Rulemaking Activity
This page lists rulemaking activity grouped by file number, which allows you to view the proposed rules, final rules and other actions related to a particular rulemaking. You can sort this list by most recent action, file number, or the informal short name of the rulemaking. By using the "Status" filter, you can view rulemakings that have been completed, or rulemakings that have been proposed but not yet completed. You can also filter to display rulemakings related to a specific SEC division or office. This index omits certain technical rulemakings, including updates to the EDGAR filing manual.
The Regulatory Flexibility Act (“RFA”) requires each federal agency in April and October of each year to publish in the Federal Register an agenda identifying rules that the agency expects to consider in the next twelve months that are likely to have a significant economic impact on a substantial number of small entities. The RFA specifically provides that publication of the agenda does not preclude an agency from considering or acting on any matter not included in the agenda, and that an agency is not required to consider or act on any matter that is included in the agenda. The current Unified Agenda of Federal Regulatory and Deregulatory Actions can be found at www.reginfo.gov. Learn how to submit comments.
Rulemaking Activity Table
|
Last Action Date
|
File Number
|
Rulemaking
|
Status
|
|---|---|---|---|
| Last Action Date:09/29/2023 | File Number:S7-16-23 |
Rulemaking:
Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities
Investment Management
|
Status:
Proposed Rule
Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities
|
| Last Action Date:09/20/2023 | File Number:S7-03-23 |
Rulemaking:
The Commission's Privacy Act Regulations
FOIA Services
|
Status:
Proposed Rule
The Commission's Privacy Act Regulations
|
| Last Action Date:09/20/2023 | File Number:S7-16-22 |
Rulemaking:
Investment Company Names
Investment Management
|
Status:
Proposed Rule
Investment Company Names
|
| Last Action Date:09/13/2023 | File Number:S7-15-23 |
Rulemaking:
EDGAR Filer Access and Account Management
Edgar Business Office
|
Status:
Proposed Rule
EDGAR Filer Access and Account Management
|
| Last Action Date:08/23/2023 | File Number:S7-04-23 |
Rulemaking:
Safeguarding Advisory Client Assets
Investment Management
|
Status:
Proposed Rule
Safeguarding Advisory Client Assets
Proposed Rule
Safeguarding Advisory Client Assets; Reopening of Comment Period
|
| Last Action Date:08/23/2023 | File Number:S7-03-22 |
Rulemaking:
Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
Investment Management
|
Status:
Proposed Rule
Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
Proposed Rule
Reopening of Comment Periods for "Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews" and "Amendments Regarding the Definition of `Exchange' and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency S
|
| Last Action Date:08/23/2023 | File Number:S7-05-15 |
Rulemaking:
Exemption for Certain Exchange Members
Trading and Markets
|
Status:
Proposed Rule
Exemption for Certain Exchange Members
Proposed Rule
Exemption for Certain Exchange Members
|
| Last Action Date:07/26/2023 | File Number:S7-13-23 |
Rulemaking:
Exemption for Certain Investment Advisers Operating Through the Internet
Investment Management
|
Status:
Proposed Rule
Exemption for Certain Investment Advisers Operating Through the Internet
|
| Last Action Date:07/26/2023 | File Number:S7-12-23 |
Rulemaking:
Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers
Trading and Markets, Investment Management
|
Status:
Proposed Rule
Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers
|
| Last Action Date:07/26/2023 | File Number:S7-09-22 |
Rulemaking:
Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure
Corporation Finance
|
Status:
Proposed Rule
Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure
|
| Last Action Date:07/12/2023 | File Number:S7-11-23 |
Rulemaking:
Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule
Trading and Markets
|
Status:
Proposed Rule
Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule
|
| Last Action Date:07/12/2023 | File Number:S7-22-21 |
Rulemaking:
Money Market Fund Reforms
Investment Management
|
Status:
Proposed Rule
Money Market Fund Reforms
|
| Last Action Date:06/20/2023 | File Number:S7-32-10 |
Rulemaking:
Position Reporting of Large Security-Based Swap Positions
Trading and Markets
|
Status:
Proposed Rule
Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps
Proposed Rule
Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps
Proposed Rule
Prohibition Against Fraud, Manipulation, or Deception in Connection With Security-Based Swaps; Prohibition Against Undue Influence Over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions
Proposed Rule
Reopening of Comment Period for Position Reporting of Large Security-Based Swap Positions
|
| Last Action Date:06/07/2023 | File Number:S7-11-22 |
Rulemaking:
Removal of References to Credit Ratings From Regulation M
Trading and Markets
|
Status:
Proposed Rule
Removal of References to Credit Ratings From Regulation M
|
| Last Action Date:06/07/2023 | File Number:S7-32-10 |
Rulemaking:
Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers
Trading and Markets
|
Status:
Proposed Rule
Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps
Proposed Rule
Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps
Proposed Rule
Prohibition Against Fraud, Manipulation, or Deception in Connection With Security-Based Swaps; Prohibition Against Undue Influence Over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions
|
| Last Action Date:05/17/2023 | File Number:S7-10-23 |
Rulemaking:
Covered Clearing Agency Resilience and Recovery and Wind-Down Plans
Trading and Markets
|
Status:
Proposed Rule
Covered Clearing Agency Resilience and Recovery and Wind-Down Plans
|
| Last Action Date:05/03/2023 | File Number:S7-01-22 |
Rulemaking:
Conformed: Form PF; Event Reporting for Large Hedge Fund Advisers and Private Equity Fund Advisers; Requirements for Large Private Equity Fund Adviser Reporting
Investment Management
|
Status:
Proposed Rule
Amendments to Form PF To Require Current Reporting and Amend Reporting Requirements for Large Private Equity Advisers and Large Liquidity Fund Advisers
|
| Last Action Date:05/03/2023 | File Number:S7-21-21 |
Rulemaking:
Share Repurchase Disclosure Modernization
Corporation Finance, Investment Management
|
Status:
Proposed Rule
Share Repurchase Disclosure Modernization
Proposed Rule
Reopening of Comment Period for Share Repurchase Disclosure Modernization
|
| Last Action Date:04/28/2023 | File Number:S7-06-22 |
Rulemaking:
Modernization of Beneficial Ownership Reporting
Corporation Finance
|
Status:
Proposed Rule
Modernization of Beneficial Ownership Reporting
Proposed Rule
Reopening of Comment Period for Modernization of Beneficial Ownership Reporting
|
| Last Action Date:04/14/2023 | File Number:S7-02-22 |
Rulemaking:
Supplemental Information and Reopening of Comment Period for Amendments to Exchange Act Rule 3b-16 Regarding the Definition of “Exchange”
Trading and Markets
|
Status:
Proposed Rule
Reopening of Comment Periods for "Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews" and "Amendments Regarding the Definition of `Exchange' and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency S
Proposed Rule
Amendments Regarding the Definition of "Exchange" and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency Securities, National Market System (NMS) Stocks, and Other Securities
Proposed Rule
Supplemental Information and Reopening of Comment Period for Amendments Regarding the Definition of “Exchange”
|
| Last Action Date:03/22/2023 | File Number:S7-08-23 |
Rulemaking:
Electronic Submission of Certain Material Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report Other Rel. Nos.: 34-97182; IC-34864
Trading and Markets
|
Status:
Proposed Rule
Electronic Submission of Certain Material Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report Other Rel. Nos.: 34-97182; IC-34864
|
| Last Action Date:03/15/2023 | File Number:S7-07-23 |
Rulemaking:
Regulation Systems Compliance and Integrity
Trading and Markets
|
Status:
Proposed Rule
Regulation Systems Compliance and Integrity
|
| Last Action Date:03/15/2023 | File Number:S7-06-23 |
Rulemaking:
Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, the Municipal Securities Rulemaking Board, National Securities Associations, National Securities Exchanges, Security-Based Swap Data Repositories, Security-Based Swap Dealers, and Transfer Agents
Trading and Markets
|
Status:
Proposed Rule
Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, the Municipal Securities Rulemaking Board, National Securities Associations, National Securities Exchanges, Security-Based Swap Data Reposito
|
| Last Action Date:03/15/2023 | File Number:S7-05-23 |
Rulemaking:
Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information Other Rel. Nos: IA-6262; IC-34854
Investment Management
|
Status:
Proposed Rule
Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information Other Rel. Nos: IA-6262; IC-34854
|
| Last Action Date:03/15/2023 | File Number:S7-04-22 |
Rulemaking:
Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies
Investment Management, Investment Management
|
Status:
Proposed Rule
Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies
Proposed Rule
Reopening of Comment Period for "Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies"
|
| Last Action Date:02/15/2023 | File Number:S7-05-22 |
Rulemaking:
Shortening the Securities Transaction Settlement Cycle
Investment Management, Trading and Markets
|
Status:
Proposed Rule
Shortening the Securities Transaction Settlement Cycle
|
| Last Action Date:01/30/2023 | File Number:S7-02-23 |
Rulemaking:
Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
Ethics Counsel
|
Status:
Proposed Rule
Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
|
| Last Action Date:01/25/2023 | File Number:S7-01-23 |
Rulemaking:
Prohibition Against Conflicts of Interest in Certain Securitizations
Corporation Finance
|
Status:
Proposed Rule
Prohibition Against Conflicts of Interest in Certain Securitizations
|
| Last Action Date:12/14/2022 | File Number:S7-32-22 |
Rulemaking:
Regulation Best Execution
Trading and Markets
|
Status:
Proposed Rule
Regulation Best Execution
|
| Last Action Date:12/14/2022 | File Number:S7-31-22 |
Rulemaking:
Order Competition Rule
Trading and Markets
|
Status:
Proposed Rule
Order Competition Rule
|
| Last Action Date:12/14/2022 | File Number:S7-30-22 |
Rulemaking:
Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders
Trading and Markets
|
Status:
Proposed Rule
Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders
|
| Last Action Date:12/14/2022 | File Number:S7-29-22 |
Rulemaking:
Disclosure of Order Execution Information
Trading and Markets
|
Status:
Proposed Rule
Disclosure of Order Execution Information
|
| Last Action Date:12/14/2022 | File Number:S7-20-21 |
Rulemaking:
Insider Trading Arrangements and Related Disclosures
Corporation Finance
|
Status:
Proposed Rule
Rule 10b5-1 and Insider Trading
|
| Last Action Date:11/02/2022 | File Number:S7-26-22 |
Rulemaking:
Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting
Investment Management
|
Status:
Proposed Rule
Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting
|
| Last Action Date:11/02/2022 | File Number:S7-11-21 |
Rulemaking:
Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers
Investment Management
|
Status:
Proposed Rule
Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers
|
| Last Action Date:10/26/2022 | File Number:S7-25-22 |
Rulemaking:
Outsourcing by Investment Advisers
Investment Management
|
Status:
Proposed Rule
Outsourcing by Investment Advisers
|
| Last Action Date:10/26/2022 | File Number:S7-09-20 |
Rulemaking:
Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements
Investment Management
|
Status:
Proposed Rule
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
|
| Last Action Date:10/26/2022 | File Number:S7-12-15 |
Rulemaking:
Listing Standards for Recovery of Erroneously Awarded Compensation
Corporation Finance
|
Status:
Proposed Rule
Listing Standards for Recovery of Erroneously Awarded Compensation
Proposed Rule
Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation
Proposed Rule
Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation
|
| Last Action Date:10/12/2022 | File Number:S7-19-21 |
Rulemaking:
Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
Trading and Markets
|
Status:
Proposed Rule
Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
|
| Last Action Date:09/14/2022 | File Number:S7-23-22 |
Rulemaking:
Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities
Trading and Markets
|
Status:
Proposed Rule
Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities
|
| Last Action Date:08/26/2022 | File Number:S7-07-22 |
Rulemaking:
Whistleblower Program Rules
General Counsel
|
Status:
Proposed Rule
The Commission's Whistleblower Program Rules
|
| Last Action Date:08/25/2022 | File Number:S7-07-15 |
Rulemaking:
Pay Versus Performance
Corporation Finance
|
Status:
Proposed Rule
Pay Versus Performance
Proposed Rule
Reopening of Comment Period for Pay Versus Performance
|
| Last Action Date:08/10/2022 | File Number:S7-22-22 |
Rulemaking:
Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
Investment Management
|
Status:
Proposed Rule
Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
|
| Last Action Date:08/08/2022 | File Number:S7-21-22 |
Rulemaking:
Clearing Agency Governance and Conflicts of Interest
Trading and Markets
|
Status:
Proposed Rule
Clearing Agency Governance and Conflicts of Interest
|
| Last Action Date:07/13/2022 | File Number:S7-20-22 |
Rulemaking:
Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8
Corporation Finance
|
Status:
Proposed Rule
Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8
|
| Last Action Date:07/13/2022 | File Number:S7-17-21 |
Rulemaking:
Proxy Voting Advice
Corporation Finance
|
Status:
Proposed Rule
Proxy Voting Advice
|
| Last Action Date:06/23/2022 | File Number:S7-15-21 |
Rulemaking:
Electronic Submission of Applications for Orders Under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F
Investment Management
|
Status:
Proposed Rule
Electronic Submission of Applications for Orders Under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F
|
| Last Action Date:06/02/2022 | File Number:S7-24-20 |
Rulemaking:
Updating EDGAR Filing Requirements and Form 144 Filings
Corporation Finance
|
Status:
Proposed Rule
Updating EDGAR Filing Requirements
Proposed Rule
33-10911
|
| Last Action Date:06/02/2022 | File Number:S7-16-21 |
Rulemaking:
Updating EDGAR Filing Requirements
Corporation Finance
|
Status:
Proposed Rule
Updating EDGAR Filing Requirements
|
| Last Action Date:05/25/2022 | File Number:S7-17-22 |
Rulemaking:
Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment Practices
Investment Management
|
Status:
Proposed Rule
Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment Practices
|
| Last Action Date:05/09/2022 | File Number:S7-10-22 |
Rulemaking:
The Enhancement and Standardization of Climate-Related Disclosures for Investors
Corporation Finance
|
Status:
Proposed Rule
The Enhancement and Standardization of Climate-Related Disclosures for Investors
Proposed Rule
The Enhancement and Standardization of Climate-Related Disclosures for Investors
|
| Last Action Date:04/06/2022 | File Number:S7-14-22 |
Rulemaking:
Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities
Trading and Markets
|
Status:
Proposed Rule
Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities
|
| Last Action Date:03/30/2022 | File Number:S7-13-22 |
Rulemaking:
Special Purpose Acquisition Companies, Shell Companies, and Projections
Corporation Finance
|
Status:
Proposed Rule
Special Purpose Acquisition Companies, Shell Companies, and Projections
|
| Last Action Date:03/28/2022 | File Number:S7-12-22 |
Rulemaking:
Further Definition of "As a Part of a Regular Business" in the Definition of Dealer and Government Securities Dealer
Trading and Markets
|
Status:
Proposed Rule
Further Definition of "As a Part of a Regular Business" in the Definition of Dealer and Government Securities Dealer
|
| Last Action Date:02/25/2022 | File Number:S7-18-21 |
Rulemaking:
Reporting of Securities Loans
Trading and Markets
|
Status:
Proposed Rule
Reporting of Securities Loans
Proposed Rule
Reopening of Comment Period for Reporting of Securities Loans
|
| Last Action Date:02/25/2022 | File Number:S7-08-22 |
Rulemaking:
Notice of the Text of the Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail for Purposes of Short Sale-Related Data Collection
Investment Management, Trading and Markets
|
Status:
Proposed Rule
Short Position and Short Activity Reporting by Institutional Investment Managers
Proposed Rule
Notice of the Text of the Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail for Purposes of Short Sale-Related Data Collection
|
| Last Action Date:11/17/2021 | File Number:S7-24-16 |
Rulemaking:
Universal Proxy
Corporation Finance
|
Status:
Proposed Rule
Universal Proxy
Proposed Rule
Reopening of Comment Period for Universal Proxy
|
| Last Action Date:10/13/2021 | File Number:S7-20-19 |
Rulemaking:
Filing Fee Disclosure and Payment Methods Modernization
Corporation Finance, Economic and Risk Analysis
|
Status:
Proposed Rule
Filing Fee Disclosure and Payment Methods Modernization
|
| Last Action Date:12/22/2020 | File Number:S7-21-19 |
Rulemaking:
Investment Adviser Marketing
Investment Management
|
Status:
Proposed Rule
Investment Adviser Advertisements; Compensation for Solicitations
|
| Last Action Date:12/16/2020 | File Number:S7-24-19 |
Rulemaking:
Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
|
Status:
Proposed Rule
Investment Adviser Advertisements; Compensation for Solicitations
Proposed Rule
Disclosure of Payments by Resource Extraction Issuers
|
| Last Action Date:12/16/2020 | File Number:S7-08-11 |
Rulemaking:
Exemption From the Definition of "Clearing Agency" for Certain Activities of Security-Based Swap Dealers and Security-Based Swap Execution Facilities
Trading and Markets
|
Status:
Proposed Rule
Clearing Agency Standards for Operation and Governance
Proposed Rule
Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps
|
| Last Action Date:12/11/2020 | File Number:S7-11-20 |
Rulemaking:
Administration of the Electronic Data Gathering, Analysis, and Retrieval System
Corporation Finance
|
Status:
Proposed Rule
Administration of the Electronic Data Gathering, Analysis, and Retrieval System
|
| Last Action Date:12/09/2020 | File Number:S7-03-20 |
Rulemaking:
Market Data Infrastructure
Trading and Markets
|
Status:
Proposed Rule
Market Data Infrastructure
|
| Last Action Date:12/03/2020 | File Number:S7-07-20 |
Rulemaking:
Good Faith Determinations of Fair Value
Investment Management
|
Status:
Proposed Rule
Good Faith Determinations of Fair Value
|
| Last Action Date:11/24/2020 | File Number:S7-19-20 |
Rulemaking:
Temporary Rules to Include Certain "Platform Workers" in Compensatory Offerings Under Rule 701 and Form S-8
Corporation Finance
|
Status:
Proposed Rule
Temporary Rules to Include Certain "Platform Workers" in Compensatory Offerings Under Rule 701 and Form S-8
|
| Last Action Date:11/24/2020 | File Number:S7-18-20 |
Rulemaking:
Modernization of Rules and Forms for Compensatory Securities Offerings and Sales
Corporation Finance
|
Status:
Proposed Rule
Modernization of Rules and Forms for Compensatory Securities Offerings and Sales
|
| Last Action Date:11/19/2020 | File Number:S7-01-20 |
Rulemaking:
Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information
Corporation Finance
|
Status:
Proposed Rule
Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information
|
| Last Action Date:11/17/2020 | File Number:S7-19-15 |
Rulemaking:
Amendments to the Commission's Rules of Practice (Conformed to Federal Register version) Effective Date: The final rules are effective January 29, 2021, except for Instruction 8 which is effective July 12, 2021 Compliance Date: April 12, 2021
General Counsel
|
Status:
Proposed Rule
Amendments to the Commission's Rules of Practice
|
| Last Action Date:11/02/2020 | File Number:S7-05-20 |
Rulemaking:
Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets
Corporation Finance
|
Status:
Proposed Rule
Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets
|
| Last Action Date:11/02/2020 | File Number:S7-24-15 |
Rulemaking:
Use of Derivatives by Registered Investment Companies and Business Development Companies
Investment Management
|
Status:
Proposed Rule
Use of Derivatives by Registered Investment Companies and Business Development Companies
Proposed Rule
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
|
| Last Action Date:10/22/2020 | File Number:S7-09-19 |
Rulemaking:
Customer Margin Rules Relating to Security Futures
Trading and Markets
|
Status:
Proposed Rule
Customer Margin Rules Relating to Security Futures
|
| Last Action Date:10/16/2020 | File Number:S7-26-19 |
Rulemaking:
Qualifications of Accountants
Investment Management
|
Status:
Proposed Rule
Amendments to Rule 2-01, Qualifications of Accountants
|
| Last Action Date:10/07/2020 | File Number:S7-27-18 |
Rulemaking:
Fund of Funds Arrangements
Investment Management
|
Status:
Proposed Rule
Fund of Funds Arrangements
|
| Last Action Date:09/28/2020 | File Number:S7-12-20 |
Rulemaking:
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
Trading and Markets
|
Status:
Proposed Rule
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
|
| Last Action Date:09/23/2020 | File Number:S7-16-18 |
Rulemaking:
Whistleblower Program Rules
Corporation Finance
|
Status:
Proposed Rule
Whistleblower Program Rules
|
| Last Action Date:09/23/2020 | File Number:S7-23-19 |
Rulemaking:
Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8
Corporation Finance
|
Status:
Proposed Rule
Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8
|
| Last Action Date:09/16/2020 | File Number:S7-14-19 |
Rulemaking:
Publication or Submission of Quotations Without Specified Information
Trading and Markets
|
Status:
Proposed Rule
Publication or Submission of Quotations Without Specified Information
|
| Last Action Date:09/11/2020 | File Number:S7-02-17 |
Rulemaking:
Update of Statistical Disclosures for Bank and Savings and Loan Registrants
Corporation Finance
|
Status:
Proposed Rule
Update of Statistical Disclosures for Bank and Savings and Loan Registrants
|
| Last Action Date:08/26/2020 | File Number:S7-25-19 |
Rulemaking:
Accredited Investor Definition
Corporation Finance
|
Status:
Proposed Rule
Amending the "Accredited Investor" Definition
|
| Last Action Date:08/26/2020 | File Number:S7-11-19 |
Rulemaking:
Modernization of Regulation S-K Items 101, 103, and 105
Corporation Finance
|
Status:
Proposed Rule
Modernization of Regulation S-K Items 101, 103, and 105
|
| Last Action Date:08/21/2020 | File Number:S7-10-20 |
Rulemaking:
Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail To Enhance Data Security
Trading and Markets
|
Status:
Proposed Rule
Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail To Enhance Data Security
|
| Last Action Date:08/19/2020 | File Number:S7-15-19 |
Rulemaking:
Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments and Modified Procedures for Proposed NMS Plans and Plan Amendments
Trading and Markets
|
Status:
Proposed Rule
Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments
|
| Last Action Date:07/24/2020 | File Number:S7-02-16 |
Rulemaking:
Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Trading and Markets
|
Status:
Proposed Rule
Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
|
| Last Action Date:07/22/2020 | File Number:S7-22-19 |
Rulemaking:
Exemptions From the Proxy Rules for Proxy Voting Advice
Corporation Finance
|
Status:
Proposed Rule
Amendments to Exemptions From the Proxy Rules for Proxy Voting Advice
|
| Last Action Date:07/10/2020 | File Number:S7-08-20 |
Rulemaking:
Reporting Threshold for Institutional Investment Managers
Investment Management
|
Status:
Proposed Rule
Reporting Threshold for Institutional Investment Managers
|
| Last Action Date:07/06/2020 | File Number:S7-19-19 |
Rulemaking:
Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940
Investment Management
|
Status:
Proposed Rule
Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940
|
| Last Action Date:06/25/2020 | File Number:S7-02-20 |
Rulemaking:
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Trading and Markets, Investment Management
|
Status:
Proposed Rule
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
|
| Last Action Date:05/20/2020 | File Number:S7-05-19 |
Rulemaking:
Amendments to Financial Disclosures About Acquired and Disposed Businesses
Chief Accountant, Corporation Finance, Investment Management
|
Status:
Proposed Rule
Amendments to Financial Disclosures About Acquired and Disposed Businesses
|
| Last Action Date:05/15/2020 | File Number:S7-13-19 |
Rulemaking:
National Market System Plan Governing the Consolidated Audit Trail
Trading and Markets
|
Status:
Proposed Rule
Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail
|
| Last Action Date:04/09/2020 | File Number:S7-23-16 |
Rulemaking:
Definition of "Covered Clearing Agency"
Trading and Markets
|
Status:
Proposed Rule
Definition of Covered Clearing Agency
|
| Last Action Date:04/08/2020 | File Number:S7-03-19 |
Rulemaking:
Securities Offering Reform for Closed-End Investment Companies
Investment Management
|
Status:
Proposed Rule
Securities Offering Reform for Closed-End Investment Companies
|
| Last Action Date:03/12/2020 | File Number:S7-06-19 |
Rulemaking:
Accelerated Filer and Large Accelerated Filer Definitions
Corporation Finance
|
Status:
Proposed Rule
Amendments to the Accelerated Filer and Large Accelerated Filer Definitions
|
| Last Action Date:03/11/2020 | File Number:S7-23-18 |
Rulemaking:
Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
Investment Management
|
Status:
Proposed Rule
Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
Proposed Rule
Reopening of Comment Period for Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
|
| Last Action Date:03/02/2020 | File Number:S7-19-18 |
Rulemaking:
Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities
Corporation Finance
|
Status:
Proposed Rule
Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities
|
| Last Action Date:02/14/2020 | File Number:S7-03-20 |
Rulemaking:
Market Data Infrastructure
Trading and Markets
|
Status:
Proposed Rule
Market Data Infrastructure
|
| Last Action Date:12/30/2019 | File Number:S7-26-19 |
Rulemaking:
Amendments to Rule 2-01, Qualifications of Accountants
Investment Management
|
Status:
Proposed Rule
Amendments to Rule 2-01, Qualifications of Accountants
|
| Last Action Date:12/18/2019 | File Number:S7-07-19 |
Rulemaking:
Cross-Border Application of Certain Security-Based Swap Requirements
Trading and Markets
|
Status:
Proposed Rule
Proposed Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements
|
| Last Action Date:12/18/2019 | File Number:S7-28-18 |
Rulemaking:
Risk Mitigation Techniques for Uncleared Security-Based Swaps
Trading and Markets
|
Status:
Proposed Rule
Risk Mitigation Techniques for Uncleared Security-Based Swaps
|
| Last Action Date:09/25/2019 | File Number:S7-15-18 |
Rulemaking:
Exchange-Traded Funds
Investment Management
|
Status:
Proposed Rule
Exchange-Traded Funds
|
| Last Action Date:09/25/2019 | File Number:S7-01-19 |
Rulemaking:
Solicitations of Interest Prior to a Registered Public Offering
Corporation Finance, Investment Management
|
Status:
Proposed Rule
Solicitations of Interest Prior to a Registered Public Offering
|
| Last Action Date:09/19/2019 | File Number:S7-05-14 |
Rulemaking:
Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers
Trading and Markets
|
Status:
Proposed Rule
Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Capital Rule for Certain Security-Based Swap Dealers
|
| Last Action Date:09/18/2019 | File Number:S7-14-18 |
Rulemaking:
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Trading and Markets, Investment Management
|
Status:
Proposed Rule
Extension of Comment Period for Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Proposed Rule
Extension of Comment Period for Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
|
| Last Action Date:09/17/2019 | File Number:S7-09-17 |
Rulemaking:
Amendments to the Commission's Freedom of Information Act Regulations
General Counsel
|
Status:
Proposed Rule
Freedom of Information Act Regulations
|
| Last Action Date:09/09/2019 | File Number:S7-13-19 |
Rulemaking:
Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail
Trading and Markets
|
Status:
Proposed Rule
Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail
|
| Last Action Date:08/07/2019 | File Number:S7-22-18 |
Rulemaking:
Amendments to Rules for Nationally Recognized Statistical Rating Organizations
Credit Ratings
|
Status:
Proposed Rule
Amendments to Rules for Nationally Recognized Statistical Rating Organizations
|
| Last Action Date:08/06/2019 | File Number:S7-08-17 |
Rulemaking:
FAST Act Modernization and Simplification of Regulation S-K
Corporation Finance, Investment Management
|
Status:
Proposed Rule
FAST Act Modernization and Simplification of Regulation S-K
|
| Last Action Date:08/06/2019 | File Number:S7-08-17 |
Rulemaking:
FAST Act Modernization and Simplification of Regulation S-K; Correction
Corporation Finance
|
Status:
Proposed Rule
FAST Act Modernization and Simplification of Regulation S-K
|
| Last Action Date:07/05/2019 | File Number:S7-30-18 |
Rulemaking:
Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
|
Status:
Proposed Rule
Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds
|
| Last Action Date:06/21/2019 | File Number:S7-08-12 |
Rulemaking:
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers
Trading and Markets
|
Status:
Proposed Rule
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
Proposed Rule
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
Proposed Rule
Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps
Proposed Rule
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
|
| Last Action Date:06/18/2019 | File Number:S7-10-18 |
Rulemaking:
Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships
Chief Accountant
|
Status:
Proposed Rule
Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships
|
| Last Action Date:06/10/2019 | File Number:S7-21-18 |
Rulemaking:
Amendment to Single Issuer Exemption for Broker-Dealers
Trading and Markets
|
Status:
Proposed Rule
Amendment to Single Issuer Exemption for Broker-Dealers
|
| Last Action Date:06/05/2019 | File Number:S7-07-18 |
Rulemaking:
Regulation Best Interest: The Broker-Dealer Standard of Conduct
Trading and Markets, Investment Management
|
Status:
Proposed Rule
Regulation Best Interest
|
| Last Action Date:06/05/2019 | File Number:S7-08-18 |
Rulemaking:
Form CRS Relationship Summary; Amendments to Form ADV
Investment Management
|
Status:
Proposed Rule
Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures in Retail Communications and Restrictions on the Use of Certain Names or Titles
|
| Last Action Date:04/24/2019 | File Number:S7-14-16 |
Rulemaking:
Disclosure of Order Handling Information
Trading and Markets
|
Status:
Proposed Rule
Disclosure of Order Handling Information
|
| Last Action Date:12/20/2018 | File Number:S7-01-15 |
Rulemaking:
Disclosure of Hedging by Employees, Officers and Directors
Corporation Finance
|
Status:
Proposed Rule
Disclosure of Hedging by Employees, Officers and Directors
|
| Last Action Date:12/19/2018 | File Number:S7-14-15 |
Rulemaking:
Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved in Effecting Security-Based Swaps
Trading and Markets
|
Status:
Proposed Rule
Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved in Effecting Security-Based Swaps
|
| Last Action Date:12/19/2018 | File Number:S7-05-18 |
Rulemaking:
Transaction Fee Pilot for NMS Stocks
Trading and Markets
|
Status:
Proposed Rule
Transaction Fee Pilot for NMS Stocks
|
| Last Action Date:11/30/2018 | File Number:S7-11-18 |
Rulemaking:
Covered Investment Fund Research Reports
Corporation Finance, Investment Management, Trading and Markets
|
Status:
Proposed Rule
Covered Investment Fund Research Reports
|
| Last Action Date:11/29/2018 | File Number:S7-08-15 |
Rulemaking:
Investment Company Reporting Modernization
Investment Management
|
Status:
Proposed Rule
Investment Company Reporting Modernization
|
| Last Action Date:11/29/2018 | File Number:S7-08-15 |
Rulemaking:
Optional Internet Availability of Investment Company Shareholder Reports
Investment Management
|
Status:
Proposed Rule
Investment Company Reporting Modernization
|
| Last Action Date:11/29/2018 | File Number:S7-04-18 |
Rulemaking:
Investment Company Liquidity Disclosure
Investment Management
|
Status:
Proposed Rule
Investment Company Liquidity Disclosure
|
| Last Action Date:11/06/2018 | File Number:S7-23-15 |
Rulemaking:
Regulation of NMS Stock Alternative Trading Systems
Trading and Markets
|
Status:
Proposed Rule
Regulation of NMS Stock Alternative Trading Systems
|
| Last Action Date:11/02/2018 | File Number:S7-14-16 |
Rulemaking:
Disclosure of Order Handling Information
Trading and Markets
|
Status:
Proposed Rule
Disclosure of Order Handling Information
|
| Last Action Date:10/31/2018 | File Number:S7-10-16 |
Rulemaking:
Modernization of Property Disclosures for Mining Registrants
Corporation Finance
|
Status:
Proposed Rule
Modernization of Property Disclosures for Mining Registrants
Proposed Rule
Extension of Comment Period for Modernization of Property Disclosures for Mining Registrants
|
| Last Action Date:08/20/2018 | File Number:S7-01-17 |
Rulemaking:
Amendments to Municipal Securities Disclosure
Municipal Securities
|
Status:
Proposed Rule
Proposed Amendments to Municipal Securities Disclosure
|
| Last Action Date:08/17/2018 | File Number:S7-15-16 |
Rulemaking:
Disclosure Update and Simplification
Corporation Finance
|
Status:
Proposed Rule
Regulation of NMS Stock Alternative Trading Systems
Proposed Rule
Disclosure Update and Simplification
|
| Last Action Date:06/28/2018 | File Number:S7-12-16 |
Rulemaking:
Smaller Reporting Company Definition
Corporation Finance
|
Status:
Proposed Rule
Amendments to Smaller Reporting Company Definition
|
| Last Action Date:06/28/2018 | File Number:S7-03-17 |
Rulemaking:
Inline XBRL Filing of Tagged Data
Corporation Finance
|
Status:
Proposed Rule
Inline XBRL Filing of Tagged Data
|
| Last Action Date:04/18/2018 | File Number:S7-09-18 |
Rulemaking:
Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation
Investment Management
|
Status:
Proposed Rule
Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation
|
| Last Action Date:01/05/2018 | File Number:S7-05-17 |
Rulemaking:
Exemptions From Investment Adviser Registration for Advisers to Small Business Investment Companies
Investment Management
|
Status:
Proposed Rule
Amendments to Investment Advisers Act Rules To Reflect Changes Made by the FAST Act
|
| Last Action Date:01/05/2018 | File Number:S7-09-14 |
Rulemaking:
Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
Corporation Finance
|
Status:
Proposed Rule
Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
|
| Last Action Date:12/08/2017 | File Number:S7-08-15 |
Rulemaking:
Investment Company Reporting Modernization
Investment Management
|
Status:
Proposed Rule
Investment Company Reporting Modernization
|
| Last Action Date:10/24/2017 | File Number:S7-06-17 |
Rulemaking:
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
Trading and Markets
|
Status:
Proposed Rule
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
|
| Last Action Date:10/11/2017 | File Number:S7-08-17 |
Rulemaking:
FAST Act Modernization and Simplification of Regulation S-K
Corporation Finance
|
Status:
Proposed Rule
FAST Act Modernization and Simplification of Regulation S-K
|
| Last Action Date:09/21/2017 | File Number:S7-07-13 |
Rulemaking:
Pay Ratio Disclosure
Corporation Finance
|
Status:
Proposed Rule
Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
Proposed Rule
Pay Ratio Disclosure
|
| Last Action Date:05/03/2017 | File Number:S7-05-17 |
Rulemaking:
Amendments to Investment Advisers Act Rules To Reflect Changes Made by the FAST Act
Investment Management
|
Status:
Proposed Rule
Amendments to Investment Advisers Act Rules To Reflect Changes Made by the FAST Act
|
| Last Action Date:03/22/2017 | File Number:S7-22-16 |
Rulemaking:
Securities Transaction Settlement Cycle
Trading and Markets
|
Status:
Proposed Rule
Amendment to Securities Transaction Settlement Cycle
|
| Last Action Date:03/01/2017 | File Number:S7-03-17 |
Rulemaking:
Inline XBRL Filing of Tagged Data
Corporation Finance
|
Status:
Proposed Rule
Inline XBRL Filing of Tagged Data
|
| Last Action Date:03/01/2017 | File Number:S7-01-17 |
Rulemaking:
Proposed Amendments to Municipal Securities Disclosure
Municipal Securities
|
Status:
Proposed Rule
Proposed Amendments to Municipal Securities Disclosure
|
| Last Action Date:03/01/2017 | File Number:S7-19-16 |
Rulemaking:
Exhibit Hyperlinks and HTML Format
Corporation Finance
|
Status:
Proposed Rule
Exhibit Hyperlinks and HTML Format
|
| Last Action Date:02/17/2017 | File Number:S7-22-15 |
Rulemaking:
Exemptions To Facilitate Intrastate and Regional Securities Offerings
Corporation Finance
|
Status:
Proposed Rule
Exemptions To Facilitate Intrastate and Regional Securities Offerings
|
| Last Action Date:12/21/2016 | File Number:S7-12-14 |
Rulemaking:
Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act
Corporation Finance
|
Status:
Proposed Rule
Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the Jobs Act
|
| Last Action Date:12/21/2016 | File Number:S7-12-14 |
Rulemaking:
Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act; Correction
Corporation Finance
|
Status:
Proposed Rule
Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the Jobs Act
|
| Last Action Date:10/13/2016 | File Number:S7-16-15 |
Rulemaking:
Investment Company Liquidity Risk Management Programs
Investment Management
|
Status:
Proposed Rule
Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release
|
| Last Action Date:10/13/2016 | File Number:S7-16-15 |
Rulemaking:
Investment Company Swing Pricing
Investment Management
|
Status:
Proposed Rule
Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release
|
| Last Action Date:09/28/2016 | File Number:S7-22-16 |
Rulemaking:
Amendment to Securities Transaction Settlement Cycle
Trading and Markets
|
Status:
Proposed Rule
Amendment to Securities Transaction Settlement Cycle
|
| Last Action Date:09/28/2016 | File Number:S7-23-16 |
Rulemaking:
Definition of Covered Clearing Agency
Trading and Markets
|
Status:
Proposed Rule
Definition of Covered Clearing Agency
|
| Last Action Date:09/28/2016 | File Number:S7-03-14 |
Rulemaking:
Standards for Covered Clearing Agencies
Trading and Markets
|
Status:
Proposed Rule
Standards for Covered Clearing Agencies
|
| Last Action Date:09/23/2016 | File Number:S7-15-16 |
Rulemaking:
Disclosure Update and Simplification
Corporation Finance
|
Status:
Proposed Rule
Disclosure Update and Simplification
Proposed Rule
Extension of Comment Period for Disclosure Update and Simplification
|
| Last Action Date:08/29/2016 | File Number:S7-15-15 |
Rulemaking:
Access to Data Obtained by Security-Based Swap Data Repositories
Trading and Markets
|
Status:
Proposed Rule
Access to Data Obtained by Security-Based Swap Data Repositories and Exemption From Indemnification Requirement
Proposed Rule
Access to Data Obtained by Security-Based Swap Data Repositories and Exemption From Indemnification Requirement
|
| Last Action Date:08/25/2016 | File Number:S7-09-15 |
Rulemaking:
Form ADV and Investment Advisers Act Rules
Investment Management
|
Status:
Proposed Rule
Amendments to Form ADV and Investment Advisers Act Rules
|
| Last Action Date:07/14/2016 | File Number:S7-03-15 |
Rulemaking:
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Trading and Markets
|
Status:
Proposed Rule
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
|
| Last Action Date:07/13/2016 | File Number:S7-14-16 |
Rulemaking:
Disclosure of Order Handling Information
Trading and Markets
|
Status:
Proposed Rule
Disclosure of Order Handling Information
|
| Last Action Date:07/13/2016 | File Number:S7-18-15 |
Rulemaking:
Amendments to the Commission's Rules of Practice
General Counsel
|
Status:
Proposed Rule
Amendments to the Commission's Rules of Practice
|
| Last Action Date:06/28/2016 | File Number:S7-13-16 |
Rulemaking:
Adviser Business Continuity and Transition Plans
Investment Management
|
Status:
Proposed Rule
Adviser Business Continuity and Transition Plans
|
| Last Action Date:06/27/2016 | File Number:S7-12-16 |
Rulemaking:
Amendments to Smaller Reporting Company Definition
Corporation Finance
|
Status:
Proposed Rule
Amendments to Smaller Reporting Company Definition
|
| Last Action Date:06/27/2016 | File Number:S7-25-15 |
Rulemaking:
Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
|
Status:
Proposed Rule
Disclosure of Payments by Resource Extraction Issuers
Proposed Rule
Extension of Comment Period for Disclosure of Payments by Resource Extraction Issuers
|
| Last Action Date:06/16/2016 | File Number:S7-08-10 |
Rulemaking:
Asset-Backed Securities Disclosure and Registration
Corporation Finance
|
Status:
Proposed Rule
Asset-Backed Securities
Proposed Rule
Re-Proposal of Shelf Eligibility Conditions for Asset-Backed Securities
Proposed Rule
Re-Opening of Comment Period for Asset-Backed Securities Release
Proposed Rule
Extension of Comment Period for Asset-Backed Securities Release
|
| Last Action Date:06/08/2016 | File Number:S7-03-11 |
Rulemaking:
Trade Acknowledgment and Verification of Security-Based Swap Transactions
Trading and Markets
|
Status:
Proposed Rule
Trade Acknowledgment and Verification of Security-Based Swap Transactions
Proposed Rule
Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps
|
| Last Action Date:05/06/2016 | File Number:S7-07-16 |
Rulemaking:
Incentive-Based Compensation Arrangements
Trading and Markets, Investment Management
|
Status:
Proposed Rule
Incentive-Based Compensation Arrangements
|
| Last Action Date:04/14/2016 | File Number:S7-25-11 |
Rulemaking:
Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
Trading and Markets
|
Status:
Proposed Rule
Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
|
| Last Action Date:02/18/2016 | File Number:S7-27-15 |
Rulemaking:
Transfer Agent Regulations; Extension of Comment Period
Trading and Markets
|
Status:
Proposed Rule
Transfer Agent Regulations; Extension of Comment Period
|
| Last Action Date:02/17/2016 | File Number:S7-02-16 |
Rulemaking:
Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Trading and Markets
|
Status:
Proposed Rule
Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
|
| Last Action Date:02/10/2016 | File Number:S7-06-15 |
Rulemaking:
Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent; Security-Based Swap Dealer De Minimis Exception
Trading and Markets
|
Status:
Proposed Rule
Application of Certain Title VII Requirements to Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office
|
| Last Action Date:01/21/2016 | File Number:S7-25-15 |
Rulemaking:
Extension of Comment Period for Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
|
Status:
Proposed Rule
Extension of Comment Period for Disclosure of Payments by Resource Extraction Issuers
|
| Last Action Date:12/22/2015 | File Number:S7-01-13 |
Rulemaking:
Regulation Systems Compliance and Integrity
Trading and Markets
|
Status:
Proposed Rule
Regulation Systems Compliance and Integrity
Proposed Rule
Regulation Systems Compliance and Integrity
|
| Last Action Date:12/11/2015 | File Number:S7-25-15 |
Rulemaking:
Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
|
Status:
Proposed Rule
Disclosure of Payments by Resource Extraction Issuers
|
| Last Action Date:12/11/2015 | File Number:S7-26-15 |
Rulemaking:
Establishing the Form and Manner with which Security-Based Swap Data Repositories Must Make Security-Based Swap Data Available to the Commission
|
Status:
Proposed Rule
Establishing the Form and Manner with which Security-Based Swap Data Repositories Must Make Security-Based Swap Data Available to the Commission
|
| Last Action Date:10/30/2015 | File Number:S7-22-15 |
Rulemaking:
Exemptions To Facilitate Intrastate and Regional Securities Offerings
Corporation Finance
|
Status:
Proposed Rule
Exemptions To Facilitate Intrastate and Regional Securities Offerings
|
| Last Action Date:10/30/2015 | File Number:S7-09-13 |
Rulemaking:
Crowdfunding
Corporation Finance, Trading and Markets
|
Status:
Proposed Rule
Crowdfunding
|
| Last Action Date:09/24/2015 | File Number:S7-19-15 |
Rulemaking:
Amendments to the Commission's Rules of Practice
General Counsel
|
Status:
Proposed Rule
Amendments to the Commission's Rules of Practice
|
| Last Action Date:09/22/2015 | File Number:S7-16-15 |
Rulemaking:
Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release
Investment Management
|
Status:
Proposed Rule
Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release
|
| Last Action Date:09/16/2015 | File Number:S7-07-11 |
Rulemaking:
Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule
Investment Management
|
Status:
Proposed Rule
References to Credit Ratings in Certain Investment Company Act Rules and Forms
Proposed Rule
Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule
|
| Last Action Date:09/04/2015 | File Number:S7-15-15 |
Rulemaking:
Access to Data Obtained by Security-Based Swap Data Repositories and Exemption From Indemnification Requirement
Trading and Markets
|
Status:
Proposed Rule
Access to Data Obtained by Security-Based Swap Data Repositories and Exemption From Indemnification Requirement
|
| Last Action Date:08/05/2015 | File Number:S7-14-15 |
Rulemaking:
Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved in Effecting Security-Based Swaps
Trading and Markets
|
Status:
Proposed Rule
Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved in Effecting Security-Based Swaps
|
| Last Action Date:08/05/2015 | File Number:S7-40-11 |
Rulemaking:
Registration Process for Security-Based Swap Dealers and Major Security-Based Swap Participants
Trading and Markets
|
Status:
Proposed Rule
Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
|
| Last Action Date:07/08/2015 | File Number:S7-07-14 |
Rulemaking:
Freedom of Information Act Regulations: Fee Schedule, Addition of Appeals Time Frame, and Miscellaneous Administrative Changes
FOIA Services
|
Status:
Proposed Rule
Freedom of Information Act Regulations: Fee Schedule, Addition of Appeal Time Frame, and Miscellaneous Administrative Changes
|
| Last Action Date:05/20/2015 | File Number:S7-09-15 |
Rulemaking:
Amendments to Form ADV and Investment Advisers Act Rules
Investment Management
|
Status:
Proposed Rule
Amendments to Form ADV and Investment Advisers Act Rules
|
| Last Action Date:05/12/2015 | File Number:S7-16-11 |
Rulemaking:
Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
Trading and Markets
|
Status:
Proposed Rule
Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
Proposed Rule
Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
|
| Last Action Date:04/29/2015 | File Number:S7-06-15 |
Rulemaking:
Application of Certain Title VII Requirements to Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent
Trading and Markets
|
Status:
Proposed Rule
Application of Certain Title VII Requirements to Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office
|
| Last Action Date:03/25/2015 | File Number:S7-11-13 |
Rulemaking:
Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A)
Corporation Finance
|
Status:
Proposed Rule
Proposed Rule Amendments for Small and Additional Issues Exemptions Under Section 3(b) of the Securities Act
|
| Last Action Date:02/11/2015 | File Number:S7-34-10 |
Rulemaking:
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Trading and Markets
|
Status:
Proposed Rule
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Proposed Rule
Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps
Proposed Rule
Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and Forms Relating to the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
Proposed Rule
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
|
| Last Action Date:02/11/2015 | File Number:S7-03-15 |
Rulemaking:
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Trading and Markets
|
Status:
Proposed Rule
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
|
| Last Action Date:02/11/2015 | File Number:S7-35-10 |
Rulemaking:
Security-Based Swap Data Repository Registration, Duties, and Core Principles
Trading and Markets
|
Status:
Proposed Rule
Security-Based Swap Data Repository Registration, Duties, and Core Principles; Correction
Proposed Rule
Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps
|
| Last Action Date:02/09/2015 | File Number:S7-01-15 |
Rulemaking:
Disclosure of Hedging by Employees, Officers and Directors
Corporation Finance
|
Status:
Proposed Rule
Disclosure of Hedging by Employees, Officers and Directors
|
| Last Action Date:12/17/2014 | File Number:S7-23-07 |
Rulemaking:
Principal Trades with Certain Advisory Clients
|
Status:
Proposed Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
Proposed Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
Proposed Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
|
| Last Action Date:10/22/2014 | File Number:S7-14-11 |
Rulemaking:
Credit Risk Retention
Corporation Finance
|
Status:
Proposed Rule
Credit Risk Retention
Proposed Rule
Credit Risk Retention
Proposed Rule
Credit Risk Retention
|
| Last Action Date:09/08/2014 | File Number:S7-09-14 |
Rulemaking:
Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
Corporation Finance
|
Status:
Proposed Rule
Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
|
| Last Action Date:08/27/2014 | File Number:S7-18-11 |
Rulemaking:
Nationally Recognized Statistical Rating Organizations
Trading and Markets
|
Status:
Proposed Rule
Nationally Recognized Statistical Rating Organizations
|
| Last Action Date:08/12/2014 | File Number:S7-23-07 |
Rulemaking:
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
|
Status:
Proposed Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
|
| Last Action Date:07/23/2014 | File Number:S7-07-11 |
Rulemaking:
Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule
Investment Management
|
Status:
Proposed Rule
Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule
|
| Last Action Date:07/23/2014 | File Number:S7-03-13 |
Rulemaking:
Money Market Fund Reform; Amendments to Form PF
Investment Management
|
Status:
Proposed Rule
Money Market Fund Reform; Amendments to Form PF
|
| Last Action Date:06/25/2014 | File Number:S7-02-13 |
Rulemaking:
Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities; Republication
Trading and Markets
|
Status:
Proposed Rule
Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and Forms Relating to the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
|
| Last Action Date:04/17/2014 | File Number:S7-05-14 |
Rulemaking:
Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Capital Rule for Certain Security-Based Swap Dealers
Trading and Markets
|
Status:
Proposed Rule
Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Capital Rule for Certain Security-Based Swap Dealers
|
| Last Action Date:04/03/2014 | File Number:S7-12-10 |
Rulemaking:
Investment Company Advertising: Target Date Retirement Fund Names and Marketing
Investment Management
|
Status:
Proposed Rule
Investment Company Advertising: Target Date Retirement Fund Names and Marketing
Proposed Rule
Investment Company Advertising: Target Date Retirement Fund Names and Marketing
Proposed Rule
Investment Company Advertising: Target Date Retirement Fund Names and Marketing
|
| Last Action Date:03/12/2014 | File Number:S7-03-14 |
Rulemaking:
Standards for Covered Clearing Agencies
Trading and Markets
|
Status:
Proposed Rule
Standards for Covered Clearing Agencies
|
| Last Action Date:01/13/2014 | File Number:S7-45-10 |
Rulemaking:
Registration of Municipal Advisors; Temporary Stay of Final Rule
Municipal Securities
|
Status:
Proposed Rule
Registration of Municipal Advisors
|
| Last Action Date:12/27/2013 | File Number:S7-7-11 |
Rulemaking:
Removal of Certain References to Credit Ratings Under the Investment Company Act
|
Status:
Proposed Rule
References to Credit Ratings in Certain Investment Company Act Rules and Forms
|
| Last Action Date:12/27/2013 | File Number:S7-15-11 |
Rulemaking:
Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934
Trading and Markets
|
Status:
Proposed Rule
Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934
|
| Last Action Date:12/10/2013 | File Number:S7-41-11 |
Rulemaking:
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Investment Management, Trading and Markets
|
Status:
Proposed Rule
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Proposed Rule
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
|
| Last Action Date:10/23/2013 | File Number:S7-09-13 |
Rulemaking:
Crowdfunding
Corporation Finance, Trading and Markets
|
Status:
Proposed Rule
Crowdfunding
|
| Last Action Date:09/27/2013 | File Number:S7-06-13 |
Rulemaking:
Amendments to Regulation D, Form D and Rule 156
Corporation Finance
|
Status:
Proposed Rule
Amendments to Regulation D, Form D and Rule 156
Proposed Rule
Amendments to Regulation D, Form D and Rule 156; Re-Opening of Comment Period
|
| Last Action Date:09/23/2013 | File Number:S7-45-10 |
Rulemaking:
Registration of Municipal Advisors (Corrected to conform to Federal Register version)
Municipal Securities
|
Status:
Proposed Rule
Registration of Municipal Advisors
|
| Last Action Date:07/30/2013 | File Number:S7-08-07 |
Rulemaking:
Financial Responsibility Rules for Broker-Dealers
|
Status:
Proposed Rule
Amendments to Financial Responsibility Rules for Broker-Dealers
Proposed Rule
Amendments to Financial Responsibility Rules for Broker-Dealers
Proposed Rule
Amendments to Financial Responsibility Rules for Broker-Dealers
|
| Last Action Date:07/30/2013 | File Number:S7-23-11 |
Rulemaking:
Broker-Dealer Reports
Trading and Markets
|
Status:
Proposed Rule
Broker-Dealer Reports
|
| Last Action Date:07/10/2013 | File Number:S7-07-12 |
Rulemaking:
Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings
Corporation Finance
|
Status:
Proposed Rule
Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings
|
| Last Action Date:07/10/2013 | File Number:S7-21-11 |
Rulemaking:
Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings
Corporation Finance
|
Status:
Proposed Rule
Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings
|
| Last Action Date:06/05/2013 | File Number:S7-03-13 |
Rulemaking:
Money Market Fund Reform; Amendments to Form PF
Investment Management
|
Status:
Proposed Rule
Money Market Fund Reform; Amendments to Form PF
|
| Last Action Date:05/01/2013 | File Number:S7-27-10 |
Rulemaking:
Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges With Respect to Security-Based Swaps Under Regulation MC
Trading and Markets
|
Status:
Proposed Rule
Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges With Respect to Security-Based Swaps Under Regulation MC
Proposed Rule
Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges With Respect to Security-Based Swaps Under Regulation MC
Proposed Rule
Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps
|
| Last Action Date:05/01/2013 | File Number:S7-34-10 |
Rulemaking:
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Trading and Markets
|
Status:
Proposed Rule
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Proposed Rule
Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps
|
| Last Action Date:05/01/2013 | File Number:S7-43-10 |
Rulemaking:
End-User Exception to Mandatory Clearing of Security-Based Swaps
Trading and Markets
|
Status:
Proposed Rule
End-User Exception to Mandatory Clearing of Security-Based Swaps
Proposed Rule
Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps
|
| Last Action Date:05/01/2013 | File Number:S7-03-11 |
Rulemaking:
Trade Acknowledgment and Verification of Security-Based Swap Transactions
Trading and Markets
|
Status:
Proposed Rule
Trade Acknowledgment and Verification of Security-Based Swap Transactions
Proposed Rule
Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps
|
| Last Action Date:05/01/2013 | File Number:S7-06-11 |
Rulemaking:
Registration and Regulation of Security-Based Swap Execution Facilities
Trading and Markets
|
Status:
Proposed Rule
Registration and Regulation of Security-Based Swap Execution Facilities
Proposed Rule
Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps
|
| Last Action Date:05/01/2013 | File Number:S7-08-11 |
Rulemaking:
Clearing Agency Standards for Operation and Governance
Trading and Markets
|
Status:
Proposed Rule
Clearing Agency Standards for Operation and Governance
Proposed Rule
Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps
|
| Last Action Date:05/01/2013 | File Number:S7-08-12 |
Rulemaking:
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
Trading and Markets
|
Status:
Proposed Rule
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
Proposed Rule
Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps
|
| Last Action Date:05/01/2013 | File Number:S7-27-10 |
Rulemaking:
Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps
Trading and Markets
|
Status:
Proposed Rule
Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps
|
| Last Action Date:04/10/2013 | File Number:S7-02-12 |
Rulemaking:
Identity Theft Red Flags Rules
Investment Management, Trading and Markets
|
Status:
Proposed Rule
Identity Theft Red Flags Rules
|
| Last Action Date:01/16/2013 | File Number:S7-11-11 |
Rulemaking:
Lost Securityholders and Unresponsive Payees
Trading and Markets
|
Status:
Proposed Rule
Rule 17Ad-17; Transfer Agents', Brokers', and Dealers' Obligation To Search for Lost Securityholders; Paying Agents' Obligation To Search for Missing Securityholders
|
| Last Action Date:12/05/2012 | File Number:S7-44-10 |
Rulemaking:
Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations
Trading and Markets
|
Status:
Proposed Rule
Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations
|
| Last Action Date:12/05/2012 | File Number:S7-44-10 |
Rulemaking:
Extension of Dates for Certain Requirements and Amendment of Form 19b-4
Trading and Markets
|
Status:
Proposed Rule
Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations
|
| Last Action Date:11/19/2012 | File Number:S7-07-11 |
Rulemaking:
Purchase of Certain Debt Securities by Business and Industrial Development Companies Relying on an Investment Company Act Exemption
Investment Management
|
Status:
Proposed Rule
References to Credit Ratings in Certain Investment Company Act Rules and Forms
|
| Last Action Date:10/22/2012 | File Number:S7-08-11 |
Rulemaking:
Clearing Agency Standards
Trading and Markets
|
Status:
Proposed Rule
Clearing Agency Standards for Operation and Governance
|
| Last Action Date:09/21/2012 | File Number:S7-19-10 |
Rulemaking:
Temporary Registration of Municipal Advisors
Municipal Securities
|
Status:
Proposed Rule
Registration of Municipal Advisors
|
| Last Action Date:08/29/2012 | File Number:S7-07-12 |
Rulemaking:
Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings
Corporation Finance
|
Status:
Proposed Rule
Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings
|
| Last Action Date:08/22/2012 | File Number:S7-42-10 |
Rulemaking:
Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
|
Status:
Proposed Rule
Disclosure of Payments by Resource Extraction Issuers
Proposed Rule
Disclosure of Payments by Resource Extraction Issuers
|
| Last Action Date:08/22/2012 | File Number:S7-40-10 |
Rulemaking:
Conflict Minerals
Corporation Finance
|
Status:
Proposed Rule
Conflict Minerals
Proposed Rule
Conflict Minerals
|
| Last Action Date:07/18/2012 | File Number:S7-11-10 |
Rulemaking:
Consolidated Audit Trail
Trading and Markets
|
Status:
Proposed Rule
Consolidated Audit Trail
|
| Last Action Date:06/20/2012 | File Number:S7-13-11 |
Rulemaking:
Listing Standards for Compensation Committees
Corporation Finance
|
Status:
Proposed Rule
Listing Standards for Compensation Committees
Proposed Rule
Listing Standards for Compensation Committees
|
| Last Action Date:06/08/2012 | File Number:S7-18-09 |
Rulemaking:
Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Extension of Compliance Date
Investment Management
|
Status:
Proposed Rule
Political Contributions by Certain Investment Advisers
|
| Last Action Date:04/27/2012 | File Number:S7-39-10 |
Rulemaking:
Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant"
Trading and Markets
|
Status:
Proposed Rule
Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant"
|
| Last Action Date:03/30/2012 | File Number:S7-22-11 |
Rulemaking:
Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies
Corporation Finance
|
Status:
Proposed Rule
Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies
|
| Last Action Date:03/23/2012 | File Number:S7-04-11 |
Rulemaking:
Net Worth Standard for Accredited Investors
Investment Management
|
Status:
Proposed Rule
Net Worth Standard for Accredited Investors
|
| Last Action Date:03/23/2012 | File Number:S7-04-11 |
Rulemaking:
Net Worth Standard for Accredited Investors
Investment Management
|
Status:
Proposed Rule
Net Worth Standard for Accredited Investors
|
| Last Action Date:02/27/2012 | File Number:S7-02-12 |
Rulemaking:
Identity Theft Red Flags Rules
Investment Management, Trading and Markets
|
Status:
Proposed Rule
Identity Theft Red Flags Rules
|
| Last Action Date:02/15/2012 | File Number:S7-17-11 |
Rulemaking:
Investment Adviser Performance Compensation
Investment Management
|
Status:
Proposed Rule
Investment Adviser Performance Compensation
|
| Last Action Date:01/20/2012 | File Number:S7-31-11 |
Rulemaking:
Covered Securities of Bats Exchange, Inc.
Trading and Markets
|
Status:
Proposed Rule
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
|
| Last Action Date:12/23/2011 | File Number:S7-41-11 |
Rulemaking:
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Investment Management, Trading and Markets
|
Status:
Proposed Rule
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Proposed Rule
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
|
| Last Action Date:12/23/2011 | File Number:S7-38-11 |
Rulemaking:
Prohibition Against Conflicts of Interest in Certain Securitizations
Trading and Markets
|
Status:
Proposed Rule
Prohibition Against Conflicts of Interest in Certain Securitizations
Proposed Rule
Prohibition Against Conflicts of Interest in Certain Securitizations
Proposed Rule
Prohibition Against Conflicts of Interest in Certain Securitizations
|
| Last Action Date:12/21/2011 | File Number:S7-41-10 |
Rulemaking:
Mine Safety Disclosure
Corporation Finance
|
Status:
Proposed Rule
Mine Safety Disclosure
Proposed Rule
Mine Safety Disclosure
|
| Last Action Date:10/31/2011 | File Number:S7-05-11 |
Rulemaking:
Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
Investment Management
|
Status:
Proposed Rule
Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
|
| Last Action Date:09/15/2011 | File Number:S7-10-09 |
Rulemaking:
Facilitating Shareholder Director Nominations
Corporation Finance
|
Status:
Proposed Rule
Facilitating Shareholder Director Nominations
Proposed Rule
Facilitating Shareholder Director Nominations
|
| Last Action Date:09/12/2011 | File Number:S7-19-11 |
Rulemaking:
Privacy Act of 1974: Implementation and Amendment of Exemptions
Information Technology
|
Status:
Proposed Rule
Privacy Act of 1974: Implementation and Amendment of Exemptions
|
| Last Action Date:08/25/2011 | File Number:S7-24-10 |
Rulemaking:
Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Corporation Finance
|
Status:
Proposed Rule
Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
|
| Last Action Date:08/17/2011 | File Number:S7-02-11 |
Rulemaking:
Suspension of the Duty To File Reports for Classes of Asset-Backed Securities Under Section 15(D) of the Securities Exchange Act of 1934
Corporation Finance
|
Status:
Proposed Rule
Suspension of the Duty To File Reports for Classes of Asset-Backed Securities Under Section 15(d) of the Securities Exchange Act of 1934
|
| Last Action Date:07/27/2011 | File Number:S7-18-08 |
Rulemaking:
Security Ratings
Corporation Finance
|
Status:
Proposed Rule
Security Ratings
Proposed Rule
References to Ratings of Nationally Recognized Statistical Rating Organizations
Proposed Rule
Security Ratings
|
| Last Action Date:07/27/2011 | File Number:S7-10-10 |
Rulemaking:
Large Trader Reporting
Trading and Markets
|
Status:
Proposed Rule
Large Trader Reporting System
|
| Last Action Date:06/27/2011 | File Number:S7-03-10 |
Rulemaking:
Risk Management Controls for Brokers or Dealers With Market Access
Trading and Markets
|
Status:
Proposed Rule
Risk Management Controls for Brokers or Dealers With Market Access
|
| Last Action Date:06/22/2011 | File Number:S7-25-10 |
Rulemaking:
Family Offices
Investment Management
|
Status:
Proposed Rule
Family Offices
|
| Last Action Date:06/22/2011 | File Number:S7-37-10 |
Rulemaking:
Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers
Investment Management
|
Status:
Proposed Rule
Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers
|
| Last Action Date:06/22/2011 | File Number:S7-36-10 |
Rulemaking:
Rules Implementing Amendments to the Investment Advisers Act of 1940
Investment Management
|
Status:
Proposed Rule
Rules Implementing Amendments to the Investment Advisers Act of 1940
|
| Last Action Date:06/15/2011 | File Number:S7-23-11 |
Rulemaking:
Broker-Dealer Reports
Trading and Markets
|
Status:
Proposed Rule
Broker-Dealer Reports
|
| Last Action Date:06/08/2011 | File Number:S7-10-11 |
Rulemaking:
Beneficial Ownership Reporting Requirements and Security-Based Swaps
Corporation Finance
|
Status:
Proposed Rule
Beneficial Ownership Reporting Requirements and Security-Based Swaps
|
| Last Action Date:05/25/2011 | File Number:S7-21-11 |
Rulemaking:
Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings
Corporation Finance
|
Status:
Proposed Rule
Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings
|
| Last Action Date:05/25/2011 | File Number:S7-33-10 |
Rulemaking:
Securities Whistleblower Incentives and Protections
|
Status:
Proposed Rule
Proposed Rules for Implementing the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934
|
| Last Action Date:04/29/2011 | File Number:S7-16-11 |
Rulemaking:
Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
Trading and Markets
|
Status:
Proposed Rule
Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
|
| Last Action Date:04/27/2011 | File Number:S7-15-11 |
Rulemaking:
Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934
Trading and Markets
|
Status:
Proposed Rule
Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934
|
| Last Action Date:03/29/2011 | File Number:S7-12-11 |
Rulemaking:
Incentive-Based Compensation Arrangements
Investment Management, Trading and Markets
|
Status:
Proposed Rule
Incentive-Based Compensation Arrangements
|
| Last Action Date:03/18/2011 | File Number:S7-11-11 |
Rulemaking:
Rule 17Ad-17; Transfer Agents', Brokers', and Dealers' Obligation To Search for Lost Securityholders; Paying Agents' Obligation To Search for Missing Securityholders
Trading and Markets
|
Status:
Proposed Rule
Rule 17Ad-17; Transfer Agents', Brokers', and Dealers' Obligation To Search for Lost Securityholders; Paying Agents' Obligation To Search for Missing Securityholders
|
| Last Action Date:01/25/2011 | File Number:S7-31-10 |
Rulemaking:
Shareholder Approval of Executive Compensation and Golden Parachute Compensation
Corporation Finance
|
Status:
Proposed Rule
Shareholder Approval of Executive Compensation and Golden Parachute Compensation
|
| Last Action Date:01/20/2011 | File Number:S7-26-10 |
Rulemaking:
Issuer Review of Assets in Offerings of Asset-Backed Securities
Corporation Finance
|
Status:
Proposed Rule
Issuer Review of Assets in Offerings of Asset-Backed Securities
|
| Last Action Date:12/28/2010 | File Number:S7-10-00 |
Rulemaking:
Amendments to Form ADV
|
Status:
Proposed Rule
Electronic Filing by Investment Advisers; Proposed Amendments to Form ADV
Proposed Rule
Amendments to Form ADV
|
| Last Action Date:12/28/2010 | File Number:S7-10-00 |
Rulemaking:
Amendments To Form ADV; Extension of Compliance Date
|
Status:
Proposed Rule
Electronic Filing by Investment Advisers; Proposed Amendments to Form ADV
Proposed Rule
Amendments to Form ADV
|
| Last Action Date:12/16/2010 | File Number:S7-18-10 |
Rulemaking:
Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
Corporation Finance
|
Status:
Proposed Rule
Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
|
| Last Action Date:12/07/2010 | File Number:S7-39-10 |
Rulemaking:
Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant"
Trading and Markets
|
Status:
Proposed Rule
Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant"
|
| Last Action Date:12/01/2010 | File Number:S7-23-07 |
Rulemaking:
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
|
Status:
Proposed Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
|
| Last Action Date:11/19/2010 | File Number:S7-35-10 |
Rulemaking:
Security-Based Swap Data Repository Registration, Duties, and Core Principles; Correction
Trading and Markets
|
Status:
Proposed Rule
Security-Based Swap Data Repository Registration, Duties, and Core Principles; Correction
|
| Last Action Date:11/04/2010 | File Number:S7-08-09 |
Rulemaking:
Amendments to Regulation SHO
Trading and Markets
|
Status:
Proposed Rule
Amendments to Regulation SHO
Proposed Rule
Amendments to Regulation SHO
|
| Last Action Date:10/18/2010 | File Number:S7-30-10 |
Rulemaking:
Reporting of Proxy Votes on Executive Compensation and Other Matters
Investment Management
|
Status:
Proposed Rule
Reporting of Proxy Votes on Executive Compensation and Other Matters
|
| Last Action Date:10/14/2010 | File Number:S7-14-08 |
Rulemaking:
Indexed Annuities And Certain Other Insurance Contracts
Investment Management
|
Status:
Proposed Rule
Indexed Annuities and Certain Other Insurance Contracts
Proposed Rule
Indexed Annuities and Certain Other Insurance Contracts
|
| Last Action Date:09/17/2010 | File Number:S7-22-10 |
Rulemaking:
Short-Term Borrowings Disclosure
Corporation Finance
|
Status:
Proposed Rule
Short-Term Borrowings Disclosure
|
| Last Action Date:07/28/2010 | File Number:S7-10-00 |
Rulemaking:
Electronic Filing by Investment Advisers; Amendments To Form ADV; Technical Amendments
|
Status:
Proposed Rule
Electronic Filing by Investment Advisers; Proposed Amendments to Form ADV
Proposed Rule
Amendments to Form ADV
|
| Last Action Date:07/21/2010 | File Number:S7-15-10 |
Rulemaking:
Mutual Fund Distribution Fees; Confirmations
Investment Management
|
Status:
Proposed Rule
Mutual Fund Distribution Fees; Confirmations
|
| Last Action Date:07/02/2010 | File Number:S7-21-09 |
Rulemaking:
Elimination of Flash Order Exception From Rule 602 of Regulation NMS
Trading and Markets
|
Status:
Proposed Rule
Elimination of Flash Order Exception From Rule 602 of Regulation NMS
Proposed Rule
Elimination of Flash Order Exception From Rule 602 of Regulation NMS
|
| Last Action Date:07/01/2010 | File Number:S7-18-09 |
Rulemaking:
Political Contributions by Certain Investment Advisers
Investment Management
|
Status:
Proposed Rule
Political Contributions by Certain Investment Advisers
|
| Last Action Date:05/27/2010 | File Number:S7-15-09 |
Rulemaking:
Amendment to Municipal Securities Disclosure
Trading and Markets
|
Status:
Proposed Rule
Proposed Amendment to Municipal Securities Disclosure
|
| Last Action Date:05/26/2010 | File Number:S7-11-10 |
Rulemaking:
Consolidated Audit Trail
Trading and Markets
|
Status:
Proposed Rule
Consolidated Audit Trail
|
| Last Action Date:04/14/2010 | File Number:S7-09-10 |
Rulemaking:
Proposed Amendments to Rule 610 of Regulation NMS
Trading and Markets
|
Status:
Proposed Rule
Proposed Amendments to Rule 610 of Regulation NMS
|
| Last Action Date:02/23/2010 | File Number:S7-13-09 |
Rulemaking:
Proxy Disclosure Enhancements
Corporation Finance
|
Status:
Proposed Rule
Proxy Disclosure and Solicitation Enhancements
|
| Last Action Date:02/23/2010 | File Number:S7-11-09 |
Rulemaking:
Money Market Fund Reform
Investment Management
|
Status:
Proposed Rule
Money Market Fund Reform
|
| Last Action Date:02/22/2010 | File Number:S7-22-09 |
Rulemaking:
Amendments to Rules Requiring Internet Availability of Proxy Materials
Corporation Finance
|
Status:
Proposed Rule
Amendments to Rules Requiring Internet Availability of Proxy Materials
|
| Last Action Date:01/26/2010 | File Number:S7-04-10 |
Rulemaking:
Purchases of Certain Equity Securities by the Issuer and Others
Trading and Markets
|
Status:
Proposed Rule
Purchases of Certain Equity Securities by the Issuer and Others
|
| Last Action Date:01/12/2010 | File Number:S7-12-09 |
Rulemaking:
Shareholder Approval of Executive Compensation of TARP Recipients
Corporation Finance
|
Status:
Proposed Rule
Shareholder Approval of Executive Compensation of TARP Recipients
|
| Last Action Date:12/30/2009 | File Number:S7-09-09 |
Rulemaking:
Custody of Funds or Securities of Clients by Investment Advisers
Investment Management
|
Status:
Proposed Rule
Custody of Funds or Securities of Clients by Investment Advisers
|
| Last Action Date:12/18/2009 | File Number:S7-30-09 |
Rulemaking:
Revisions To Rule 163
Corporation Finance
|
Status:
Proposed Rule
Revisions To Rule 163
|
| Last Action Date:12/15/2009 | File Number:S7-23-09 |
Rulemaking:
Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
Corporation Finance
|
Status:
Proposed Rule
Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
|
| Last Action Date:11/23/2009 | File Number:S7-28-09 |
Rulemaking:
Proposed Rules for Nationally Recognized Statistical Rating Organizations
Trading and Markets
|
Status:
Proposed Rule
Proposed Rules for Nationally Recognized Statistical Rating Organizations
|
| Last Action Date:11/23/2009 | File Number:S7-04-09 |
Rulemaking:
Amendments to Rules for Nationally Recognized Statistical Rating Organizations
Trading and Markets
|
Status:
Proposed Rule
Re-Proposed Rules for Nationally Recognized Statistical Rating Organizations
|
| Last Action Date:11/16/2009 | File Number:S7-09-07 |
Rulemaking:
Final Model Privacy Form Under the Gramm-Leach-Bliley Act
|
Status:
Proposed Rule
Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act
|
| Last Action Date:11/13/2009 | File Number:S7-27-09 |
Rulemaking:
Regulation of Non-Public Trading Interest
Trading and Markets
|
Status:
Proposed Rule
Regulation of Non-Public Trading Interest
|
| Last Action Date:11/05/2009 | File Number:S7-29-04 |
Rulemaking:
Regulation S-AM: Limitations on Affiliate Marketing; Extension of Compliance Date
|
Status:
Proposed Rule
Limitations on Affiliate Marketing (Regulation S-AM)
|
| Last Action Date:10/22/2009 | File Number:S7-24-09 |
Rulemaking:
Credit Ratings Disclosure
Investment Management
|
Status:
Proposed Rule
Credit Ratings Disclosure
Proposed Rule
Credit Ratings Disclosure
|
| Last Action Date:10/14/2009 | File Number:S7-22-09 |
Rulemaking:
Amendments to Rules Requiring Internet Availability of Proxy Materials
Corporation Finance
|
Status:
Proposed Rule
Amendments to Rules Requiring Internet Availability of Proxy Materials
|
| Last Action Date:10/13/2009 | File Number:S7-06-03 |
Rulemaking:
Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers
|
Status:
Proposed Rule
Certification of Disclosure in Certain Exchange Act Reports
Proposed Rule
Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers and Newly Public Companies
Proposed Rule
Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers
|
| Last Action Date:10/05/2009 | File Number:S7-17-08 |
Rulemaking:
References to Ratings of Nationally Recognized Statistical Rating Organizations
Trading and Markets
|
Status:
Proposed Rule
References to Ratings of Nationally Recognized Statistical Rating Organizations
Proposed Rule
References to Ratings of Nationally Recognized Statistical Rating Organizations
Proposed Rule
References to Ratings of Nationally Recognized Statistical Rating Organizations
|
| Last Action Date:10/05/2009 | File Number:S7-19-08 |
Rulemaking:
References to Ratings of Nationally Recognized Statistical Rating Organizations
Investment Management
|
Status:
Proposed Rule
References to Ratings of Nationally Recognized Statistical Rating Organizations
Proposed Rule
References to Ratings of Nationally Recognized Statistical Rating Organizations
Proposed Rule
References to Ratings of Nationally Recognized Statistical Rating Organizations
|
| Last Action Date:08/04/2009 | File Number:S7-29-04 |
Rulemaking:
Regulation S-AM: Limitations on Affiliate Marketing
|
Status:
Proposed Rule
Limitations on Affiliate Marketing (Regulation S-AM)
|
| Last Action Date:08/03/2009 | File Number:S7-18-09 |
Rulemaking:
Political Contributions by Certain Investment Advisers
Investment Management
|
Status:
Proposed Rule
Political Contributions by Certain Investment Advisers
|
| Last Action Date:07/17/2009 | File Number:S7-15-09 |
Rulemaking:
Proposed Amendment to Municipal Securities Disclosure
Trading and Markets
|
Status:
Proposed Rule
Proposed Amendment to Municipal Securities Disclosure
|
| Last Action Date:06/22/2009 | File Number:S7-06-03 |
Rulemaking:
Technical Amendment; Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers
|
Status:
Proposed Rule
Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers
|
| Last Action Date:05/28/2009 | File Number:S7-28-07 |
Rulemaking:
Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies
|
Status:
Proposed Rule
Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies
Proposed Rule
Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies
|