version (85 FR 80232)
See also: Press Release 2020-294
Third Quarter
34-90019 Sep. 28, 2020 Regulation ATS for ATSs that Trade U.S. Government Securities, NMS Stock, and Other Securities; Regulation SCI for ATSs that Trade U.S. Treasury Securities and Agency Securities; and Electronic Corporate Bond and Municipal Securities Markets (Conformed to Federal Register version)
File No: S7-12-20
Comments Due: March 1, 2021
Comments received are available for this proposal.
Federal Register version (85 FR 87106)
See also: Press Release 2020-227
33-10821 Aug. 21, 2020 Administration of the Electronic Data Gathering, Analysis, and Retrieval System
File No: S7-11-20
Other Release Nos: 34-89633, 39-2532, IC-33974
Comments Due: October 19, 2020
Comments received are available for this proposal.
Federal Register version (85 FR 58018)
See Also: Final Rule Rel. No. 33-10902
34-89632 Aug. 21, 2020 Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail to Enhance Data Security (Conformed to Federal Register version)
File No: S7-10-20
Comments Due: November 30, 2020
Comments received are available for this proposal.
Federal Register version (85 FR 65990)
33-10814 Aug. 5, 2020 Tailored Shareholder Reports, Treatment of Annual Prospectus Updates for Existing Investors, and Improved Fee and Risk Disclosure for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements (Conformed to Federal Register version)
File No: S7-09-20
Other Release Nos: 34-89478, IC-33963
Comments Due: Jan. 4, 2021
See also: Comments received are available for this proposal. Federal Register version (85 FR 70716)
34-89290 Jul. 10, 2020 Reporting Threshold for Institutional Investment Managers (Conformed to Federal Register version)
File No: S7-08-20
Comments Due: September 29, 2020
Comments received are available for this proposal.
Federal Register version (85 FR 46016)
Second Quarter
IC-33845 Apr. 21, 2020 Good Faith Determinations of Fair Value (Conformed to Federal Register version)
File No: S7-07-20
Comments Due: July 21, 2020
Comments received are available for this proposal.
Federal Register version (85 FR 28734)
See Also: Final Rule Rel. No. IC-34128
First Quarter
33-10763 Mar. 4, 2020 Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets (Conformed to Federal Register version)  
Other Release No: 34-88321
File No: S7-05-20
See Also: Staff Report on Regulation A
Comments received are available for this proposal.
Federal Register version (85 FR 17956)
See Also: Final Rule Rel. No. 33-10884
34-88216 Feb. 14, 2020 Market Data Infrastructure (Conformed to Federal Register version)
File No: S7-03-20
Comments Due: May 26, 2020
Comments received are available for this proposal.
Federal Register version (85 FR 16726)
BHCA-8 Jan. 30, 2020 Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds (Conformed to Federal Register version)
File No: S7-02-20
See Also: Final Rule Rel. No. BHCA-9
Comments Due: April 1, 2020
Comments received are available for this proposal.
Federal Register version (85 FR 12120)
33-10750 Jan. 30, 2020 Management’s Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information
Other Release Nos: 34-88093, IC-33795
File No: S7-01-20
Comments received are available for this proposal.
Federal Register version (85 FR 12068)
See Also: Final Rule Rel. No. 33-10890