{ "0": { "category": "Private Funds", "status": "Adopted", "section": "404", "description": "Records to be maintained and reports to be provided by private funds", "footnote": null, "modal_footnote": null, "section_id": "private_funds_1", "section_num": "404", "section_key": 40400 }, "1": { "category": "Private Funds", "status": "Adopted", "section": "406", "description": "Disclosure rules on private funds", "footnote": null, "modal_footnote": null, "section_id": "private_funds_2", "section_num": "406", "section_key": 40600 }, "2": { "category": "Private Funds", "status": "Adopted", "section": "407", "description": "Exemption of venture capital fund advisers, definition of \u201cventure capital fund\u201d", "footnote": null, "modal_footnote": null, "section_id": "private_funds_3", "section_num": "407", "section_key": 40700 }, "3": { "category": "Private Funds", "status": "Adopted", "section": "408", "description": "Exemption from registration by certain private fund advisers\/requirement of records for such advisers", "footnote": null, "modal_footnote": null, "section_id": "private_funds_4", "section_num": "408", "section_key": 40800 }, "4": { "category": "Private Funds", "status": "Adopted", "section": "409", "description": "Family office", "footnote": null, "modal_footnote": null, "section_id": "private_funds_5", "section_num": "409", "section_key": 40900 }, "5": { "category": "Private Funds", "status": "Adopted", "section": "410", "description": "State and federal responsibilities\/ asset threshold for registration of federal advisers", "footnote": null, "modal_footnote": null, "section_id": "private_funds_6", "section_num": "410", "section_key": 41000 }, "6": { "category": "Private Funds", "status": "Adopted", "section": "413", "description": "Adjustment of the accredited investor standard", "footnote": null, "modal_footnote": null, "section_id": "private_funds_7", "section_num": "413", "section_key": 41300 }, "7": { "category": "Private 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"Security-Based Swaps", "status": "Adopted", "section": "761(a)(6)", "description": "Rules to facilitate identification of major security-based swap participants", "footnote": null, "modal_footnote": null, "section_id": "security_based_swaps_5", "section_num": "761", "section_key": 76100 }, "14": { "category": "Security-Based Swaps", "status": "Adopted", "section": "761(a)(6)", "description": "Exemption from the definition of security-based swap dealer for de minimis activity", "footnote": null, "modal_footnote": null, "section_id": "security_based_swaps_6", "section_num": "761", "section_key": 76100 }, "15": { "category": "Security-Based Swaps", "status": "Adopted", "section": "763(a)", "description": "Rules providing process for clearing agencies to request to clear security-based swaps", "footnote": null, "modal_footnote": null, "section_id": "security_based_swaps_7", "section_num": "763", "section_key": 76300 }, "16": { "category": "Security-Based Swaps", "status": "Adopted", 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"section_id": "security_based_swaps_17", "section_num": "763", "section_key": 76300 }, "26": { "category": "Security-Based Swaps", "status": "Adopted", "section": "763(i)", "description": "Duties of security-based swap data repositories", "footnote": null, "modal_footnote": null, "section_id": "security_based_swaps_18", "section_num": "763", "section_key": 76300 }, "27": { "category": "Security-Based Swaps", "status": "Adopted", "section": "763(i)", "description": "Rules governing registered security-based swap data repositories", "footnote": null, "modal_footnote": null, "section_id": "security_based_swaps_19", "section_num": "763", "section_key": 76300 }, "28": { "category": "Security-Based Swaps", "status": "Adopted", "section": "764", "description": "Rules regarding the registration of security-based swap dealers or major security-based swap participants", "footnote": null, "modal_footnote": null, "section_id": "security_based_swaps_20", "section_num": "764", "section_key": 76400 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}, "32": { "category": "Security-Based Swaps", "status": "Adopted", "section": "764(a)", "description": "Business conduct standards applicable to security-based swap dealers and security-based swap major participants", "footnote": null, "modal_footnote": null, "section_id": "security_based_swaps_24", "section_num": "764", "section_key": 76400 }, "33": { "category": "Security-Based Swaps", "status": "Adopted", "section": "764(a)", "description": "Rules relating to documentation of security-based swap transactions", "footnote": null, "modal_footnote": null, "section_id": "security_based_swaps_25", "section_num": "764", "section_key": 76400 }, "34": { "category": "Security-Based Swaps", "status": "Adopted", "section": "764(a)", "description": "Duties of security-based swap dealers and major security-based swap participants related to monitoring of trading, risk management procedures, disclosure of general information, ability to obtain information, conflicts, and antitrust 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"Executive Compensation", "status": "Adopted", "section": "952 (Exchange Act 10C(c)(2))", "description": "Compensation committee independence\u2014Commission to issues rules relating to proxy disclosure regarding compensation consultants", "footnote": null, "modal_footnote": null, "section_id": "executive_compensation_4", "section_num": "952", "section_key": 95200 }, "45": { "category": "Executive Compensation", "status": "Adopted", "section": "952 (Exchange Act 10C(f))", "description": "Compensation committee independence\u2014Commission to direct SROs to prohibit listing of securities of an issuer that is not in compliance with the requirements of the section", "footnote": null, "modal_footnote": null, "section_id": "executive_compensation_5", "section_num": "952", "section_key": 95200 }, "46": { "category": "Executive Compensation", "status": "Adopted", "section": "972", "description": "Chairman\/CEO structure disclosure in annual proxy", "footnote": null, "modal_footnote": null, "section_id": "executive_compensation_6", "section_num": "972", "section_key": 97200 }, "47": { "category": "Executive Compensation", "status": "Adopted", "section": "953(b)", "description": "Additional executive compensation disclosure (pay ratio)", "footnote": null, "modal_footnote": null, "section_id": "executive_compensation_7", "section_num": "953", "section_key": 95300 }, "48": { "category": "Executive Compensation", "status": "Proposed", "section": "956(a)", "description": "Compensation structure reporting (joint rulemaking)", "footnote": null, "modal_footnote": null, "section_id": "executive_compensation_8", "section_num": "956", "section_key": 95600 }, "49": { "category": "Executive Compensation", "status": "Proposed", "section": "956(b)", "description": "Prohibition on certain compensation arrangements (joint rulemaking)", "footnote": null, "modal_footnote": null, "section_id": "executive_compensation_9", "section_num": "956", "section_key": 95600 }, "50": { "category": "Executive Compensation", "status": "Proposed", "section": "953(a)", "description": "Pay v. performance disclosure", "footnote": null, "modal_footnote": null, "section_id": "executive_compensation_10", "section_num": "953", "section_key": 95300 }, "51": { "category": "Executive Compensation", "status": "Proposed", "section": "954", "description": "Recovery of executive compensation", "footnote": null, "modal_footnote": null, "section_id": "executive_compensation_11", "section_num": "954", "section_key": 95400 }, "52": { "category": "Executive Compensation", "status": "Adopted", "section": "955", "description": "Disclosure regarding employee and director hedging", "footnote": null, "modal_footnote": null, "section_id": "executive_compensation_12", "section_num": "955", "section_key": 95500 }, "53": { "category": "Asset-backed Securities", "status": "Adopted", "section": "942(b)", "description": "ABS disclosure", "footnote": null, "modal_footnote": null, "section_id": "asset_backed_securities_1", "section_num": "942", "section_key": 94200 }, "54": { "category": "Asset-backed Securities", "status": "Adopted", "section": "943", "description": "ABS reps and warranties", "footnote": null, "modal_footnote": null, "section_id": "asset_backed_securities_2", "section_num": "943", "section_key": 94300 }, "55": { "category": "Asset-backed Securities", "status": "Adopted", "section": "945", "description": "ABS due diligence disclosure", "footnote": null, "modal_footnote": null, "section_id": "asset_backed_securities_3", "section_num": "945", "section_key": 94500 }, "56": { "category": "Asset-backed Securities", "status": "Proposed", "section": "621", "description": "Conflicts of interest regarding certain securitizations", "footnote": null, "modal_footnote": null, "section_id": "asset_backed_securities_4", "section_num": "621", "section_key": 62100 }, "57": { "category": "Asset-backed Securities", "status": "Adopted", "section": "941(b)", "description": "Credit risk retention (general) (joint rulemaking)", "footnote": null, "modal_footnote": null, "section_id": "asset_backed_securities_5", "section_num": "941", "section_key": 94100 }, "58": { "category": "Asset-backed Securities", "status": "Adopted", "section": "941(b)", "description": "Credit risk retention (residential mortgages) (joint rulemaking)", "footnote": null, "modal_footnote": null, "section_id": "asset_backed_securities_6", "section_num": "941", "section_key": 94100 }, "59": { "category": "Asset-backed Securities", "status": "Adopted", "section": "941(b)", "description": "Credit risk retention exemptions (joint rulemaking)", "footnote": null, "modal_footnote": null, "section_id": "asset_backed_securities_7", "section_num": "941", "section_key": 94100 }, "60": { "category": "Credit Rating Agencies", "status": "Adopted", "section": "932(a)(2)(B)", "description": "Internal controls governing the implementation of and adherence to policies, procedures and methodologies for determining credit ratings", "footnote": null, "modal_footnote": null, "section_id": "credit_rating_agencies_1", "section_num": "932", "section_key": 93200 }, "61": { "category": "Credit Rating Agencies", "status": "Adopted", "section": "932(a)(4)", "description": "Separation of ratings from sales and marketing", "footnote": null, "modal_footnote": null, "section_id": "credit_rating_agencies_2", "section_num": "932", "section_key": 93200 }, "62": { "category": "Credit Rating Agencies", "status": "Adopted", "section": "932(a)(4)", "description": "Policies and procedures relating to look back reviews", "footnote": null, "modal_footnote": null, "section_id": "credit_rating_agencies_3", "section_num": "932", "section_key": 93200 }, "63": { "category": "Credit Rating Agencies", "status": "Adopted", "section": "932(a)(8)", "description": "Fines and penalties", "footnote": null, "modal_footnote": null, "section_id": "credit_rating_agencies_4", "section_num": "932", "section_key": 93200 }, "64": { "category": "Credit Rating Agencies", "status": "Adopted", "section": "932(a)(8)", "description": "Transparency of ratings performance", "footnote": null, "modal_footnote": null, "section_id": "credit_rating_agencies_5", "section_num": "932", "section_key": 93200 }, "65": { "category": "Credit Rating Agencies", "status": "Adopted", "section": "932(a)(8)", "description": "Credit rating methodologies", "footnote": null, "modal_footnote": null, "section_id": "credit_rating_agencies_6", "section_num": "932", "section_key": 93200 }, "66": { "category": "Credit Rating Agencies", "status": "Adopted", "section": "932(a)(8)", "description": " Form and certification to accompany credit ratings", "footnote": null, "modal_footnote": null, "section_id": "credit_rating_agencies_7", "section_num": "932", "section_key": 93200 }, "67": { "category": "Credit Rating Agencies", "status": "Adopted", "section": "932(a)(8)", "description": "Third-party due diligence services for asset-backed securities", "footnote": null, "modal_footnote": null, "section_id": "credit_rating_agencies_8", "section_num": "932", "section_key": 93200 }, "68": { "category": "Credit Rating Agencies", "status": "Adopted", "section": "936", "description": "Standards of training, experience, and competence for credit rating analysts", "footnote": null, "modal_footnote": null, "section_id": "credit_rating_agencies_9", "section_num": "936", "section_key": 93600 }, "69": { "category": "Credit Rating Agencies", "status": "Adopted", "section": "938", "description": "Universal ratings symbols", "footnote": null, "modal_footnote": null, "section_id": "credit_rating_agencies_10", "section_num": "938", "section_key": 93800 }, "70": { "category": "Credit Rating Agencies", "status": "Adopted in Part", "section": "939", "description": "Removal of statutory references to credit ratings", "footnote": "Section 939 removes references to NRSRO ratings in the Investment Company Act (section 939(c)) and the Exchange Act (section 939(e)) and substitutes standards of credit-worthiness to be established by the Commission. The SEC has adopted rules under section 939(c), but has not yet adopted rules under section 939(e) to establish substitute standards of credit-worthiness in the Exchange Act definitions of \u201cmortgage related security\u201d and \u201csmall business related security\u201d.", "modal_footnote": null, "section_id": "credit_rating_agencies_11", "section_num": "939", "section_key": 93900 }, "71": { "category": "Credit Rating Agencies", "status": "Adopted in Part", "section": "939A", "description": "Review of reliance on credit ratings", "footnote": "A small set of references to credit ratings in Commission statutes, rules, and forms remain to be addressed as directed by Sections 939 and 939A.", "modal_footnote": "show", "section_id": "credit_rating_agencies_12", "section_num": "939A", "section_key": 93901 }, "72": { "category": "Specialized Disclosures", "status": "Adopted", "section": "1502", "description": "Conflict minerals", "footnote": "The Commission adopted rules with respect to section 1502 on 8\/22\/12.\u00a0 The U.S. Court of Appeals for the District of Columbia Circuit upheld the majority of the provisions of the rule, but held that one provision violated the First Amendment on 4\/14\/14.\u00a0 Panel rehearing was granted on 11\/18\/14 to address questions posed by the Court, and consideration of petitions for rehearing en banc has been deferred pending the panel\u2019s decision on rehearing.", "modal_footnote": null, "section_id": "specialized_disclosures_1", "section_num": "1502", "section_key": 150200 }, "73": { "category": "Specialized Disclosures", "status": "Adopted", "section": "1504", "description": "Disclosure of payment by resource extraction issuers.

The Commission’s rule implementing Section 1504 was invalidated on February 14, 2017, by a joint resolution of disapproval enacted pursuant to the Congressional Review Act. The Commission adopted a new rule on December 16, 2020.

", "footnote": null, "modal_footnote": null, "section_id": "specialized_disclosures_2", "section_num": "1504", "section_key": 150400 }, "74": { "category": "Other", "status": "Adopted", "section": "916", "description": "Streamlining of filing procedures for self-regulatory organizations", "footnote": null, "modal_footnote": null, "section_id": "other_1", "section_num": "916", "section_key": 91600 }, "75": { "category": "Other", "status": "Adopted", "section": "924", "description": "Whistleblower provisions", "footnote": null, "modal_footnote": null, "section_id": "other_2", "section_num": "924", "section_key": 92400 }, "76": { "category": "Other", "status": "Adopted", "section": "929W", "description": "Notice to missing security holders", "footnote": null, "modal_footnote": null, "section_id": "other_3", "section_num": "929W", "section_key": 92923 }, "77": { "category": "Other", "status": "Adopted", "section": "939B", "description": "Elimination of exemption from fair disclosure rule", "footnote": null, "modal_footnote": null, "section_id": "other_4", "section_num": "939B", "section_key": 93902 }, "78": { "category": "Other", "status": "Adopted", "section": "989G", "description": "Exemption for nonaccelerated filers", "footnote": null, "modal_footnote": null, "section_id": "other_5", "section_num": "989G", "section_key": 98907 }, "79": { "category": "Other", "status": "Adopted", "section": "1088(a)(8)", "description": "Red flag guidelines and regulations (joint rules)", "footnote": null, "modal_footnote": null, "section_id": "other_6", "section_num": "1088", "section_key": 108800 }, "80": { "category": "Other", "status": "Adopted", "section": "926", "description": "Disqualifying felons and other \u201cbad actors\u201d from Reg. D offerings", "footnote": null, "modal_footnote": null, "section_id": "other_7", "section_num": "926", "section_key": 92600 }, "81": { "category": "Other", "status": "Remaining", "section": "165", "description": "Stress tests", "footnote": null, "modal_footnote": null, "section_id": "other_8", "section_num": "165", "section_key": 16500 }, "82": { "category": "Other", "status": "Adopted", "section": "205(h)", "description": "Orderly liquidation of covered brokers and dealers (joint rulemaking)", "footnote": null, "modal_footnote": null, "section_id": "other_9", "section_num": "205", "section_key": 20500 }, "83": { "category": "Other", "status": "Remaining", "section": "915", "description": "Regulations for Office of Investor Advocate", "footnote": null, "modal_footnote": null, "section_id": "other_10", "section_num": "915", "section_key": 91500 }, "84": { "category": "Other", "status": "Remaining", "section": "929X(a)", "description": "Short sale reforms", "footnote": null, "modal_footnote": null, "section_id": "other_11", "section_num": "929X", "section_key": 92924 }, "85": { "category": "Other", "status": "Adopted in Part", "section": "984", "description": "Increased transparency of information available to brokers, dealers, investors, with respect to loan or borrowing of securities", "footnote": null, "modal_footnote": null, "section_id": "other_12", "section_num": "984", "section_key": 98400 } }