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Release Number	SEC Issue Date	File Number	Details
33-10075A, 34-77757A, 33-9693	Dec. 21, 2016	S7-12-14	Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act; Correction View Received Comments Federal Register version (81 FR 95458)
33-10075A, 34-77757A, 33-9693	Dec. 21, 2016	S7-12-14	Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act; Correction View Received Comments Federal Register version (81 FR 95458)
33-10075A, 34-77757A, 33-9693	Dec. 21, 2016	S7-12-14	Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act; Correction View Received Comments Federal Register version (81 FR 95458)
33-10075A, 34-77757A, 33-9693	Dec. 21, 2016	S7-12-14	Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act; Correction View Received Comments Federal Register version (81 FR 95458)
33-10075A, 34-77757A, 33-9693	Dec. 21, 2016	S7-12-14	Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act; Correction View Received Comments Federal Register version (81 FR 95458)
33-10075A, 34-77757A, 33-9693	Dec. 21, 2016	S7-12-14	Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act; Correction View Received Comments Federal Register version (81 FR 95458)
33-10265, 34-79519, 39-2513, IC-32387	Dec. 9, 2016		Adoption of Updated EDGAR Filer Manual Federal Register version (82 FR 7645)
33-10265, 34-79519, 39-2513, IC-32387	Dec. 9, 2016		Adoption of Updated EDGAR Filer Manual Federal Register version (82 FR 7645)
33-10265, 34-79519, 39-2513, IC-32387	Dec. 9, 2016		Adoption of Updated EDGAR Filer Manual Federal Register version (82 FR 7645)
33-10265, 34-79519, 39-2513, IC-32387	Dec. 9, 2016		Adoption of Updated EDGAR Filer Manual Federal Register version (82 FR 7645)
33-10238, 34-79161	Oct. 26, 2016	S7-22-15	Exemptions To Facilitate Intrastate and Regional Securities Offerings *Comments Due:* January 20, 2017 View Received Comments See Also - Small Entity Compliance Guide, Rule 504 Small Entity Compliance Guide, Proposed Rule Release No. 33-9973, Release No. 33-10238A Federal Register version (81 FR 83494)
33-10238, 34-79161	Oct. 26, 2016	S7-22-15	Exemptions To Facilitate Intrastate and Regional Securities Offerings *Comments Due:* January 20, 2017 View Received Comments See Also - Small Entity Compliance Guide, Rule 504 Small Entity Compliance Guide, Proposed Rule Release No. 33-9973, Release No. 33-10238A Federal Register version (81 FR 83494)
33-10233, IC-32315	Oct. 13, 2016	S7-16-15	Investment Company Liquidity Risk Management Programs View Received Comments See Also - Small Entity Compliance Guide, Proposed Rule Release No. 33-9922 Federal Register version (81 FR 82142)
33-10234, IC-32316	Oct. 13, 2016	S7-16-15	Investment Company Swing Pricing View Received Comments See Also - Small Entity Compliance Guide, Proposed Rule Release No. 33-9922 Federal Register version (81 FR 82084)
33-10233, IC-32315	Oct. 13, 2016	S7-16-15	Investment Company Liquidity Risk Management Programs View Received Comments See Also - Small Entity Compliance Guide, Proposed Rule Release No. 33-9922 Federal Register version (81 FR 82142)
33-10234, IC-32316	Oct. 13, 2016	S7-16-15	Investment Company Swing Pricing View Received Comments See Also - Small Entity Compliance Guide, Proposed Rule Release No. 33-9922 Federal Register version (81 FR 82084)
33-10231, 33-9776, 33-10442, 34-79095, IC-32314	Oct. 13, 2016	S7-08-15	Investment Company Reporting Modernization View Received Comments See Also - Small Entity Compliance Guide, Adopted Amendments to Regulation S-X, Investment Company Reporting Modernization Frequently Asked Questions, Proposed Rule Release No. 33-9776 Federal Register version (81 FR 81870)
33-10231, 33-9776, 33-10442, 34-79095, IC-32314	Oct. 13, 2016	S7-08-15	Investment Company Reporting Modernization View Received Comments See Also - Small Entity Compliance Guide, Adopted Amendments to Regulation S-X, Investment Company Reporting Modernization Frequently Asked Questions, Proposed Rule Release No. 33-9776 Federal Register version (81 FR 81870)
33-10231, 33-9776, 33-10442, 34-79095, IC-32314	Oct. 13, 2016	S7-08-15	Investment Company Reporting Modernization View Received Comments See Also - Small Entity Compliance Guide, Adopted Amendments to Regulation S-X, Investment Company Reporting Modernization Frequently Asked Questions, Proposed Rule Release No. 33-9776 Federal Register version (81 FR 81870)
33-10231, 33-9776, 33-10442, 34-79095, IC-32314	Oct. 13, 2016	S7-08-15	Investment Company Reporting Modernization View Received Comments See Also - Small Entity Compliance Guide, Adopted Amendments to Regulation S-X, Investment Company Reporting Modernization Frequently Asked Questions, Proposed Rule Release No. 33-9776 Federal Register version (81 FR 81870)
33-10231, 33-9776, 33-10442, 34-79095, IC-32314	Oct. 13, 2016	S7-08-15	Investment Company Reporting Modernization View Received Comments See Also - Small Entity Compliance Guide, Adopted Amendments to Regulation S-X, Investment Company Reporting Modernization Frequently Asked Questions, Proposed Rule Release No. 33-9776 Federal Register version (81 FR 81870)
33-10231, 33-9776, 33-10442, 34-79095, IC-32314	Oct. 13, 2016	S7-08-15	Investment Company Reporting Modernization View Received Comments See Also - Small Entity Compliance Guide, Adopted Amendments to Regulation S-X, Investment Company Reporting Modernization Frequently Asked Questions, Proposed Rule Release No. 33-9776 Federal Register version (81 FR 81870)
33-10231, 33-9776, 33-10442, 34-79095, IC-32314	Oct. 13, 2016	S7-08-15	Investment Company Reporting Modernization View Received Comments See Also - Small Entity Compliance Guide, Adopted Amendments to Regulation S-X, Investment Company Reporting Modernization Frequently Asked Questions, Proposed Rule Release No. 33-9776 Federal Register version (81 FR 81870)
33-10231, 33-9776, 33-10442, 34-79095, IC-32314	Oct. 13, 2016	S7-08-15	Investment Company Reporting Modernization View Received Comments See Also - Small Entity Compliance Guide, Adopted Amendments to Regulation S-X, Investment Company Reporting Modernization Frequently Asked Questions, Proposed Rule Release No. 33-9776 Federal Register version (81 FR 81870)
33-10231, 33-9776, 33-10442, 34-79095, IC-32314	Oct. 13, 2016	S7-08-15	Investment Company Reporting Modernization View Received Comments See Also - Small Entity Compliance Guide, Adopted Amendments to Regulation S-X, Investment Company Reporting Modernization Frequently Asked Questions, Proposed Rule Release No. 33-9776 Federal Register version (81 FR 81870)
33-10231, 33-9776, 33-10442, 34-79095, IC-32314	Oct. 13, 2016	S7-08-15	Investment Company Reporting Modernization View Received Comments See Also - Small Entity Compliance Guide, Adopted Amendments to Regulation S-X, Investment Company Reporting Modernization Frequently Asked Questions, Proposed Rule Release No. 33-9776 Federal Register version (81 FR 81870)
33-10231, 33-9776, 33-10442, 34-79095, IC-32314	Oct. 13, 2016	S7-08-15	Investment Company Reporting Modernization View Received Comments See Also - Small Entity Compliance Guide, Adopted Amendments to Regulation S-X, Investment Company Reporting Modernization Frequently Asked Questions, Proposed Rule Release No. 33-9776 Federal Register version (81 FR 81870)
33-10231, 33-9776, 33-10442, 34-79095, IC-32314	Oct. 13, 2016	S7-08-15	Investment Company Reporting Modernization View Received Comments See Also - Small Entity Compliance Guide, Adopted Amendments to Regulation S-X, Investment Company Reporting Modernization Frequently Asked Questions, Proposed Rule Release No. 33-9776 Federal Register version (81 FR 81870)
33-10231, 33-9776, 33-10442, 34-79095, IC-32314	Oct. 13, 2016	S7-08-15	Investment Company Reporting Modernization View Received Comments See Also - Small Entity Compliance Guide, Adopted Amendments to Regulation S-X, Investment Company Reporting Modernization Frequently Asked Questions, Proposed Rule Release No. 33-9776 Federal Register version (81 FR 81870)
33-10231, 33-9776, 33-10442, 34-79095, IC-32314	Oct. 13, 2016	S7-08-15	Investment Company Reporting Modernization View Received Comments See Also - Small Entity Compliance Guide, Adopted Amendments to Regulation S-X, Investment Company Reporting Modernization Frequently Asked Questions, Proposed Rule Release No. 33-9776 Federal Register version (81 FR 81870)
33-10231, 33-9776, 33-10442, 34-79095, IC-32314	Oct. 13, 2016	S7-08-15	Investment Company Reporting Modernization View Received Comments See Also - Small Entity Compliance Guide, Adopted Amendments to Regulation S-X, Investment Company Reporting Modernization Frequently Asked Questions, Proposed Rule Release No. 33-9776 Federal Register version (81 FR 81870)
34-78961	Sept. 28, 2016	S7-03-14	Standards for Covered Clearing Agencies View Received Comments See Also - Proposed Rule Release No. 34-71699 Federal Register version (81 FR 70786)
33-10217, 34-78883, 39-2512, IC-32269	Sept. 20, 2016		Adoption of Updated EDGAR Filer Manual Federal Register version (81 FR 67118)
33-10217, 34-78883, 39-2512, IC-32269	Sept. 20, 2016		Adoption of Updated EDGAR Filer Manual Federal Register version (81 FR 67118)
33-10217, 34-78883, 39-2512, IC-32269	Sept. 20, 2016		Adoption of Updated EDGAR Filer Manual Federal Register version (81 FR 67118)
33-10217, 34-78883, 39-2512, IC-32269	Sept. 20, 2016		Adoption of Updated EDGAR Filer Manual Federal Register version (81 FR 67118)
34-78716	Aug. 29, 2016	S7-15-15	Access to Data Obtained by Security-Based Swap Data Repositories View Received Comments See Also - Proposed Rule Release Nos. 34-76922, 34-75845 Federal Register version (81 FR 60585)
IA-4509	Aug. 25, 2016	S7-09-15	Form ADV and Investment Advisers Act Rules View Received Comments See Also - Proposed Rule Release No. IA-4091, General Instructions, Instructions for Part 1A, Glossary of Terms, Part 1A, 2017 Federal Register version (81 FR 60417)
34-78321	July 14, 2016	S7-03-15	Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information View Received Comments See Also - Proposed Rule Release No. 34-74245 Federal Register version (81 FR 53545)
34-78319	July 13, 2016	S7-18-15	Amendments to the Commission's Rules of Practice View Received Comments See Also - Proposed Rule Release No. 34-75976 Federal Register version (81 FR 50211)
34-78167	June 27, 2016	S7-25-15	Disclosure of Payments by Resource Extraction Issuers View Received Comments See Also - and Small Entity Compliance Guide, Proposed Rule Release Nos. 34-76958, and 34-76620, Release No. 34-78169 Federal Register version (81 FR 49359)
33-10099, 34-78088	June 16, 2016	S7-08-10	Asset-Backed Securities Disclosure and Registration View Received Comments See Also - and 33-9117, 33-9244 Federal Register version (81 FR 40511)
33-10099, 34-78088	June 16, 2016	S7-08-10	Asset-Backed Securities Disclosure and Registration View Received Comments See Also - and 33-9117, 33-9244 Federal Register version (81 FR 40511)
33-10095, 34-78044, 39-2510, IC-32145	June 13, 2016		Adoption of Updated EDGAR Filer Manual Federal Register version (81 FR 43047)
33-10095, 34-78044, 39-2510, IC-32145	June 13, 2016		Adoption of Updated EDGAR Filer Manual Federal Register version (81 FR 43047)
33-10095, 34-78044, 39-2510, IC-32145	June 13, 2016		Adoption of Updated EDGAR Filer Manual Federal Register version (81 FR 43047)
33-10095, 34-78044, 39-2510, IC-32145	June 13, 2016		Adoption of Updated EDGAR Filer Manual Federal Register version (81 FR 43047)
34-78011	June 8, 2016	S7-03-11	Trade Acknowledgment and Verification of Security-Based Swap Transactions View Received Comments See Also - Proposed Rule Release Nos. 34-69491, 34-63727 Federal Register version (81 FR 39807)
34-77874	May 20, 2016	S7-30-11	Retail Foreign Exchange Transactions View Received Comments See Also - Interim Final Temporary Rule Release No. 34-64874 Federal Register version (81 FR 33374)
34-77874	May 20, 2016	S7-30-11	Retail Foreign Exchange Transactions View Received Comments See Also - Interim Final Temporary Rule Release No. 34-64874 Federal Register version (81 FR 33374)
33-10075, 34-77757	May 3, 2016	S7-12-14	Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act View Received Comments See Also - Proposed Rule Release No. 33-9693, Small Entity Compliance Guide Federal Register version (81 FR 28689)
33-10075, 34-77757	May 3, 2016	S7-12-14	Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act View Received Comments See Also - Proposed Rule Release No. 33-9693, Small Entity Compliance Guide Federal Register version (81 FR 28689)
33-10071, 34-77693, 39-2509, IC-32091	April 22, 2016		Adoption of Updated EDGAR Filer Manual Federal Register version (81 FR 31501)
33-10071, 34-77693, 39-2509, IC-32091	April 22, 2016		Adoption of Updated EDGAR Filer Manual Federal Register version (81 FR 31501)
33-10071, 34-77693, 39-2509, IC-32091	April 22, 2016		Adoption of Updated EDGAR Filer Manual Federal Register version (81 FR 31501)
33-10071, 34-77693, 39-2509, IC-32091	April 22, 2016		Adoption of Updated EDGAR Filer Manual Federal Register version (81 FR 31501)
34-77617	April 14, 2016	S7-25-11	Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants View Received Comments See Also - Proposed Rule Release No. 34-64766 Federal Register version (81 FR 29959)
34-77104	Feb. 10, 2016	S7-06-15	Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent; Security-Based Swap Dealer De Minimis Exception View Received Comments See Also - Proposed Rule Release No. 34-74834 Federal Register version (81 FR 12821)
34-73639A	Dec. 22, 2015	S7-01-13	Regulation Systems Compliance and Integrity; Correction View Received Comments See Also - Staff Guidance on Current SCI Industry Standards, Proposed Rule Release No. 34-69077 Federal Register version (80 FR 81454)
33-9987, 34-76619, 39-2508, IC-31932	Dec. 11, 2015		Adoption of Updated EDGAR Filer Manual Federal Register version (81 FR 3)
33-9987, 34-76619, 39-2508, IC-31932	Dec. 11, 2015		Adoption of Updated EDGAR Filer Manual Federal Register version (81 FR 3)
33-9987, 34-76619, 39-2508, IC-31932	Dec. 11, 2015		Adoption of Updated EDGAR Filer Manual Federal Register version (81 FR 3)
33-9987, 34-76619, 39-2508, IC-31932	Dec. 11, 2015		Adoption of Updated EDGAR Filer Manual Federal Register version (81 FR 3)
33-9974, 34-76324	Oct. 30, 2015	S7-09-13	Crowdfunding View Received Comments See Also - Proposed Rule Release No. 33-9470, 2009-2014, Funding Portal Registration Guide, Crowdfunding Intermediary Compliance Guide, Compliance Guide for Regulation Crowdfunding Issuers, 33-9974A Federal Register version (80 FR 71387)
33-9974, 34-76324	Oct. 30, 2015	S7-09-13	Crowdfunding View Received Comments See Also - Proposed Rule Release No. 33-9470, 2009-2014, Funding Portal Registration Guide, Crowdfunding Intermediary Compliance Guide, Compliance Guide for Regulation Crowdfunding Issuers, 33-9974A Federal Register version (80 FR 71387)
IC-31828	Sept. 16, 2015	S7-07-11	Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule View Received Comments See Also - IC-31184, Proposed Rule Release No. 33-9193 Federal Register version (80 FR 58123)
33-9911, 34-75918, 39-2506, IC-31823	Sept. 15, 2015		Adoption of Updated EDGAR Filer Manual Federal Register version (80 FR 59578)
33-9911, 34-75918, 39-2506, IC-31823	Sept. 15, 2015		Adoption of Updated EDGAR Filer Manual Federal Register version (80 FR 59578)
33-9911, 34-75918, 39-2506, IC-31823	Sept. 15, 2015		Adoption of Updated EDGAR Filer Manual Federal Register version (80 FR 59578)
33-9911, 34-75918, 39-2506, IC-31823	Sept. 15, 2015		Adoption of Updated EDGAR Filer Manual Federal Register version (80 FR 59578)
34-75611	Aug. 5, 2015	S7-40-11	Registration Process for Security-Based Swap Dealers and Major Security-Based Swap Participants View Received Comments See Also - 34-65543 Federal Register version (80 FR 48963)
33-9877, 34-75610, 33-9452	Aug. 5, 2015	S7-07-13	Pay Ratio Disclosure View Received Comments See Also - 33-10415, Staff Guidance on Calculation of Pay Ratio Disclosure, 34-65543, 17 CFR 229.402(a)(6) of Regulation S-K Federal Register version (80 FR 50103)
33-9877, 34-75610, 33-9452	Aug. 5, 2015	S7-07-13	Pay Ratio Disclosure View Received Comments See Also - 33-10415, Staff Guidance on Calculation of Pay Ratio Disclosure, 34-65543, 17 CFR 229.402(a)(6) of Regulation S-K Federal Register version (80 FR 50103)
33-9877, 34-75610, 33-9452	Aug. 5, 2015	S7-07-13	Pay Ratio Disclosure View Received Comments See Also - 33-10415, Staff Guidance on Calculation of Pay Ratio Disclosure, 34-65543, 17 CFR 229.402(a)(6) of Regulation S-K Federal Register version (80 FR 50103)
33-9874, 34-75586, 39-2505, IC-31735	Aug. 3, 2015		Adoption of Updated EDGAR Filer Manual Federal Register version (80 FR 51123)
33-9874, 34-75586, 39-2505, IC-31735	Aug. 3, 2015		Adoption of Updated EDGAR Filer Manual Federal Register version (80 FR 51123)
33-9874, 34-75586, 39-2505, IC-31735	Aug. 3, 2015		Adoption of Updated EDGAR Filer Manual Federal Register version (80 FR 51123)
33-9874, 34-75586, 39-2505, IC-31735	Aug. 3, 2015		Adoption of Updated EDGAR Filer Manual Federal Register version (80 FR 51123)
34-75388	July 8, 2015	S7-07-14	Freedom of Information Act Regulations: Fee Schedule, Addition of Appeals Time Frame, and Miscellaneous Administrative Changes View Received Comments See Also - 34-72440 Federal Register version (80 FR 41432)
33-9849, 34-75242, 39-2504, IC-31680	June 18, 2015		Adoption of Updated EDGAR Filer Manual Federal Register version (80 FR 36913)
33-9849, 34-75242, 39-2504, IC-31680	June 18, 2015		Adoption of Updated EDGAR Filer Manual Federal Register version (80 FR 36913)
33-9849, 34-75242, 39-2504, IC-31680	June 18, 2015		Adoption of Updated EDGAR Filer Manual Federal Register version (80 FR 36913)
33-9849, 34-75242, 39-2504, IC-31680	June 18, 2015		Adoption of Updated EDGAR Filer Manual Federal Register version (80 FR 36913)
33-9773, 34-74982, 39-2503, IC-31604	May 18, 2015		Adoption of Updated EDGAR Filer Manual Federal Register version (80 FR 29942)
33-9773, 34-74982, 39-2503, IC-31604	May 18, 2015		Adoption of Updated EDGAR Filer Manual Federal Register version (80 FR 29942)
33-9773, 34-74982, 39-2503, IC-31604	May 18, 2015		Adoption of Updated EDGAR Filer Manual Federal Register version (80 FR 29942)
33-9773, 34-74982, 39-2503, IC-31604	May 18, 2015		Adoption of Updated EDGAR Filer Manual Federal Register version (80 FR 29942)
33-9746, 34-74714, 39-2502, IC-31551	April 13, 2015		Adoption of Updated EDGAR Filer Manual Federal Register version (80 FR 21649)
33-9746, 34-74714, 39-2502, IC-31551	April 13, 2015		Adoption of Updated EDGAR Filer Manual Federal Register version (80 FR 21649)
33-9746, 34-74714, 39-2502, IC-31551	April 13, 2015		Adoption of Updated EDGAR Filer Manual Federal Register version (80 FR 21649)
33-9746, 34-74714, 39-2502, IC-31551	April 13, 2015		Adoption of Updated EDGAR Filer Manual Federal Register version (80 FR 21649)
33-9741	March 25, 2015	S7-11-13	Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A) View Received Comments See Also - Motion for Stay and Related Materials, Order Denying Stay Release No. 33-9808, Final Rule Correction Release Nos. 33-9741A, 33-9741B, 33-9741C, Proposed Rule Release No. 33-9497, Small Business Compliance Guide Federal Register version (80 FR 21805)
34-74246	Feb. 11, 2015	S7-35-10	Security-Based Swap Data Repository Registration, Duties, and Core Principles View Received Comments See Also - Proposed Rule Release Nos. 34-69491, 34-63347 Federal Register version (80 FR 14437)
34-74244	Feb. 11, 2015	S7-34-10	Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information View Received Comments See Also - Proposed Rule Release Nos. 34-69491, Proposed Rule Release No. 34-69490, 34-63346, and Administrative Notice Federal Register version (80 FR 14563)
33-9720, 34-74194	Feb. 3, 2015	S7-08-10	Asset-Backed Securities Disclosure and Registration View Received Comments Federal Register version (80 FR 6652)
33-9720, 34-74194	Feb. 3, 2015	S7-08-10	Asset-Backed Securities Disclosure and Registration View Received Comments Federal Register version (80 FR 6652)
33-9692, 34-73868, 39-2499, IC-31383	Dec. 17, 2014		Adoption of Updated EDGAR Filer Manual Federal Register version (79 FR 76878)
33-9692, 34-73868, 39-2499, IC-31383	Dec. 17, 2014		Adoption of Updated EDGAR Filer Manual Federal Register version (79 FR 76878)
33-9692, 34-73868, 39-2499, IC-31383	Dec. 17, 2014		Adoption of Updated EDGAR Filer Manual Federal Register version (79 FR 76878)
IA-3984	Dec. 17, 2014	S7-23-07	Temporary Rule Regarding Principal Trades With Certain Advisory Clients View Received Comments See Also - Proposed Rule Release Nos. IA-3893, Proposed Rule Release Nos. IA-3483, Proposed Rule Release No. IA-3118, Small Entity Compliance Guide Federal Register version (79 FR 76880)