{ "0": { "section": "917", "section_list": [ "917" ], "type": "comment", "date_obj": 1303171200000, "text": "Requested public input on a study on financial literacy and investor education efforts: The study will assess retail investors' financial literacy and identify the most effective public and private investor education efforts. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2011\/2011-93.htm: Press Release", "display": null, "date_unix_millis": 1303171200000 }, "1": { "section": "939F", "section_list": [ "939F" ], "type": "comment", "date_obj": 1304985600000, "text": "Requested public input to assist study on the rating process for structured finance products and associated conflicts of interest, the feasibility of an assignment system, metrics to determine the accuracy of ratings, and alternative compensation that create incentives for accurate credit ratings. ", "links_dict": "http:\/\/www.sec.gov\/rules\/other\/2011\/34-64456.pdf: Request for Comment", "display": null, "date_unix_millis": 1304985600000 }, "2": { "section": "719", "section_list": [ "719" ], "type": "comment", "date_obj": 1311120000000, "text": "Requested public comment jointly with the CFTC for a study on swap regulation and clearinghouse regulation in the United States, Asia, and Europe. ", "links_dict": "http:\/\/www.sec.gov\/rules\/other\/2011\/34-64926.pdf: Request for Comment", "display": null, "date_unix_millis": 1311120000000 }, "3": { "section": "719", "section_list": [ "719" ], "type": "comment", "date_obj": 1311120000000, "text": "Requested public comment jointly with the CFTC for a study on swap regulation and clearinghouse regulation in the United States, Asia, and Europe. ", "links_dict": "http:\/\/www.sec.gov\/rules\/other\/2011\/34-64926.pdf: Request for Comment", "display": null, "date_unix_millis": 1311120000000 }, "4": { "section": "939H", "section_list": [ "939H" ], "type": "comment", "date_obj": 1292544000000, "text": "Requested Comment for Credit Rating Standardization Study: The Commission is requesting public comment to help inform its study on the feasibility and desirability of credit rating standardization, which must be completed within one year. ", "links_dict": "http:\/\/www.sec.gov\/rules\/other\/2010\/34-63573.pdf: Request for Comment", "display": null, "date_unix_millis": 1292544000000 }, "5": { "section": "989G", "section_list": [ "989G" ], "type": "comment", "date_obj": 1287014400000, "text": "Requested Public Comment for SOX Section 404(b) study: The SEC is requesting public comment related to a study of how to reduce compliance burden of auditor attestation requirement for companies whose public float is between $75 million and $250 million, while maintaining investor protections. ", "links_dict": "http:\/\/www.sec.gov\/rules\/other\/2010\/34-63108.pdf: Request for Comment", "display": null, "date_unix_millis": 1287014400000 }, "6": { "section": "719", "section_list": [ "719" ], "type": "comment", "date_obj": 1291334400000, "text": "Requested Public Comment on a Study Mandated Section 719(b): The Commission jointly with the CFTC requested public comment to aid study regarding the feasibility of requiring the derivatives industry to adopt standardized computer-readable algorithmic descriptions. ", "links_dict": "http:\/\/www.sec.gov\/rules\/other\/2010\/34-63423.pdf: Request for Comment", "display": null, "date_unix_millis": 1291334400000 }, "7": { "section": "929Y", "section_list": [ "929Y" ], "type": "comment", "date_obj": 1287964800000, "text": "Solicited Public Comment on transnational securities fraud: The Commission has solicited public comment on issues related to a study to determine the extent to which private rights of action under the antifraud provisions of the Securities Exchange Act of 1934 (the _\u2039\u0405xchange Act_\u2039\u009d) should be extended to cover transnational securities fraud. ", "links_dict": "http:\/\/www.sec.gov\/rules\/other\/2010\/34-63174.pdf: Request for Comment", "display": null, "date_unix_millis": 1287964800000 }, "8": { "section": "914", "section_list": [ "914" ], "type": "comment", "date_obj": 1280188800000, "text": "Sought Public Comment on Fiduciary Duty Study: The Commission sought comment regarding a study it will conduct into the Obligations of Brokers, Dealers, and Investment Advisers. Request for Public Comments ", "links_dict": "http:\/\/www.sec.gov\/rules\/other\/2010\/34-62577.pdf: Request for Comment, http:\/\/www.sec.gov\/comments\/4-606\/4-606.shtml: Comments Received", "display": null, "date_unix_millis": 1280188800000 }, "9": { "section": "Title VII", "section_list": [ "712", "761" ], "type": "comment", "date_obj": 1281657600000, "text": "Sought Public Comment on Swap Definitions: The Commission requested public comment regarding the way to define certain terms such as swaps, security-based swaps, swap dealers, and others. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2010\/2010-149.htm: Press Release", "display": null, "date_unix_millis": 1281657600000 }, "10": { "section": "763(a)", "section_list": [ "763" ], "type": "final", "date_obj": 1309478400000, "text": "Adopted an interim final rule exempting certain securities-based swaps from registration ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2011\/2011-141.htm: Press Release", "display": null, "date_unix_millis": 1309478400000 }, "11": { "section": "413", "section_list": [ "413" ], "type": "final", "date_obj": 1324425600000, "text": "Adopted rules to revise the \"accredited investor\" standard: The Commission amended its rules to exclude the value of a person_\u2039_s home from net worth calculations used to determine whether an individual may invest in certain unregistered securities offerings. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2011\/2011-274.htm: Press Release", "display": null, "date_unix_millis": 1324425600000 }, "12": { "section": "763", "section_list": [ "763" ], "type": "final", "date_obj": 1340841600000, "text": "Adopted rules regarding mandatory clearing of security-based swaps. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2012\/2012-124.htm: Press Release", "display": null, "date_unix_millis": 1340841600000 }, "13": { "section": "806", "section_list": [ "806" ], "type": "final", "date_obj": 1340841600000, "text": "Adopted rules regarding the process that designated clearing agencies will use to provide notice of proposed changes. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2012\/2012-124.htm: Press Release", "display": "hide", "date_unix_millis": 1340841600000 }, "14": { "section": "806", "section_list": [ "806" ], "type": "final", "date_obj": 1340841600000, "text": "Adopted rules regarding the process that designated clearing agencies will use to provide notice of proposed changes ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2012\/2012-124.htm: Press Release", "display": null, "date_unix_millis": 1340841600000 }, "15": { "section": "712", "section_list": [ "712" ], "type": "final", "date_obj": 1341532800000, "text": "Adopted rules defining key terms: The rules, adopted jointly with the CFTC, define key terms used in the Act regarding certain derivative products. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2012\/2012-130.htm: Press Release", "display": null, "date_unix_millis": 1341532800000 }, "16": { "section": "1502", "section_list": [ "1502" ], "type": "final", "date_obj": 1345593600000, "text": "Adopted rule regarding \"conflict minerals\" disclosure: The rule requires companies to disclose use of minerals that originated in the Democratic Republic of the Congo or an adjoining country. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2012\/2012-163.htm: Press Release, http:\/\/www.sec.gov\/rules\/final\/2014\/34-67716-decision.pdf: Court of Appeals Decision, http:\/\/www.sec.gov\/News\/PressRelease\/Detail\/PressRelease\/1370541720516: Press Release (SEC Order for Partial Stay)", "display": null, "date_unix_millis": 1345593600000 }, "17": { "section": "1504", "section_list": [ "1504" ], "type": "final", "date_obj": 1345593600000, "text": "Adopted rules regarding disclosure by resource extraction issuers: The rules require disclosure of payments to U.S. and non-U.S. governments related to commercial development of oil, gas, or mineral resources. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2012\/2012-164.htm: Press Release, http:\/\/www.sec.gov\/rules\/final\/2013\/34-67717-court-decision-vacating-rule.pdf: Court Decision Vacating Rule", "display": null, "date_unix_millis": 1345593600000 }, "18": { "section": "418", "section_list": [ "418" ], "type": "final", "date_obj": 1329264000000, "text": "Adopted rules to adjust the threshold used to determine who is a \"qualified client\" of a registered investment adviser. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2012\/2012-29.htm: Press Release", "display": null, "date_unix_millis": 1329264000000 }, "19": { "section": "712, 761", "section_list": [ "712", "761" ], "type": "final", "date_obj": 1334707200000, "text": "Adopted rules, jointly with the CFTC, defining key terms used in the Act with respect to swap-market intermediaries. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2012\/2012-67.htm: Press Release", "display": null, "date_unix_millis": 1334707200000 }, "20": { "section": "1088", "section_list": [ "1088" ], "type": "final", "date_obj": 1365552000000, "text": "Issued final rules to help prevent identity theft. The rules, written jointly with the CFTC, require investment companies and broker-dealers to adopt policies and procedures to prevent identity theft. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2013\/2013-57.htm: Press Release", "display": null, "date_unix_millis": 1365552000000 }, "21": { "section": "619", "section_list": [ "619" ], "type": "final", "date_obj": 1386633600000, "text": "Adopted, jointly with other regulators, rules to implement a prohibition on proprietary trading and certain relationships with hedge funds and private equity funds. ", "links_dict": "http:\/\/www.sec.gov\/News\/PressRelease\/Detail\/PressRelease\/1370540476526: Press Release", "display": null, "date_unix_millis": 1386633600000 }, "22": { "section": "939A", "section_list": [ "939A" ], "type": "final", "date_obj": 1388102400000, "text": "Adopted rules regarding use of credit ratings required under Investment Company Act rules and disclosure forms. ", "links_dict": "http:\/\/www.sec.gov\/News\/PressRelease\/Detail\/PressRelease\/1370540564425: Press Release", "display": null, "date_unix_millis": 1388102400000 }, "23": { "section": "989G", "section_list": [ "989G" ], "type": "final", "date_obj": 1284508800000, "text": "Adopted rules to conform the Internal Control Audit Requirements for Smaller Companies to a provision of the Dodd-Frank Act that specifies that the auditor attestation requirement does not apply to non-accelerated filers. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2010\/33-9142.pdf: Final Rule", "display": null, "date_unix_millis": 1284508800000 }, "24": { "section": "922", "section_list": [ "922" ], "type": "final", "date_obj": 1284508800000, "text": "Rescinded rules that administered the Commission's insider trading bounty program: In its place, the Act provided the Commission with new authority to reward whistleblowers with original information that leads to successful Commission enforcement actions of cases not limited to insider trading. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2010\/34-62921.pdf: Final Rule", "display": null, "date_unix_millis": 1284508800000 }, "25": { "section": "939A", "section_list": [ "939A" ], "type": "final", "date_obj": 1311724800000, "text": "Adopted rules to remove credit ratings as eligibility criteria for companies seeking to use \"short form\" registration when registering securities for public sale. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2011\/33-9245.pdf: Final Rule", "display": null, "date_unix_millis": 1311724800000 }, "26": { "section": "922, 924", "section_list": [ "922", "924" ], "type": "final", "date_obj": 1306281600000, "text": "Adopted rules to implement the whistleblower provisions of Section 21F of the Securities Exchange Act of 1934. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2011\/34-64545.pdf: Final Rule", "display": null, "date_unix_millis": 1306281600000 }, "27": { "section": "766", "section_list": [ "766" ], "type": "final", "date_obj": 1307491200000, "text": "Readopted beneficial ownership rules as they relate to security-based swaps to preserve public disclosure requirements for beneficial owners of security-based swaps. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2011\/34-64628.pdf: Final Rule", "display": null, "date_unix_millis": 1307491200000 }, "28": { "section": "409", "section_list": [ "409" ], "type": "final", "date_obj": 1308700800000, "text": "Adopted rules defining \"family office\": The definition will help those managing their own family's financial portfolios determine whether their \"family offices\" can continue to be excluded from the Investment Advisers Act of 1940. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2011\/ia-3220.pdf: Final Rule", "display": null, "date_unix_millis": 1308700800000 }, "29": { "section": "410", "section_list": [ "410" ], "type": "final", "date_obj": 1308700800000, "text": "Adopted rules and form changes to implement the transition of mid-sized investment advisers (between $25 and $100 million in assets under management) from SEC to State regulation, as provided in the Act. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2011\/ia-3221.pdf: Final Rule", "display": null, "date_unix_millis": 1308700800000 }, "30": { "section": "407, 408", "section_list": [ "407", "408" ], "type": "final", "date_obj": 1308700800000, "text": "Adopted rules to implement an exemption from registration: The rules apply to venture capital firms and advisers managing less than $150 million of private funds and exempt them from requirements to register with the Commission. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2011\/ia-3222.pdf: Final Rule", "display": null, "date_unix_millis": 1308700800000 }, "31": { "section": "404, 406", "section_list": [ "404", "406" ], "type": "final", "date_obj": 1320019200000, "text": "Adopted rules requiring advisers to hedge funds and other private funds to report information for use in monitoring systemic financial risk. The rules were adopted jointly with the CFTC for dually-registered advisers. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2011\/ia-3308.pdf: Final Rule", "display": null, "date_unix_millis": 1320019200000 }, "32": { "section": "various provisions of Title VII", "section_list": [ "763", "768" ], "type": "final", "date_obj": 1333065600000, "text": "Adopted exemptions for security-based swaps issued by certain clearing agencies. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2012\/33-9308.pdf: Final Rule", "display": null, "date_unix_millis": 1333065600000 }, "33": { "section": "952", "section_list": [ "952" ], "type": "final", "date_obj": 1340150400000, "text": "Adopted rule requiring exchange listing standards regarding compensation committee independence and disclosure of compensation consultant conflicts. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2012\/33-9330.pdf: Final Rule", "display": null, "date_unix_millis": 1340150400000 }, "34": { "section": "805", "section_list": [ "805" ], "type": "final", "date_obj": 1350864000000, "text": "Adopted a rule establishing minimum standards for the operation, governance, and risk management practices of registered clearing agencies, including clearing agencies designated as systemically important. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2012\/34-68080.pdf: Final Rule", "display": null, "date_unix_millis": 1350864000000 }, "35": { "section": "926", "section_list": [ "926" ], "type": "final", "date_obj": 1373414400000, "text": "Adopted rules to disqualify felons and other \"bad actors\" from offering or selling securities in certain exempt offerings. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2013\/33-9414.pdf: Final Rule", "display": null, "date_unix_millis": 1373414400000 }, "36": { "section": "929W", "section_list": [ "929W" ], "type": "final", "date_obj": 1358294400000, "text": "Adopted revisions to rules regarding due diligence for the delivery of dividends, interest, and other valuable property to missing securities holders. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2013\/34-68668.pdf: Final Rule", "display": null, "date_unix_millis": 1358294400000 }, "37": { "section": "975", "section_list": [ "975" ], "type": "final", "date_obj": 1379462400000, "text": "Adopted rules for the registration of municipal advisors. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2013\/34-70462.pdf: Final Rule", "display": null, "date_unix_millis": 1379462400000 }, "38": { "section": "939A", "section_list": [ "939A" ], "type": "final", "date_obj": 1388102400000, "text": "Adopted rules regarding use of credit ratings by broker-dealers. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2013\/34-71194.pdf: Final Rule", "display": null, "date_unix_millis": 1388102400000 }, "39": { "section": "939A", "section_list": [ "939A" ], "type": "final", "date_obj": 1409097600000, "text": "Adopted rules that replace credit ratings as eligibility criteria for asset-backed issuers seeking to use \"short form\" registration. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2014\/33-9638.pdf: Final Rule", "display": null, "date_unix_millis": 1409097600000 }, "40": { "section": "942", "section_list": [ "942" ], "type": "final", "date_obj": 1409097600000, "text": "Adopted rules that standardized asset-level information for ABS backed by residential mortgages, commercial mortgages, auto loans and leases, debt securities, and resecuritizations of those asset classes. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2014\/33-9638.pdf: Final Rule", "display": null, "date_unix_millis": 1409097600000 }, "41": { "section": "763, 764", "section_list": [ "763", "764" ], "type": "final", "date_obj": 1403654400000, "text": "Adopted rules and interpretative guidance for cross-border security-based swap activities. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2014\/34-72472.pdf: Final Rule", "display": null, "date_unix_millis": 1403654400000 }, "42": { "section": "932", "section_list": [ "932" ], "type": "final", "date_obj": 1409097600000, "text": "Adopted rules establishing technical amendments to NRSRO Rules to conform text, terms and definitions in the rules to amendments to text, terms, and definitions in the Securities Exchange Act of 1934 (e.g., changing \"furnishing\" information to the Commission to \"filing\" information with the Commission). ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2014\/34-72936.pdf: Final Rule", "display": "hide", "date_unix_millis": 1409097600000 }, "43": { "section": "936", "section_list": [ "936" ], "type": "final", "date_obj": 1409097600000, "text": "Adopted rules establishing training, experience and competence standards and a testing program for NRSRO analysts. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2014\/34-72936.pdf: Final Rule", "display": null, "date_unix_millis": 1409097600000 }, "44": { "section": "932", "section_list": [ "932" ], "type": "final", "date_obj": 1409097600000, "text": "Adopted rules regarding NRSRO reports of internal controls over the ratings process. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2014\/34-72936.pdf: Final Rule", "display": null, "date_unix_millis": 1409097600000 }, "45": { "section": "938", "section_list": [ "938" ], "type": "final", "date_obj": 1409097600000, "text": "Adopted rules regarding ratings symbols. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2014\/34-72936.pdf: Final Rule", "display": null, "date_unix_millis": 1409097600000 }, "46": { "section": "932", "section_list": [ "932" ], "type": "final", "date_obj": 1409097600000, "text": "Adopted rules regarding transparency of NRSRO ratings performance. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2014\/34-72936.pdf: Final Rule", "display": null, "date_unix_millis": 1409097600000 }, "47": { "section": "932", "section_list": [ "932" ], "type": "final", "date_obj": 1409097600000, "text": "Adopted rules requiring certain steps be followed when adopting or revising credit ratings procedures and methodologies, and providing for disclosure of certain information to accompany the publication of a rating. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2014\/34-72936.pdf: Final Rule", "display": null, "date_unix_millis": 1409097600000 }, "48": { "section": "932", "section_list": [ "932" ], "type": "final", "date_obj": 1409097600000, "text": "Adopted rules requiring third parties retained for the purpose of conducting due diligence related to asset-backed securities to provide a certification containing specified information to the NRSRO that is producing a rating for the ABS. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2014\/34-72936.pdf: Final Rule", "display": null, "date_unix_millis": 1409097600000 }, "49": { "section": "941", "section_list": [ "941" ], "type": "final", "date_obj": 1413763200000, "text": "Adopted rules, jointly with others, regarding risk retention by securitizers of asset-backed securities. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2014\/34-73407.pdf: Final Rule", "display": null, "date_unix_millis": 1413763200000 }, "50": { "section": "763, 766", "section_list": [ "763", "766" ], "type": "final", "date_obj": 1423612800000, "text": "Adopted rules regarding the reporting and dissemination of security-based swap information. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2015\/34-74244.pdf: Final Rule", "display": null, "date_unix_millis": 1423612800000 }, "51": { "section": "763", "section_list": [ "763" ], "type": "final", "date_obj": 1423612800000, "text": "Adopted rules regarding the registration of security-based swap data repositories. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2015\/34-74246.pdf: Final Rule", "display": null, "date_unix_millis": 1423612800000 }, "52": { "section": "various provisions of Title VII", "section_list": [ "763", "774" ], "type": "final", "date_obj": 1290124800000, "text": "Adopted an extension of temporary rules providing exemptions for eligible credit default swaps issued by certain clearing agencies ", "links_dict": "http:\/\/www.sec.gov\/rules\/interim\/2010\/33-9158.pdf: Interim Final Rule", "display": "hide", "date_unix_millis": 1290124800000 }, "53": { "section": "various provisions of Title VII", "section_list": [ "763", "774" ], "type": "final", "date_obj": 1309478400000, "text": "Adopted an extension of temporary rules providing exemptions for eligible credit default swaps issued by certain clearing agencies. ", "links_dict": "http:\/\/www.sec.gov\/rules\/interim\/2011\/33-9232.pdf: Interim Final Rule", "display": "hide", "date_unix_millis": 1309478400000 }, "54": { "section": "916", "section_list": [ "916" ], "type": "final", "date_obj": 1294963200000, "text": "Adopted streamlined procedural rules regarding filings by self-regulatory organizations: The rules of practice describe the process the Commission will use when it decides to hold hearings to consider rules proposed by self regulatory organizations and the Public Company Accounting Oversight Board. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2011\/34-63723.pdf: Final Rule", "display": null, "date_unix_millis": 1294963200000 }, "55": { "section": "975(a)", "section_list": [ "975" ], "type": "final", "date_obj": 1283299200000, "text": "Adopted Interim Rule Regarding the Registration of Municipal Advisors: The Commission adopted an Interim Temporary Final Rule establishing registration system and form for municipal advisors. ", "links_dict": "http:\/\/www.sec.gov\/rules\/interim\/2010\/34-62824.pdf: Interim Final Rule", "display": null, "date_unix_millis": 1283299200000 }, "56": { "section": "766", "section_list": [ "766" ], "type": "final", "date_obj": 1286928000000, "text": "Adopted Interim Rule to Require Reporting of Security-Based Swaps: The Commission adopted an interim rule that requires certain swaps dealers and other parties to report any security-based swaps entered into prior to the July 21 passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2010\/2010-191.htm: Press Release", "display": null, "date_unix_millis": 1286928000000 }, "57": { "section": "939B", "section_list": [ "939B" ], "type": "final", "date_obj": 1285718400000, "text": "Adopted rule to remove exemption for Credit Rating Agencies: The Commission revised Regulation FD to remove an exemption for entities whose primary business is the issuance of credit ratings. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2010\/33-9146.pdf: Final Rule", "display": null, "date_unix_millis": 1285718400000 }, "58": { "section": "951", "section_list": [ "951" ], "type": "final", "date_obj": 1295913600000, "text": "Adopted rules concerning shareholder approval of executive compensation and \"golden parachute\" compensation arrangements. The new rules specify that say-on-pay votes required under the Dodd-Frank Act must occur at least once every three years and that companies are required to hold a \"frequency\" vote at least once every six years in order to allow shareholders to decide how often they would like to be presented with the say-on-pay vote. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2011\/2011-25.htm: Press Release", "display": null, "date_unix_millis": 1295913600000 }, "59": { "section": "945", "section_list": [ "945" ], "type": "final", "date_obj": 1295481600000, "text": "Adopted rules regarding asset-backed securities\" issuers\" responsibilities to conduct and disclose a review of the assets: The rules require issuers of asset-backed securities to conduct a review of the assets underlying those securities and make certain disclosures about those reviews. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2011\/2011-18.htm: Press Release", "display": null, "date_unix_millis": 1295481600000 }, "60": { "section": "1503", "section_list": [ "1503" ], "type": "final", "date_obj": 1324425600000, "text": "Adopted rules regarding disclosure of mine safety information: The rules require mining companies to include information about mine safety and health in the quarterly and annual reports they file with the SEC. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2011\/2011-273.htm: Press Release", "display": null, "date_unix_millis": 1324425600000 }, "61": { "section": "942(a)", "section_list": [ "942" ], "type": "final", "date_obj": 1313539200000, "text": "Adopted rules regarding suspension of reporting obligations for certain classes of asset-backed securities. The rules permit suspension of the reporting obligations when there are no longer asset-backed securities of the class sold in a registered transaction held by non-affiliates of the depositor. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2011\/34-65148.pdf: Final Rule", "display": null, "date_unix_millis": 1313539200000 }, "62": { "section": "943", "section_list": [ "943" ], "type": "final", "date_obj": 1295481600000, "text": "Adopted rules regarding the use of representations and warranties in the asset-backed securities market: The rules require issuers of asset-backed securities to disclose the history of the requests they received and repurchases they made related to their outstanding asset-backed securities. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2011\/2011-18.htm: Press Release", "display": null, "date_unix_millis": 1295481600000 }, "63": { "section": "972", "section_list": [ "972" ], "type": "final", "date_obj": 1260921600000, "text": "Adopted rules to enhance information provided in connection with proxy solicitations and in other reports filed with the Commission, including\uf7e2oard leadership structure. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2009\/33-9089.pdf: Final Rule", "display": null, "date_unix_millis": 1260921600000 }, "64": { "section": "930(c)", "section_list": [ "930" ], "type": "final", "date_obj": 1353283200000, "text": "Adopted rules regarding the purchase of certain debt securities by business and industrial development companies relying on an Investment Company Act Exemption. ", "links_dict": "https:\/\/www.sec.gov\/rules\/final\/2012\/ic-30268.pdf: Final Rule", "display": null, "date_unix_millis": 1353283200000 }, "65": { "section": "953(b)", "section_list": [ "953" ], "type": "final", "date_obj": 1438732800000, "text": "Adopted rules that requires a public company to disclose the ratio of the compensation of its chief executive officer (CEO) to the median compensation of its employees. ", "links_dict": "http:\/\/www.sec.gov\/news\/pressrelease\/2015-160.html: Press Release", "display": null, "date_unix_millis": 1438732800000 }, "66": { "section": "764", "section_list": [ "764" ], "type": "final", "date_obj": 1438732800000, "text": "Adopted rules regarding the registration of security-based swap dealers and major security-based swap participants. ", "links_dict": "http:\/\/www.sec.gov\/news\/pressrelease\/sec-adopts-registration-rules-for-security-based-swap-dealers.html: Press Release", "display": null, "date_unix_millis": 1438732800000 }, "67": { "section": "619", "section_list": [ "619" ], "type": "final_interim", "date_obj": 1389657600000, "text": "Approved, jointly with other federal regulators, an interim final rule to permit banking entities to retain interests in certain collateralized debt obligations backed primarily by trust preferred securities. ", "links_dict": "http:\/\/www.sec.gov\/rules\/interim\/2014\/bhca-2.pdf: Interim Final Rule", "display": null, "date_unix_millis": 1389657600000 }, "68": { "section": "975", "section_list": [ "975" ], "type": "final", "date_obj": 1336089600000, "text": "Approved Municipal Securities Rulemaking Board Rule Change Regarding Standards of Conduct by Municipal Underwriters. ", "links_dict": "http:\/\/www.sec.gov\/rules\/sro\/msrb\/2012\/34-66927.pdf: Approved Rule Change", "display": null, "date_unix_millis": 1336089600000 }, "69": { "section": "952", "section_list": [ "952" ], "type": "final", "date_obj": 1358208000000, "text": "Approved exchange rules establishing listing standards concerning compensation advisers and listing standards that require each member of a listed issuer's compensation committee to be an independent member of the board of directors. ", "links_dict": "http:\/\/www.sec.gov\/rules\/sro\/cboe\/2013\/34-68642.pdf: Approved Rule Change, http:\/\/www.sec.gov\/rules\/sro\/nysemkt\/2013\/34-68637.pdf: Approved Rule Change, http:\/\/www.sec.gov\/rules\/sro\/nsx\/2013\/34-68662.pdf: Approved Rule Change, http:\/\/www.sec.gov\/rules\/sro\/bats\/2013\/34-68643.pdf: Approved Rule Change, http:\/\/www.sec.gov\/rules\/sro\/chx\/2013\/34-68653.pdf: Approved Rule Change, http:\/\/www.sec.gov\/rules\/sro\/bx\/2013\/34-68641.pdf: Approved Rule Change, http:\/\/www.sec.gov\/rules\/sro\/nysearca\/2013\/34-68638.pdf: Approved Rule Change, http:\/\/www.sec.gov\/rules\/sro\/nasdaq\/2013\/34-68640.pdf: Approved Rule Change, http:\/\/www.sec.gov\/rules\/sro\/nyse\/2013\/34-68635.pdf: Approved Rule Change", "display": null, "date_unix_millis": 1358208000000 }, "70": { "section": "975(b)", "section_list": [ "975" ], "type": "final", "date_obj": 1285804800000, "text": "Approved Municipal Securities Rulemaking Board Rule Change Regarding Board Membership: The Commission approved a rule change to amend MSRB Rule A-3 to comply with the Dodd-Frank Act. ", "links_dict": "http:\/\/www.sec.gov\/rules\/sro\/msrb\/2010\/34-63025.pdf: Approved Rule Change", "display": null, "date_unix_millis": 1285804800000 }, "71": { "section": "957 (partial)", "section_list": [ "957" ], "type": "final", "date_obj": 1283990400000, "text": "Eliminated Broker Discretionary Voting on Executive Compensation Matters: The Commission approved exchange rules regarding broker voting on executive compensation matters. ", "links_dict": "http:\/\/www.sec.gov\/rules\/sro\/nyse\/2010\/34-62874.pdf: Approved Rule Change", "display": null, "date_unix_millis": 1283990400000 }, "72": { "section": "774 (and various other provisions of Title VII)", "section_list": [ "774", "763", "766", "764", "761" ], "type": "guidance", "date_obj": 1308096000000, "text": "Provided guidance designed to remove any uncertainty about requirements that will apply to derivatives transactions as of the one-year effective date of Title VII: The guidance makes clear that substantially all of the Act's regulatory framework applicable to security-based swaps will not go into effect on July 16, 2011. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2011\/2011-130.htm: Press Release", "display": "hide", "date_unix_millis": 1308096000000 }, "73": { "section": "982", "section_list": [ "982" ], "type": "guidance", "date_obj": 1285286400000, "text": "Issued Broker Dealer Audit Guidance: The Commission issued interpretive guidance regarding applicable auditing standards for the performance of audits of brokers and dealers pending further Commission rulemaking and PCAOB standards-setting in this area. ", "links_dict": "http:\/\/www.sec.gov\/rules\/interp\/2010\/34-62991.pdf: Interpretation", "display": null, "date_unix_millis": 1285286400000 }, "74": { "section": "932", "section_list": [ "932" ], "type": "new_office", "date_obj": 1339977600000, "text": "Established the Office of Credit Ratings. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2012\/2012-113.htm: Press Release", "display": null, "date_unix_millis": 1339977600000 }, "75": { "section": "979", "section_list": [ "979" ], "type": "new_office", "date_obj": 1343865600000, "text": "Establish and staff the Office of Municipal Securities ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2012\/2012-149.htm: Press Release", "display": null, "date_unix_millis": 1343865600000 }, "76": { "section": "915, 919D", "section_list": [ "915", "919D" ], "type": "new_office", "date_obj": 1392163200000, "text": "Establish and staff the Office of Investor Advocate ", "links_dict": "http:\/\/www.sec.gov\/News\/PressRelease\/Detail\/PressRelease\/1370540780377: Press Release", "display": null, "date_unix_millis": 1392163200000 }, "77": { "section": "342", "section_list": [ "342" ], "type": "new_office", "date_obj": 1309478400000, "text": "Established the Office of Minority & Women Inclusion. ", "links_dict": "", "display": null, "date_unix_millis": 1309478400000 }, "78": { "section": "21F", "section_list": [ "21F" ], "type": "new_office", "date_obj": 1296518400000, "text": "Established the Office of Whistleblower. ", "links_dict": "", "display": null, "date_unix_millis": 1296518400000 }, "79": { "section": "919B", "section_list": [ "919B" ], "type": "other", "date_obj": 1336953600000, "text": "Implemented recommendations contained in study on ways to improve access of investors to registration information regarding investment advisers and broker-dealers. ", "links_dict": "http:\/\/www.sec.gov\/cgi-bin\/goodbye.cgi?www.finra.org\/Newsroom\/NewsReleases\/2012\/P126298: FINRA Press Release", "display": null, "date_unix_millis": 1336953600000 }, "80": { "section": "991", "section_list": [ "991" ], "type": "other", "date_obj": 1314748800000, "text": "Published order making annual adjustment to registration fees, effective Oct. 1, 2011. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2011\/2011-195.htm: Press Release", "display": null, "date_unix_millis": 1314748800000 }, "81": { "section": "911", "section_list": [ "911" ], "type": "other", "date_obj": 1333929600000, "text": "Established new Investor Advisory Committee ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2012\/2012-58.htm: Press Release", "display": null, "date_unix_millis": 1333929600000 }, "82": { "section": "967", "section_list": [ "967" ], "type": "other", "date_obj": 1287100800000, "text": "Awarded Independent Consultant Contract to perform study of SEC organization and operations. ", "links_dict": "", "display": null, "date_unix_millis": 1287100800000 }, "83": { "section": "1502", "section_list": [ "1502" ], "type": "other", "date_obj": 1318896000000, "text": "Conducted Staff Roundtable on Disclosure Related to \"Conflict Minerals\": The Commission staff held a roundtable on various issues related to the Commission's required rulemaking on reporting requirements regarding conflict minerals originating in the Democratic Republic of the Congo and adjoining countries. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2011\/2011-210.htm: Press Release", "display": "hide", "date_unix_millis": 1318896000000 }, "84": { "section": "Title VII", "section_list": [ "763", "764" ], "type": "other", "date_obj": 1287705600000, "text": "Conducted Staff Roundtables Regarding Derivatives: Commission staff, jointly with the CFTC staff, held a series of roundtables on topics including clearing organization and execution facility governance and conflicts (Aug. 20, 2010), swap and security-based swap matters (Sept. 14 and 15, 2010), issues related to clearing of credit default swaps (Oct. 22, 2010), and issues related to capital and margin for swaps and security-based swaps (Dec. 10, 2010). ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2010\/2010-148.htm: Press Release, http:\/\/www.sec.gov\/news\/press\/2010\/2010-196.htm: Press Release, http:\/\/www.sec.gov\/news\/press\/2010\/2010-238.htm: Press Release, http:\/\/www.sec.gov\/news\/press\/2010\/2010-166.htm: Press Release", "display": "hide", "date_unix_millis": 1287705600000 }, "85": { "section": "966", "section_list": [ "966" ], "type": "other", "date_obj": 1285545600000, "text": "Established Employee Hotline to the Office of the Inspector General: This provides SEC employees with a hotline telephone number and email box to suggest improvements in the work efficiency, effectiveness, productivity, and use of resources of the Commission, as well as allegations of waste, abuse, misconduct or mismanagement within the Commission. ", "links_dict": "", "display": null, "date_unix_millis": 1285545600000 }, "86": { "section": "954", "section_list": [ "954" ], "type": "proposed", "date_obj": 1435708800000, "text": "Proposed rules regarding recovery of executive compensation. ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2015\/33-9861.pdf: Proposed Rule", "display": null, "date_unix_millis": 1435708800000 }, "87": { "section": "761, 763, 764, 766", "section_list": [ "761", "763", "764", "766" ], "type": "final", "date_obj": 1455105600000, "text": "Adopted cross-border security-based swap rules regarding activity in the U.S. ", "links_dict": "https:\/\/www.sec.gov\/rules\/final\/2016\/34-77104.pdf: Final Rule", "display": null, "date_unix_millis": 1455105600000 }, "88": { "section": "953", "section_list": [ "953" ], "type": "proposed", "date_obj": 1430265600000, "text": "Proposed rules regarding disclosure of pay for performance. ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2015\/34-74835.pdf: Proposed Rule", "display": null, "date_unix_millis": 1430265600000 }, "89": { "section": "951", "section_list": [ "951" ], "type": "proposed", "date_obj": 1287360000000, "text": "Proposed rules concerning reporting of proxy votes on executive compensation and other matters by institutional investment managers. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2010\/2010-198.htm: Press Release", "display": null, "date_unix_millis": 1287360000000 }, "90": { "section": "951", "section_list": [ "951" ], "type": "proposed", "date_obj": 1287360000000, "text": "Proposed rules that would permit shareholders to cast advisory votes on executive compensation and \"golden parachute\" arrangements. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2010\/2010-198.htm: Press Release", "display": "hide", "date_unix_millis": 1287360000000 }, "91": { "section": "939A", "section_list": [ "939A" ], "type": "proposed", "date_obj": 1303862400000, "text": "Proposed revisions to rules that rely on credit ratings as an assessment of credit worthiness, and replace them with alternative criteria. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2011\/2011-100.htm: Press Release", "display": "hide", "date_unix_millis": 1303862400000 }, "92": { "section": "764", "section_list": [ "764" ], "type": "proposed", "date_obj": 1309305600000, "text": "Proposed rules establishing external business conduct standards for security-based swap dealers and major security-based swap participants. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2011\/2011-137.htm: Press Release", "display": null, "date_unix_millis": 1309305600000 }, "93": { "section": "621", "section_list": [ "621" ], "type": "proposed", "date_obj": 1316390400000, "text": "Proposed rules to prohibit material conflicts of interest between those who package and sell asset-backed securities and those who invest in them. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2011\/2011-185.htm: Press Release", "display": null, "date_unix_millis": 1316390400000 }, "94": { "section": "619", "section_list": [ "619" ], "type": "proposed", "date_obj": 1318377600000, "text": "Proposed rules to implement prohibition on proprietary trading and certain relationships with hedge funds and private equity funds. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2011\/2011-204.htm: Press Release", "display": null, "date_unix_millis": 1318377600000 }, "95": { "section": "764", "section_list": [ "764" ], "type": "proposed", "date_obj": 1318377600000, "text": "Proposed rules regarding the registration and regulation of security-based swap dealers and major security-based swap participants. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2011\/2011-205.htm: Press Release", "display": "hide", "date_unix_millis": 1318377600000 }, "96": { "section": "763", "section_list": [ "763" ], "type": "proposed", "date_obj": 1296604800000, "text": "Proposed rules regarding the registration and regulation of security-based swap execution facilities (SEFs) as well as rules implementing the 14 core principles for security-based SEFs. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2011\/2011-35.htm: Press Release", "display": null, "date_unix_millis": 1296604800000 }, "97": { "section": "956", "section_list": [ "956" ], "type": "proposed", "date_obj": 1301529600000, "text": "Proposed rules (jointly with other regulators) regarding disclosure of, and prohibitions of, certain executive compensation structures and arrangements at certain financial institutions. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2011\/2011-77.htm: Press Release", "display": null, "date_unix_millis": 1301529600000 }, "98": { "section": "952", "section_list": [ "952" ], "type": "proposed", "date_obj": 1301443200000, "text": "Proposed rules regarding exchange listing standards for compensation committee independence: The proposal requires exchange listing standards to address the independence of corporate directors who serve on compensation committees and the committees' authority and responsibilities with respect to hiring compensation advisers. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2011\/2011-78.htm: Press Release", "display": null, "date_unix_millis": 1301443200000 }, "99": { "section": "941", "section_list": [ "941" ], "type": "proposed", "date_obj": 1301443200000, "text": "Proposed rules (jointly with other agencies) regarding risk retention by securitizers of asset-backed securities: The proposed rules require sponsors of asset-backed securities to retain at least five percent of the credit risk of assets underlying the securities and would not permit the sponsors to transfer or hedge that credit risk. Securities backed exclusively by qualified residential mortgages would be exempt from the requirement. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2011\/2011-79.htm: Press Release", "display": null, "date_unix_millis": 1301443200000 }, "100": { "section": "712", "section_list": [ "712" ], "type": "proposed", "date_obj": 1303862400000, "text": "Proposed rules, jointly with the CFTC, defining key terms used in the Act with respect to products: The proposed definitions would cover what is a \"swap,\" a \"security-based swap,\" and a \"security-based swap agreement.\" ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2011\/2011-99.htm: Press Release", "display": null, "date_unix_millis": 1303862400000 }, "101": { "section": "763(b), 805(a)", "section_list": [ "763", "805" ], "type": "proposed", "date_obj": 1394582400000, "text": "Proposed rules to enhance the oversight of systemically-important clearing agencies or those that engage in complex transactions, such as security-based swaps. ", "links_dict": "http:\/\/www.sec.gov\/News\/PressRelease\/Detail\/PressRelease\/1370541113410: Press Release", "display": null, "date_unix_millis": 1394582400000 }, "102": { "section": "939A", "section_list": [ "939A" ], "type": "proposed", "date_obj": 1299024000000, "text": "Proposed revisions to rules that rely on credit ratings as an assessment of credit worthiness, and replace them with alternative criteria. ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2011\/33-9193.pdf: Proposed Rule", "display": "hide", "date_unix_millis": 1299024000000 }, "103": { "section": "926", "section_list": [ "926" ], "type": "proposed", "date_obj": 1306281600000, "text": "Proposed rules disqualifying the offer or sale of securities in certain exempt offerings by certain felons and others similarly situated. ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2011\/33-9211.pdf: Proposed Rule", "display": null, "date_unix_millis": 1306281600000 }, "104": { "section": "various provisions of Title VII", "section_list": [ "763", "768" ], "type": "proposed", "date_obj": 1307577600000, "text": "Proposed exemptions for security-based swaps issued by certain clearing agencies. ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2011\/33-9222.pdf: Proposed Rule", "display": "hide", "date_unix_millis": 1307577600000 }, "105": { "section": "939A, 942(b)", "section_list": [ "939A", "942" ], "type": "proposed", "date_obj": 1311638400000, "text": "Re-proposed rules that would replace credit ratings as eligibility criteria for asset-backed issuers seeking to use \"short form\" registration. In the same release, the Commission requested comment on its proposals to require standardized loan-level information ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2011\/33-9244.pdf: Proposed Rule", "display": "hide", "date_unix_millis": 1311638400000 }, "106": { "section": "805", "section_list": [ "805" ], "type": "proposed", "date_obj": 1299110400000, "text": "Proposed a rule establishing minimum standards for the operation, governance, and risk management practices of registered clearing agencies, including clearing agencies designated as systemically important. ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2011\/34-64017.pdf: Proposed Rule", "display": null, "date_unix_millis": 1299110400000 }, "107": { "section": "929W", "section_list": [ "929W" ], "type": "proposed", "date_obj": 1300406400000, "text": "Proposed revisions to rules regarding due diligence for the delivery of dividends, interest, and other valuable property to missing securities holders: The proposed changes would expand a requirement to search for missing securityholders to broker-dealers. ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2011\/34-64099.pdf: Proposed Rule", "display": null, "date_unix_millis": 1300406400000 }, "108": { "section": "932", "section_list": [ "932" ], "type": "proposed", "date_obj": 1305676800000, "text": "Proposed rules establishing fines and other penalties for certain violations of law. ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2011\/34-64514.pdf: Proposed Rule", "display": null, "date_unix_millis": 1305676800000 }, "109": { "section": "936", "section_list": [ "936" ], "type": "proposed", "date_obj": 1305676800000, "text": "Proposed rules establishing training, experience and competence standards and a testing program for NRSRO analysts. ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2011\/34-64514.pdf: Proposed Rule", "display": null, "date_unix_millis": 1305676800000 }, "110": { "section": "938", "section_list": [ "938" ], "type": "proposed", "date_obj": 1305676800000, "text": "Proposed rules regarding ratings symbols. ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2011\/34-64514.pdf: Proposed Rule", "display": null, "date_unix_millis": 1305676800000 }, "111": { "section": "932", "section_list": [ "932" ], "type": "proposed", "date_obj": 1305676800000, "text": "Proposed rules regarding transparency of NRSRO ratings performance. ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2011\/34-64514.pdf: Proposed Rule", "display": null, "date_unix_millis": 1305676800000 }, "112": { "section": "932", "section_list": [ "932" ], "type": "proposed", "date_obj": 1305676800000, "text": "Proposed rules regarding NRSRO reports of internal controls over the ratings process, preventing sales and marketing activities from influencing the production of ratings, providing for a report to the Commission and \"look-back\" when an entity subject to a rating employs a person who previously worked for the NRSRO. ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2011\/34-64514.pdf: Proposed Rule", "display": null, "date_unix_millis": 1305676800000 }, "113": { "section": "932", "section_list": [ "932" ], "type": "proposed", "date_obj": 1305676800000, "text": "Proposed rules regarding credit ratings procedures and methodologies: The proposed rules would require certain steps to be followed when adopting or revising credit ratings procedures and methodologies and also would require disclosure of certain information to accompany the publication of a rating. ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2011\/34-64514.pdf: Proposed Rule", "display": null, "date_unix_millis": 1305676800000 }, "114": { "section": "932", "section_list": [ "932" ], "type": "proposed", "date_obj": 1305676800000, "text": "Proposed rules requiring certification by third parties retained for the purpose of conducting due diligence related to asset-backed securities. ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2011\/34-64514.pdf: Proposed Rule", "display": null, "date_unix_millis": 1305676800000 }, "115": { "section": "932", "section_list": [ "932" ], "type": "proposed", "date_obj": 1305676800000, "text": "Proposed technical amendments to NRSRO Rules to conform text, terms and definitions in the Rules to amendments to text, terms, and definitions in the Securities Exchange Act of 1934 (e.g., changing \"furnishing\" information to the Commission to \"filing\" information with the Commission). ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2011\/34-64514.pdf: Proposed Rule", "display": null, "date_unix_millis": 1305676800000 }, "116": { "section": "418", "section_list": [ "418" ], "type": "proposed", "date_obj": 1304985600000, "text": "Proposed rules to raise certain dollar thresholds that need to be met before investment advisers can charge their clients performance fees: The proposed changes comply with a requirement in the Act to adjust these dollar thresholds for inflation every five years. ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2011\/ia-3198.pdf: Proposed Rule", "display": null, "date_unix_millis": 1304985600000 }, "117": { "section": "763, 764", "section_list": [ "763", "764" ], "type": "final", "date_obj": 1561821970000, "text": "Adopted capital, margin, and segregation requirements for security-based swap dealers and major security-based swap market participants. ", "links_dict": "https:\/\/www.sec.gov\/rules\/final\/2019\/34-86175.pdf: Final Rule", "display": null, "date_unix_millis": 1561821970000 }, "118": { "section": "1088", "section_list": [ "1088" ], "type": "proposed", "date_obj": 1330387200000, "text": "Issued proposed rules and guidelines to help prevent identity theft. The rules, written jointly with the CFTC, require investment companies and broker-dealers to adopt policies and procedures to prevent identity theft. ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2012\/ic-29969.pdf: Proposed Rule", "display": null, "date_unix_millis": 1330387200000 }, "119": { "section": "953", "section_list": [ "953" ], "type": "proposed", "date_obj": 1379462400000, "text": "Proposed rules regarding disclosure of pay ratios. ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2013\/33-9452.pdf: Proposed Rule", "display": "hide", "date_unix_millis": 1379462400000 }, "120": { "section": "763, 764", "section_list": [ "763", "764" ], "type": "proposed", "date_obj": 1367366400000, "text": "Proposed rules and interpretative guidance for cross-border security-based swap activities. ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2013\/34-69490.pdf: Proposed Rule", "display": null, "date_unix_millis": 1367366400000 }, "121": { "section": "941", "section_list": [ "941" ], "type": "proposed", "date_obj": 1377648000000, "text": "Issued revised proposed rules, jointly with other agencies, regarding risk retention by securitizers of asset-backed securities. The rule proposed in 2011 would have required sponsors of asset-backed securities to retain at least five percent of the credit risk of assets underlying the securities; the revised proposal would provide sponsors of asset-backed securities with several options to satisfy the risk retention requirement. ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2013\/34-70277.pdf: Proposed Rule", "display": null, "date_unix_millis": 1377648000000 }, "122": { "section": "764", "section_list": [ "764" ], "type": "final", "date_obj": 1568894400000, "text": "Adopted rules to establish recordkeeping, reporting, and notification requirements for security-based swap dealers and major security-based swap participants. ", "links_dict": "https:\/\/www.sec.gov\/rules\/final\/2019\/34-87005.pdf: Final Rule", "display": null, "date_unix_millis": 1568894400000 }, "123": { "section": "955", "section_list": [ "955" ], "type": "adopted", "date_obj": 1423440000000, "text": "Proposed rules regarding hedging by employees and directors. ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2015\/33-9723.pdf: Proposed Rule", "display": null, "date_unix_millis": 1423440000000 }, "124": { "section": "763, 766", "section_list": [ "763", "766" ], "type": "final", "date_obj": 1468497600000, "text": "Adopted rules regarding the reporting and dissemination of security-based swap information. ", "links_dict": "https:\/\/www.sec.gov\/rules\/final\/2016\/34-78321.pdf", "display": null, "date_unix_millis": 1468497600000 }, "125": { "section": "763", "section_list": [ "763" ], "type": "proposed", "date_obj": 1288742400000, "text": "Proposed anti-manipulation rule for security-based swaps: The Commission proposed a rule to help prevent fraud, manipulation, and deception in connection with security-based swaps. ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2010\/34-63236.pdf: Proposed Rule", "display": null, "date_unix_millis": 1288742400000 }, "126": { "section": "404, 406", "section_list": [ "404", "406" ], "type": "proposed", "date_obj": 1296000000000, "text": "Proposed joint rules with CFTC regarding reporting by investment advisers to private funds and certain commodity pool operators and commodity trading advisors. The proposed SEC rule would require investment advisers registered with the SEC that advise one or more private funds to file Form PF with the SEC. ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2011\/ia-3145.pdf: Proposed Rule", "display": null, "date_unix_millis": 1296000000000 }, "127": { "section": "409", "section_list": [ "409" ], "type": "proposed", "date_obj": 1286841600000, "text": "Proposed New Family Office Definition: The Commission proposed a new rule that would help those managing their own family's financial portfolios determine whether their \"family offices\" can continue to be excluded from the Investment Advisers Act of 1940. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2010\/2010-189.htm: Press Release", "display": null, "date_unix_millis": 1286841600000 }, "128": { "section": "975", "section_list": [ "975" ], "type": "proposed", "date_obj": 1292803200000, "text": "Proposed Permanent Rule Requiring Municipal Advisors to Register With Agency: The Commission voted to propose a rule creating a new process by which municipal advisors must register with the SEC. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2010\/2010-253.htm: Press Release", "display": null, "date_unix_millis": 1292803200000 }, "129": { "section": "766", "section_list": [ "766" ], "type": "proposed", "date_obj": 1300320000000, "text": "Proposed Readoption of Beneficial Ownership Rules as They Relate to Security-Based Swaps: The Commission proposed to readopt the relevant provisions of existing rules that govern beneficial ownership determinations for persons who use security-based swaps. ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2011\/34-64087.pdf: Proposed Rule", "display": "hide", "date_unix_millis": 1300320000000 }, "130": { "section": "939A", "section_list": [ "939A" ], "type": "proposed", "date_obj": 1297209600000, "text": "Proposed revisions to rules that contain references to credit ratings: The Commission proposed to remove credit ratings as one of the conditions for companies seeking to use short-form registration when registering securities. The proposal is the first in a series of SEC proposals to remove references to credit ratings within Commission rules and replace them with alternative criteria. ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2011\/33-9186.pdf: Proposed Rule", "display": "hide", "date_unix_millis": 1297209600000 }, "131": { "section": "763", "section_list": [ "763" ], "type": "proposed", "date_obj": 1294963200000, "text": "Proposed Rule for the Timely Acknowledgment and Verification of Security-Based Swap Transactions: The Commission voted to propose a rule governing the way in which certain security-based swap transactions are acknowledged and verified by the parties who enter into them. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2011\/2011-13.htm: Press Release", "display": null, "date_unix_millis": 1294963200000 }, "132": { "section": "413", "section_list": [ "413" ], "type": "proposed", "date_obj": 1295913600000, "text": "Proposed rule to revise the \"accredited investor\" standard. The proposed amendments would exclude the value of an individual's primary residence in calculating net worth when determining accredited investor status and would clarify the treatment of any indebtedness secured by the residence in the net worth calculation. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2011\/2011-24.htm: Press Release", "display": null, "date_unix_millis": 1295913600000 }, "133": { "section": "763", "section_list": [ "763" ], "type": "proposed", "date_obj": 1299024000000, "text": "Proposed rules for securities-based swaps clearing agencies. The proposed rules would establish standards for operation and governance. ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2011\/34-64017.pdf: Proposed Rule", "display": "hide", "date_unix_millis": 1299024000000 }, "134": { "section": "712", "section_list": [ "712" ], "type": "proposed", "date_obj": 1291680000000, "text": "Proposed Rules Joint Rules with CFTC to Define Swap Related Terms: The Commission jointly with the CFTC proposed rules to further define a series of terms related to the security-based swaps market, including _\u2039\u0433wap dealer,_\u2039\u009d _\u2039\u0433ecurity-based swap dealer,_\u2039\u009d _\u2039\u042dajor swap participant,_\u2039\u009d _\u2039\u042dajor security-based swap participant_\u2039\u009d and _\u2039\u0425ligible contract participant.\" ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2010\/34-63452.pdf: Proposed Rule", "display": null, "date_unix_millis": 1291680000000 }, "135": { "section": "763, 766", "section_list": [ "763", "766" ], "type": "proposed", "date_obj": 1290124800000, "text": "Proposed Rules on Security-Based Swap Reporting: The Commission proposed rules on trade reporting, data elements, and real-time public reporting for security-based swaps. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2010\/2010-230.htm: Press Release", "display": "hide", "date_unix_millis": 1290124800000 }, "136": { "section": "945", "section_list": [ "945" ], "type": "proposed", "date_obj": 1286928000000, "text": "Proposed rules regarding asset-backed securities' issuers' responsibilities to conduct and disclose a review of the assets: The Commission proposed rules requiring issuers to conduct a review of the assets underlying their asset-backed securities and make certain disclosures about those reviews. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2010\/2010-192.htm: Press Release", "display": null, "date_unix_millis": 1286928000000 }, "137": { "section": "1504", "section_list": [ "1504" ], "type": "proposed", "date_obj": 1292371200000, "text": "Proposed Rules Regarding Disclosure by Resource Extraction Issuers: The Commission voted to propose rules to require resource extraction issuers to disclose payments made to the U.S. or foreign governments. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2010\/2010-247.htm: Press Release", "display": null, "date_unix_millis": 1292371200000 }, "138": { "section": "1503", "section_list": [ "1503" ], "type": "proposed", "date_obj": 1292371200000, "text": "Proposed Rules Regarding Disclosure of Mine Safety Information: The Commission voted to propose rules outlining the way in which mining companies must disclose to investors certain information about mine safety and health standards. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2010\/2010-246.htm: Press Release", "display": null, "date_unix_millis": 1292371200000 }, "139": { "section": "1502", "section_list": [ "1502" ], "type": "proposed", "date_obj": 1292371200000, "text": "Proposed Rules Regarding Disclosure Related to \"Conflict Minerals\": The Commission voted to propose rules which would require new disclosures by reporting issuers concerning conflict minerals that originated in the Democratic Republic of the Congo or an adjoining country. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2010\/2010-245.htm: Press Release", "display": null, "date_unix_millis": 1292371200000 }, "140": { "section": "402, 407, 408", "section_list": [ "402", "407", "408" ], "type": "proposed", "date_obj": 1290124800000, "text": "Proposed rules regarding exemptions for advisers to venture capital funds and private fund advisers with less than $150 million in assets under management. The proposed rules would also define \"venture capital fund.\" ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2010\/ia-3111.pdf: Proposed Rule", "display": null, "date_unix_millis": 1290124800000 }, "141": { "section": "763", "section_list": [ "763" ], "type": "proposed", "date_obj": 1292371200000, "text": "Proposed Rules Regarding Mandatory Clearing of Security-based Swaps: The Commission voted to propose rules that would set out the way in which clearing agencies provide information to the SEC about security-based swaps that the clearing agencies plan to accept for clearing. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2010\/2010-243.htm: Press Release", "display": "hide", "date_unix_millis": 1292371200000 }, "142": { "section": "942(a)", "section_list": [ "942" ], "type": "proposed", "date_obj": 1294272000000, "text": "Proposed rules regarding suspension of reporting obligations for certain classes of asset-backed securities. The proposed rules would permit suspension of the reporting obligations when there are no longer asset-backed securities of the class sold in a registered transaction held by non-affiliates of the depositor. ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2011\/34-63652.pdf: Proposed Rule", "display": null, "date_unix_millis": 1294272000000 }, "143": { "section": "763", "section_list": [ "763" ], "type": "proposed", "date_obj": 1292371200000, "text": "Proposed Rules Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: The Commission voted to propose requirements of end-users when they engage in a security-based swap transaction that is not subject to mandatory clearing. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2010\/2010-244.htm: Press Release", "display": null, "date_unix_millis": 1292371200000 }, "144": { "section": "943", "section_list": [ "943" ], "type": "proposed", "date_obj": 1286150400000, "text": "Proposed rules regarding the use of representations and warranties in the asset-backed securities market: The Commission proposed rules that would provide investors and the market with information regarding the use of representations and warranties in the asset-backed securities market. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2010\/2010-182.htm: Press Release", "display": null, "date_unix_millis": 1286150400000 }, "145": { "section": "407, 408, 410", "section_list": [ "407", "408", "410" ], "type": "proposed", "date_obj": 1290124800000, "text": "Proposed Rules to Improve Oversight of Investment Advisers: The Commission proposed rules implementing the exemptions from registration for advisers to venture capital firms and for certain advisers to private funds and also proposed rules and changes to forms to implement the transition of mid-sized investment advisers (between $25 and $100 million in assets under management) from SEC to State regulation, as provided in the Act. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2010\/2010-228.htm: Press Release", "display": null, "date_unix_millis": 1290124800000 }, "146": { "section": "765", "section_list": [ "765" ], "type": "proposed", "date_obj": 1286928000000, "text": "Proposed Rules to Mitigate Conflicts of Interest Involving Security-Based Swaps: The Commission proposed rules intended to mitigate conflicts of interest for security-based swap clearing agencies, security-based swap execution facilities, and national securities exchanges that post security-based swaps or make them available for trading. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2010\/2010-190.htm: Press Release", "display": null, "date_unix_millis": 1286928000000 }, "147": { "section": "763", "section_list": [ "763" ], "type": "proposed", "date_obj": 1290124800000, "text": "Proposed Rules to Outline Obligations of Security-Based Swap Repositories: The Commission proposed rules regarding the registration and regulation of security-based swap data repositories. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2010\/2010-229.htm: Press Release", "display": "hide", "date_unix_millis": 1290124800000 }, "148": { "section": "922", "section_list": [ "922" ], "type": "proposed", "date_obj": 1288742400000, "text": "Proposed Whistleblower Incentives and Protection Program: The Commission proposed rules to reward individuals who provide the agency with high-quality tips that lead to successful enforcement actions. ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2010\/34-63237.pdf: Proposed Rule", "display": null, "date_unix_millis": 1288742400000 }, "149": { "section": "764", "section_list": [ "764" ], "type": "final", "date_obj": 1545134400000, "text": "Adopted rules to create a process for security-based swap dealers and major security-based swap participants to apply for for statutorily disqualified associated persons to effect or be involved in effecting security-based swaps. ", "links_dict": "https:\/\/www.sec.gov\/rules\/final\/2018\/34-84858.pdf: Final Rule", "display": null, "date_unix_millis": 1545134400000 }, "150": { "section": "417", "section_list": [ "417" ], "type": "report", "date_obj": 1401926400000, "text": "Submitted a report to Congress on the cost and benefits of real time reporting on short sale positions. ", "links_dict": "http:\/\/www.sec.gov\/dera\/reportspubs\/special-studies\/short-sale-position-and-transaction-reporting.pdf: Report", "display": null, "date_unix_millis": 1401926400000 }, "151": { "section": "932", "section_list": [ "932" ], "type": "report", "date_obj": 1317340800000, "text": "Published an annual report summarizing NRSRO inspections, findings, and responses. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2011\/2011-199.htm: Press Release", "display": null, "date_unix_millis": 1317340800000 }, "152": { "section": "719", "section_list": [ "719" ], "type": "report", "date_obj": 1302220800000, "text": "Reported to Congress, jointly with the CFTC, on a study regarding the feasibility of requiring the derivatives industry to adopt standardized computer-readable algorithmic descriptions: The study concluded that such descriptions are feasible and identified three challenges that would have to be addressed before mandating their use. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2011\/2011-89.htm: Press Release", "display": null, "date_unix_millis": 1302220800000 }, "153": { "section": "917", "section_list": [ "917" ], "type": "report", "date_obj": 1346284800000, "text": "Provided to Congress a study regarding financial literacy among retail investors. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2012\/2012-172.htm: Press Release", "display": null, "date_unix_millis": 1346284800000 }, "154": { "section": "913", "section_list": [ "913" ], "type": "report", "date_obj": 1295568000000, "text": "Issued Report to Congress regarding the study of the obligations of brokers, dealers and investment advisers. ", "links_dict": "http:\/\/www.sec.gov\/news\/press\/2013\/2013-32.htm: Press Release, http:\/\/www.sec.gov\/news\/studies\/2011\/913studyfinal.pdf: Report", "display": null, "date_unix_millis": 1295568000000 }, "155": { "section": "914", "section_list": [ "914" ], "type": "report", "date_obj": 1294963200000, "text": "Issued Report to Congress regarding the need for enhanced resources for investment adviser examinations and enforcement. ", "links_dict": "http:\/\/www.sec.gov\/news\/studies\/2011\/914studyfinal.pdf: Report", "display": null, "date_unix_millis": 1294963200000 }, "156": { "section": "919B", "section_list": [ "919B" ], "type": "report", "date_obj": 1296000000000, "text": "Completed study of ways to improve investor access to information about investment advisers and broker-dealers. ", "links_dict": "http:\/\/www.sec.gov\/news\/studies\/2011\/919bstudy.pdf: Study", "display": null, "date_unix_millis": 1296000000000 }, "157": { "section": "967", "section_list": [ "967" ], "type": "report", "date_obj": 1299715200000, "text": "Reported to Congress on organizational issues. The report prepared by independent consultants studied and made recommendations regarding SEC organization and operations. ", "links_dict": "http:\/\/www.sec.gov\/news\/studies\/2011\/967study.pdf: Report", "display": null, "date_unix_millis": 1299715200000 }, "158": { "section": "967", "section_list": [ "967" ], "type": "report", "date_obj": 1315785600000, "text": "Issued report to Congress describing actions to implement an independent consultant's recommendations. The consultant had been hired to make regulatory and administrative recommendations on the SEC's organization. ", "links_dict": "http:\/\/www.sec.gov\/news\/studies\/2011\/secorgreformreport-df967.pdf: Report", "display": null, "date_unix_millis": 1315785600000 }, "159": { "section": "939(h)", "section_list": [ "939" ], "type": "report", "date_obj": 1346976000000, "text": "Report to Congress on standardization within certain elements of the credit rating process. ", "links_dict": "http:\/\/www.sec.gov\/news\/studies\/2012\/939h_credit_rating_standardization.pdf: Report", "display": null, "date_unix_millis": 1346976000000 }, "160": { "section": "939F", "section_list": [ "939F" ], "type": "report", "date_obj": 1355788800000, "text": "Provided to Congress a study on the rating process for structured finance products and the feasibility of an assignment system. ", "links_dict": "http:\/\/www.sec.gov\/news\/studies\/2012\/assigned-credit-ratings-study.pdf: Study", "display": null, "date_unix_millis": 1355788800000 }, "161": { "section": "932", "section_list": [ "932" ], "type": "report", "date_obj": 1352937600000, "text": "Published second annual report summarizing NRSRO inspections, findings, and responses. ", "links_dict": "http:\/\/www.sec.gov\/news\/studies\/2012\/nrsro-summary-report-2012.pdf: Report", "display": null, "date_unix_millis": 1352937600000 }, "162": { "section": "342", "section_list": [ "342" ], "type": "report", "date_obj": 1334016000000, "text": "Submitted a report to Congress on the activities of the Office of Minority and Women Inclusion. ", "links_dict": "http:\/\/www.sec.gov\/news\/studies\/2012\/omwi-annualreport.pdf: Report", "display": null, "date_unix_millis": 1334016000000 }, "163": { "section": "342", "section_list": [ "342" ], "type": "report", "date_obj": 1334016000000, "text": "Submitted a report to Congress on the activities of the Office of Minority and Women Inclusion. ", "links_dict": "http:\/\/www.sec.gov\/news\/studies\/2012\/omwi-annualreport.pdf: Report", "display": null, "date_unix_millis": 1334016000000 }, "164": { "section": "967", "section_list": [ "967" ], "type": "report", "date_obj": 1350432000000, "text": "Issued third report to Congress describing actions to implement an independent consultant's recommendations. The consultant had been hired to make recommendations on the SEC's organization and operations. ", "links_dict": "http:\/\/www.sec.gov\/news\/studies\/2012\/sec-organizational-reform-recommendations-101712.pdf: Report", "display": null, "date_unix_millis": 1350432000000 }, "165": { "section": "967", "section_list": [ "967" ], "type": "report", "date_obj": 1333065600000, "text": "Issued second report to Congress describing actions to implement an independent consultant's recommendations. The consultant had been hired to make recommendations on the SEC's organization and operations. ", "links_dict": "http:\/\/www.sec.gov\/news\/studies\/2012\/secorgreformreport-2012-df967.pdf: Report", "display": null, "date_unix_millis": 1333065600000 }, "166": { "section": "939C", "section_list": [ "939C" ], "type": "report", "date_obj": 1384992000000, "text": "Issued report to Congress on credit rating agency independence. ", "links_dict": "http:\/\/www.sec.gov\/news\/studies\/2013\/credit-rating-agency-independence-study-2013.pdf: Report", "display": null, "date_unix_millis": 1384992000000 }, "167": { "section": "404", "section_list": [ "404" ], "type": "report", "date_obj": 1374710400000, "text": "Issued annual report to Congress on use of data collected from advisers to hedge funds and other private funds to aid in monitoring system financial risk. ", "links_dict": "http:\/\/www.sec.gov\/news\/studies\/2013\/im-annualreport-072513.pdf: Report", "display": null, "date_unix_millis": 1374710400000 }, "168": { "section": "932", "section_list": [ "932" ], "type": "report", "date_obj": 1387843200000, "text": "Published third annual report summarizing NRSRO inspections, findings, and responses. ", "links_dict": "http:\/\/www.sec.gov\/news\/studies\/2013\/nrsro-summary-report-2013.pdf: Report", "display": null, "date_unix_millis": 1387843200000 }, "169": { "section": "342", "section_list": [ "342" ], "type": "report", "date_obj": 1366761600000, "text": "Submitted a report to Congress on the activities of the Office of Minority and Women Inclusion. ", "links_dict": "http:\/\/www.sec.gov\/news\/studies\/2013\/omwi-annualreport-2013.pdf: Report", "display": null, "date_unix_millis": 1366761600000 }, "170": { "section": "915, 919D", "section_list": [ "915", "919D" ], "type": "report", "date_obj": 1309392000000, "text": "Provided letter in lieu of report to Congress on Office objectives, and report by Ombudsman. ", "links_dict": "http:\/\/www.sec.gov\/spotlight\/dodd-frank\/investoradvocateletter063011.pdf: Letter to Congress", "display": "hide", "date_unix_millis": 1309392000000 }, "171": { "section": "813", "section_list": [ "813" ], "type": "report", "date_obj": 1311206400000, "text": "Reported to Congress, jointly with the CFTC and the Federal Reserve Board, on improving the common framework for designated clearing entity risk management. ", "links_dict": "http:\/\/www.sec.gov\/news\/studies\/2011\/813study.pdf: Report", "display": null, "date_unix_millis": 1311206400000 }, "172": { "section": "939A", "section_list": [ "939A" ], "type": "report", "date_obj": 1311206400000, "text": "Reported to Congress a review of existing references to credit ratings in statutes and regulations. ", "links_dict": "http:\/\/www.sec.gov\/news\/studies\/2011\/939astudy.pdf: Report", "display": null, "date_unix_millis": 1311206400000 }, "173": { "section": "719(c)", "section_list": [ "719" ], "type": "report", "date_obj": 1328054400000, "text": "Delivered to Congress jointly with CFTC a report on how swaps are regulated in the United States, Asia, and Europe to identify areas of regulation that are similar and other areas of regulation that could be harmonized. ", "links_dict": "http:\/\/www.sec.gov\/news\/studies\/2012\/sec-cftc-intlswapreg.pdf: Report", "display": null, "date_unix_millis": 1328054400000 }, "174": { "section": "929Y", "section_list": [ "929Y" ], "type": "report", "date_obj": 1334102400000, "text": "Delivered to Congress the Commission's Study on the Cross-Border Scope of the Private Right of Action Under Section 10(b) of the Securities Exchange Act of 1934. ", "links_dict": "http:\/\/www.sec.gov\/news\/studies\/2012\/929y-study-data.htm: Study Data, http:\/\/www.sec.gov\/news\/studies\/2012\/929y-study-cross-border-private-rights.pdf: Study", "display": null, "date_unix_millis": 1334102400000 }, "175": { "section": "989G", "section_list": [ "989G" ], "type": "report", "date_obj": 1303430400000, "text": "Issued a report to Congress regarding reducing the costs to smaller issuers (with market capitalization between $75 million and $ 250 million) for complying with 404(b) of the Sarbanes-Oxley Act of 2002, while maintaining investor protections. ", "links_dict": "http:\/\/www.sec.gov\/news\/studies\/2011\/404bfloat-study.pdf: Report", "display": null, "date_unix_millis": 1303430400000 }, "176": { "section": "922, 924", "section_list": [ "922", "924" ], "type": "report", "date_obj": 1288310400000, "text": "Issued Report on Whistleblower Program: SEC staff issued a report to Congress related to the Securities Whistleblower Incentives and Protection program. ", "links_dict": "http:\/\/www.sec.gov\/news\/studies\/2010\/whistleblower_report_to_congress.pdf: Report", "display": null, "date_unix_millis": 1288310400000 }, "177": { "section": "961", "section_list": [ "961" ], "type": "report", "date_obj": 1324425600000, "text": "Sent report and certification to Congress on internal supervisory controls: The report covers the effectiveness of internal supervisory controls relating to examinations of registered entities, enforcement investigations, and review of corporate filings. ", "links_dict": "http:\/\/www.sec.gov\/about\/internalcontrols961.pdf: Report and Certification", "display": null, "date_unix_millis": 1324425600000 }, "178": { "section": "750(e)", "section_list": [ "750" ], "type": "report", "date_obj": 1295308800000, "text": "Issued report to Congress by an interagency working group, including the SEC Chairman, on the oversight of existing and prospective carbon markets. ", "links_dict": "http:\/\/www.cftc.gov\/ucm\/groups\/public\/@swaps\/documents\/file\/dfstudy_carbon_011811.pdf: Report", "display": null, "date_unix_millis": 1295308800000 }, "179": { "section": "915", "section_list": [ "915" ], "type": "report", "date_obj": 1435622400000, "text": "Issued report to Congress on objectives of the Investor Advocate. ", "links_dict": "http:\/\/www.sec.gov\/advocate\/reportspubs\/annual-reports\/sec-office-investor-advocate-report-on-objectives-fy2016.pdf: Report", "display": null, "date_unix_millis": 1435622400000 }, "180": { "section": "915", "section_list": [ "915" ], "type": "report", "date_obj": 1419292800000, "text": "Issued report to Congress on activities of the Investor Advocate. ", "links_dict": "http:\/\/www.sec.gov\/advocate\/reportspubs\/sec-investor-advocate-report-on-activities-2014.pdf: Report", "display": null, "date_unix_millis": 1419292800000 }, "181": { "section": "922, 924", "section_list": [ "922", "924" ], "type": "report", "date_obj": 1416182400000, "text": "Issued report to Congress on the securities whistleblower incentive and protection program. ", "links_dict": "http:\/\/www.sec.gov\/about\/offices\/owb\/annual-report-2014.pdf: Report", "display": null, "date_unix_millis": 1416182400000 }, "182": { "section": "932", "section_list": [ "932" ], "type": "report", "date_obj": 1419292800000, "text": "2014 Summary Report of Commission Staff's Examinations of Each Nationally Recognized Statistical Rating Organization ", "links_dict": "http:\/\/www.sec.gov\/ocr\/reportspubs\/special-studies\/nrsro-summary-report-2014.pdf: Report", "display": null, "date_unix_millis": 1419292800000 }, "183": { "section": "932(a)(4)", "section_list": [ "932" ], "type": "reporting_process", "date_obj": 1305504000000, "text": "Implemented Employment Transition Report System for NRSROs to electronically submit and for the Commission to make publicly available on the Commission's website certain employment transition reports. ", "links_dict": "http:\/\/www.sec.gov\/divisions\/marketreg\/nrsro_etr.htm: Employment Transition Report", "display": null, "date_unix_millis": 1305504000000 }, "184": { "section": "939A", "section_list": [ "939A" ], "type": "final", "date_obj": 1442361600000, "text": "Adopted rules to remove credit rating references in the principal rule that governs money market funds and the form that money market funds use to report information to the Commission each month about their portfolio holdings. ", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2015\/ic-31828.pdf: Final Rule", "display": null, "date_unix_millis": 1442361600000 }, "185": { "section": "413", "section_list": [ "413" ], "type": "report", "date_obj": 1450396800000, "text": "Issued Report on the Review of the Definitions of \"Accredited Investor.\" ", "links_dict": "http:\/\/www.sec.gov\/corpfin\/reportspubs\/special-studies\/review-definition-of-accredited-investor-12-18-2015.pdf: Report, http:\/\/go.usa.gov\/ck8Z7: Submit Public Comment", "display": null, "date_unix_millis": 1450396800000 }, "186": { "section": "205", "section_list": [ "205" ], "type": "final", "date_obj": 1595592000000, "text": "Adopted Rule on Covered Broker-Dealer Provisions.", "links_dict": "https:\/\/www.sec.gov\/rules\/final\/2020\/34-89394.pdf: Final Rule", "display": null, "date_unix_millis": 1595592000000 }, "187": { "section": "764", "section_list": [ "764" ], "type": "final", "date_obj": 1460592000000, "text": "Adopted rules establishing external business conduct standards for security-based swap dealers and major security-based swap participants.", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2016\/34-77617.pdf: Final Rule", "display": null, "date_unix_millis": 1460592000000 }, "188": { "section": "956", "section_list": [ "956" ], "type": "proposed", "date_obj": 1462492800000, "text": "Proposed rules (jointly with other regulators) regarding disclosure of, and prohibitions of, certain executive compensation structures and arrangements at certain financial institutions. ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2016\/34-77776.pdf: Proposed Rule", "display": null, "date_unix_millis": 1462492800000 }, "189": { "section": "1504", "section_list": [ "1504" ], "type": "proposed", "date_obj": 1449792000000, "text": "Proposed Rules Regarding Disclosure by Resource Extraction Issuers: The Commission voted to propose rules to require resource extraction issuers to disclose payments made to the U.S. or foreign governments. ", "links_dict": "http:\/\/www.sec.gov\/rules\/proposed\/2015\/34-76620.pdf: Proposed Rule", "display": null, "date_unix_millis": 1449792000000 }, "190": { "section": "764", "section_list": [ "764" ], "type": "final", "date_obj": 1465344000000, "text": "Adopted rules for trade acknowledgment and verification of security-based swap transactions.", "links_dict": "http:\/\/www.sec.gov\/rules\/final\/2016\/34-78011.pdf: Final Rule", "display": null, "date_unix_millis": 1465344000000 }, "191": { "section": "1504", "section_list": [ "1504" ], "type": "final", "date_obj": 1467000000000, "text": "Adopted rules regarding disclosure by resource extraction issuers: The rules require disclosure of payments to U.S. and non-U.S. governments related to commercial development of oil, gas, or mineral resources. ", "links_dict": "https:\/\/www.sec.gov\/rules\/final\/2016\/34-78167.pdf: Final Rule", "display": null, "date_unix_millis": 1467000000000 }, "192": { "section": "955", "section_list": [ "955" ], "type": "final", "date_obj": 1545307200000, "text": "Adopted rules regarding disclosure of hedging by employees, officers and directors. ", "links_dict": "https:\/\/www.sec.gov\/rules\/final\/2018\/33-10593.pdf: Final Rule", "display": null, "date_unix_millis": 1545307200000 }, "193": { "section": "984", "section_list": [ "984" ], "type": "final", "date_obj": 1476360000000, "text": "Adopted rules to modernize information reported by funds, require liquidity risk management programs, and permit swing pricing. ", "links_dict": "https:\/\/www.sec.gov\/news\/pressrelease\/2016-215.html: Press Release", "display": null, "date_unix_millis": 1476360000000 }, "194": { "section": "932", "section_list": [ "932" ], "type": "report", "date_obj": 1579867200000, "text": "2019 Summary Report of Commission Staff's Examinations of Each Nationally Recognized Statistical Rating Organization ", "links_dict": "https:\/\/www.sec.gov\/files\/nrsro-summary-report-2019.pdf: Report ", "display": null, "date_unix_millis": 1579867200000 }, "195": { "section": "932", "section_list": [ "932" ], "type": "report", "date_obj": 1545134400000, "text": "2018 Summary Report of Commission Staff's Examinations of Each Nationally Recognized Statistical Rating Organization ", "links_dict": "https:\/\/www.sec.gov\/files\/nrsro-summary-report-2018_0.pdf: Report ", "display": null, "date_unix_millis": 1545134400000 }, "196": { "section": "932", "section_list": [ "932" ], "type": "report", "date_obj": 1514548800000, "text": "2017 Summary Report of Commission Staff's Examinations of Each Nationally Recognized Statistical Rating Organization ", "links_dict": "https:\/\/www.sec.gov\/ocr\/reports-and-publications\/special-studies\/nrsro-summary-report-2017.pdf: Report ", "display": null, "date_unix_millis": 1514548800000 }, "197": { "section": "932", "section_list": [ "932" ], "type": "report", "date_obj": 1451278800000, "text": "2015 Summary Report of Commission Staff's Examinations of Each Nationally Recognized Statistical Rating Organization ", "links_dict": "https:\/\/www.sec.gov\/ocr\/reportspubs\/special-studies\/nrsro-summary-report-2015.pdf: Report", "display": null, "date_unix_millis": 1451278800000 }, "198": { "section": "932", "section_list": [ "932" ], "type": "report", "date_obj": 1482296400000, "text": "2016 Summary Report of Commission Staff's Examinations of Each Nationally Recognized Statistical Rating Organization ", "links_dict": "https:\/\/www.sec.gov\/ocr\/reportspubs\/special-studies\/nrsro-summary-report-2016.pdf: Report", "display": null, "date_unix_millis": 1482296400000 }, "199": { "section": "932", "section_list": [ "932" ], "type": "report", "date_obj": 1608292800000, "text": "2020 Summary Report of Commission Staff's Examinations of Each Nationally Recognized Statistical Rating Organization ", "links_dict": "https:\/\/www.sec.gov\/files\/nrsro-summary-report-2020.pdf: Report ", "display": null, "date_unix_millis": 1608292800000 }, "200": { "section": "1504", "section_list": [ "1504" ], "type": "final", "date_obj": 1608138000000, "text": "Adopted rules requiring resource extraction issuers that are required to file reports under Section 13 or 15(d) of the Securities Exchange Act of 1934 to disclose payments made to the U.S. federal government or foreign governments for the commercial development of oil, natural gas, or minerals. ", "links_dict": "https:\/\/www.sec.gov\/news/press-release\/2020-318: Press Release, https:\/\/www.sec.gov\/rules\/final\/2020\/34-90679.pdf: Final Rule", "display": null, "date_unix_millis": 1608138000000 }, "201": { "section": "619", "section_list": [ "619" ], "type": "final", "date_obj": 1562688000000, "text": "Adopted, jointly with other regulators, revisions to simplify compliance requirements relating to the Volcker rule. ", "links_dict": "https:\/\/www.sec.gov\/news\/press-release\/2019-207: Press Release, https:\/\/www.sec.gov\/rules\/final\/2019\/bhca-6.pdf: Final Rule", "display": null, "date_unix_millis": 1562688000000 }, "202": { "section": "619", "section_list": [ "619" ], "type": "final", "date_obj": 1570550400000, "text": "Adopted, jointly with other regulators, a final rule to exclude community banks from the Volcker Rule, consistent with the Economic Growth, Regulatory Relief, and Consumer Protection Act. ", "links_dict": "https:\/\/www.sec.gov\/news\/press-release\/2019-124: Press Release, https:\/\/www.sec.gov\/rules\/final\/2019\/bhca-7.pdf: Final Rule", "display": null, "date_unix_millis": 1570550400000 }, "203": { "section": "619", "section_list": [ "619" ], "type": "final", "date_obj": 1593100800000, "text": "Adopted, jointly with other regulators, a rule modifying the Volcker rule’s prohibition on banking entities investing in or sponsoring hedge funds or private equity funds—known as covered funds. ", "links_dict": "https:\/\/www.sec.gov\/news\/press-release\/2020-143: Press Release, https:\/\/www.sec.gov\/rules\/final\/2020\/bhca-9.pdf: Final Rule", "display": null, "date_unix_millis": 1593100800000 } }