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Public Comments on SEC Regulatory Initiatives Under the Dodd-Frank Act
The
Dodd-Frank Wall Street Reform and Consumer Protection Act
includes provisions that require the SEC to undertake various initiatives, including rulemaking and studies touching on many areas of financial regulation.
Members of the public interested in making their views known on these matters, even before official comment periods may be opened, are invited to submit those views via the email addresses below. While the Commission has responsibilities under other provisions of the Act, the list below covers major regulatory topics and other more immediate matters. The Commission may add additional email addresses in the future.
Members of the public who wish to submit official comments on particular rulemaking initiatives should submit comments during the official comment period that starts with the notice of the initiative published in the Federal Register.
The Commission will post all submissions on this page of the Commission's Internet Web site. All submissions received will be posted without change; we do not edit personal identifying information from submissions. You should only make submissions that you wish to make available publicly.
- Title II — Orderly Liquidation Authority
- Orderly Liquidation of Covered Broker-Dealers
Submit Comments:
| Email
Comments received
are available.
- Title III — Transfer of Powers to the Comptroller of the Currency, the Corporation, and the Board of Governors
- Office of Minority and Women Inclusion
Submit Comments:
| Email
Comments received
are available.
- Title IV — Regulation of Advisers to Hedge Funds and Others
- Systemic Risk Reporting
Submit Comments:
| Email
Comments received
are available.
- Exemptions for Certain Advisers
Submit Comments:
| Email
Comments received
are available.
- Family Offices Exclusion
Submit Comments:
| Email
Comments received
are available.
- New Threshold for Federal Registration
Submit Comments:
| Email
Comments received
are available.
- Accredited Investor Standard
Submit Comments:
| Email
Comments received
are available.
- Study of the State of Short Selling and Failures to Deliver
Submit Comments:
| Email
Comments received
are available.
- Title VI — Improvements to Regulation of Bank and Savings Associations Holding Companies and Depository Institutions
- Prohibitions on Proprietary Trading and Certain Relationships with Hedge Funds and Private Equity Funds
Submit Comments:
| Email
Comments received
are available
- Conflicts of Interest Relating to Certain Securitizations
Submit Comments:
| Email
Comments received
are available
- Title VII — Wall Street Transparency and Accountability
- Definitions (including "swap," "security-based swap," "security-based swap agreement," "mixed swap," "security-based swap dealer," and "major security-based swap participant")
Submit Comments:
| Email
Comments received
are available
- Security-Based Swap Dealers and Major Security-Based Swap Participants
Submit Comments:
| Email
Comments received
are available
- Mandatory Clearing of Security-Based Swaps, End-User Exception and Security-Based Swap Clearing Agencies
Submit Comments:
| Email
Comments received
are available
- Mandatory Exchange Trading and Swap Execution Facilities
Submit Comments:
| Email
Comments received
are available
- Governance and Conflict of Interest Controls for Clearing Agencies, Swap Execution Facilities and Exchanges
Submit Comments:
| Email
Comments received
are available
- Swap Data Repositories
Submit Comments:
| Email
Comments received
are available
- Real-Time Reporting
Submit Comments:
| Email
Comments received
are available
- Anti-Manipulation Protections
Submit Comments:
| Email
Comments received
are available
- Title VIII — Payment, Clearing, and Settlement Supervision
- Title IX — Investor Protection and Improvements to the Regulation of Securities
- Study — Fiduciary Duty
Submit Comments:
| Email
Comments received
are available
- Study — Enhancing Investment Adviser Examinations
Submit Comments:
| Email
Comments received
are available
- Study Required by Section 989G(b) of the Dodd-Frank Act Regarding Compliance with Section 404(b) of the Sarbanes-Oxley Act (see
Release No. 34-63108)
Submit Comments:
| Email
Comments received
are available
- Study — Financial Literacy Among Investors
Submit Comments:
| Email
Comments received
are available
- Office of the Investor Advocate
Submit Comments:
| Email
Comments received
are available
- Pre-Sale Disclosures to Customers
Submit Comments:
| Email
Comments received
are available
- Pre-Dispute Arbitration
Submit Comments:
| Email
Comments received
are available.
- Whistleblower Award Program
Submit Comments:
| Email
Comments received
are available.
- Adding Disqualification Requirements to Regulation D Offerings
Submit Comments:
| Email
Comments received
are available.
- Short Sale Disclosure
Submit Comments:
| Email
Comments received
are available.
- Municipal Securities and Municipal Advisors
Submit Comments:
| Email
Comments received
are available.
- Credit Rating Agencies Review and Rulemaking
Submit Comments:
| Email
Comments received
are available.
- Asset-Backed Securities
Submit Comments:
| Email
Comments received
are available
- Executive Compensation (shareholder voting, executive compensation disclosures, voting by brokers, incentive-based compensation, and other compensation related matters)
Submit Comments:
| Email
Comments received
are available
- Loan or Borrowing of Securities/Securities Lending Activities
Submit Comments:
| Email
Comments received
are available
- Title XV - Miscellaneous Provisions
- Specialized Disclosures (conflict minerals, mine safety, and payments by resource extraction issuers)
Submit Comments:
| Email
Comments received
are available.
- Specialized Disclosure Resource Extraction Issuers (comments received after the July 2, 2013 decision of the United States District Court for the District of Columbia)
Comments received
are available.
- Other
- Other Initiatives to be Undertaken by the SEC in Response to the Dodd-Frank Wall Street Reform and Consumer Protection Act
Submit Comments:
| Email
Comments received
are available.
http://www.sec.gov/spotlight/regreformcomments.shtml
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