33-11071, 34-95057, IC-34610
June 8, 2022
S7-12-15
Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation Comments Due: View Received Comments Press Release No. 2022-103 , Memorandum from the Division of Economic and Risk Analysis , Fact Sheet , Proposed Rule Rel. No. 33-9861 Federal Register version (87 FR 35938)
33-11071, 34-95057, IC-34610
June 8, 2022
S7-12-15
Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation Comments Due: View Received Comments Press Release No. 2022-103 , Memorandum from the Division of Economic and Risk Analysis , Fact Sheet , Proposed Rule Rel. No. 33-9861 Federal Register version (87 FR 35938)
33-11067, 34-94981, IC-34593
May 25, 2022
S7-16-22
Investment Company Names Comments Due: View Received Comments Press Release No. 2022-91 , Fact Sheet Federal Register version (87 FR 36594)
33-11068, 34-94985, IA-6034, IC-34594
May 25, 2022
S7-17-22
Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment Practices Comments Due: View Received Comments Press Release No. 2022-92 , Fact Sheet Federal Register version (87 FR 36654)
33-11067, 34-94981, IC-34593
May 25, 2022
S7-16-22
Investment Company Names Comments Due: View Received Comments Press Release No. 2022-91 , Fact Sheet Federal Register version (87 FR 36594)
33-11068, 34-94985, IA-6034, IC-34594
May 25, 2022
S7-17-22
Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment Practices Comments Due: View Received Comments Press Release No. 2022-92 , Fact Sheet Federal Register version (87 FR 36654)
33-11068, 34-94985, IA-6034, IC-34594
May 25, 2022
S7-17-22
Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment Practices Comments Due: View Received Comments Press Release No. 2022-92 , Fact Sheet Federal Register version (87 FR 36654)
33-11067, 34-94981, IC-34593
May 25, 2022
S7-16-22
Investment Company Names Comments Due: View Received Comments Press Release No. 2022-91 , Fact Sheet Federal Register version (87 FR 36594)
33-11068, 34-94985, IA-6034, IC-34594
May 25, 2022
S7-17-22
Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment Practices Comments Due: View Received Comments Press Release No. 2022-92 , Fact Sheet Federal Register version (87 FR 36654)
34-94499
May 23, 2022
S7-11-22
Removal of References to Credit Ratings From Regulation M Comments Due: View Received Comments Removal of References to Credit Ratings from Regulation M , Press Release No. 2022-47 , Fact Sheet Federal Register version (87 FR 18312)
34-94868
May 9, 2022
S7-03-22
Reopening of Comment Periods for "Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews" and "Amendments Regarding the Definition of `Exchange' and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency S Comments Due: View Received Comments Federal Register version (87 FR 29059)
33-11061, 34-94867
May 9, 2022
S7-10-22
The Enhancement and Standardization of Climate-Related Disclosures for Investors Comments Due: View Received Comments Press Release No. 2022-82 , The Enhancement and Standardization of Climate-Related Disclosures for Investors Federal Register version (87 FR 29059)
33-11061, 34-94867
May 9, 2022
S7-10-22
The Enhancement and Standardization of Climate-Related Disclosures for Investors Comments Due: View Received Comments Press Release No. 2022-82 , The Enhancement and Standardization of Climate-Related Disclosures for Investors Federal Register version (87 FR 29059)
34-94868, IA-6018, IA-5955
May 9, 2022
S7-02-22
Reopening of Comment Periods for "Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews" and "Amendments Regarding the Definition of `Exchange' and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency Securities, National Market System (NMS) Stocks, and Other Securities" Comments Due: View Received Comments Press Release No. 2022-82 , 34-94062.pdf , ia-5955.pdf Federal Register version (87 FR 29059)
34-94868, IA-6018, IA-5955
May 9, 2022
S7-02-22
Reopening of Comment Periods for "Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews" and "Amendments Regarding the Definition of `Exchange' and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency Securities, National Market System (NMS) Stocks, and Other Securities" Comments Due: View Received Comments Press Release No. 2022-82 , 34-94062.pdf , ia-5955.pdf Federal Register version (87 FR 29059)
34-94868, IA-6018, IA-5955
May 9, 2022
S7-02-22
Reopening of Comment Periods for "Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews" and "Amendments Regarding the Definition of `Exchange' and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency Securities, National Market System (NMS) Stocks, and Other Securities" Comments Due: View Received Comments Press Release No. 2022-82 , 34-94062.pdf , ia-5955.pdf Federal Register version (87 FR 29059)
34-94615
April 6, 2022
S7-14-22
Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities Comments Due: View Received Comments Press Release No. 2022-59 , Fact Sheet Federal Register version (87 FR 28872)
33-11048, 34-94546, IC-34549
March 30, 2022
S7-13-22
Special Purpose Acquisition Companies, Shell Companies, and Projections Comments Due: View Received Comments Press Release No. 2022-56 , Fact Sheet Federal Register version (87 FR 29458)
33-11048, 34-94546, IC-34549
March 30, 2022
S7-13-22
Special Purpose Acquisition Companies, Shell Companies, and Projections Comments Due: View Received Comments Press Release No. 2022-56 , Fact Sheet Federal Register version (87 FR 29458)
33-11048, 34-94546, IC-34549
March 30, 2022
S7-13-22
Special Purpose Acquisition Companies, Shell Companies, and Projections Comments Due: View Received Comments Press Release No. 2022-56 , Fact Sheet Federal Register version (87 FR 29458)
34-94524
March 28, 2022
S7-12-22
Further Definition of "As a Part of a Regular Business" in the Definition of Dealer and Government Securities Dealer Comments Due: View Received Comments Press Release No. 2022-54 , Fact Sheet Federal Register version (87 FR 23054)
33-11042, 34-94478
March 21, 2022
S7-10-22
The Enhancement and Standardization of Climate-Related Disclosures for Investors Comments Due: View Received Comments The Enhancement and Standardization of Climate-Related Disclosures for Investors , Press Release No. 2022-46 , Fact Sheet Federal Register version (87 FR 21334)
33-11042, 34-94478
March 21, 2022
S7-10-22
The Enhancement and Standardization of Climate-Related Disclosures for Investors Comments Due: View Received Comments The Enhancement and Standardization of Climate-Related Disclosures for Investors , Press Release No. 2022-46 , Fact Sheet Federal Register version (87 FR 21334)
33-11038
March 9, 2022
S7-09-22
Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure Comments Due: View Received Comments Press Release No. 2022-39 , Fact Sheet Federal Register version (87 FR 16590)
34-94313
Feb. 25, 2022
S7-08-22
Short Position and Short Activity Reporting by Institutional Investment Managers Comments Due: View Received Comments Press Release No. 2022-32 , Fact Sheet Federal Register version (87 FR 14950)
34-94314
Feb. 25, 2022
S7-08-22
Notice of the Text of the Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail for Purposes of Short Sale-Related Data Collection Comments Due: View Received Comments Press Release No. 2022-32 , Fact Sheet Federal Register version (87 FR 15022)
34-94315
Feb. 25, 2022
S7-18-21
Reopening of Comment Period for Reporting of Securities Loans Comments Due: View Received Comments Press Release No. 2022-32 Federal Register version (87 FR 11659)
33-11030, 34-94211
Feb. 10, 2022
S7-06-22
Modernization of Beneficial Ownership Reporting Comments Due: View Received Comments Press Release No. 2022-22 , Fact Sheet Federal Register version (87 FR 13846)
33-11030, 34-94211
Feb. 10, 2022
S7-06-22
Modernization of Beneficial Ownership Reporting Comments Due: View Received Comments Press Release No. 2022-22 , Fact Sheet Federal Register version (87 FR 13846)
34-94212
Feb. 10, 2022
S7-07-22
The Commission's Whistleblower Program Rules View Received Comments 34-95620.pdf , Press Release No. 2022-23 , Fact Sheet Federal Register version (87 FR 9280)
33-11028, 34-94197, IA-5956, IC-34497
Feb. 9, 2022
S7-04-22
Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies Comments Due: View Received Comments Press Release No. 2022-20 , Fact Sheet Federal Register version (87 FR 13524)
34-94196, IA-5957
Feb. 9, 2022
S7-05-22
Shortening the Securities Transaction Settlement Cycle Comments Due: View Received Comments Shortening the Securities Transaction Settlement Cycle , Press Release No. 2022-21 , Fact Sheet Federal Register version (87 FR 10436)
33-11028, 34-94197, IA-5956, IC-34497
Feb. 9, 2022
S7-04-22
Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies Comments Due: View Received Comments Press Release No. 2022-20 , Fact Sheet Federal Register version (87 FR 13524)
IA-5955, 34-94868
Feb. 9, 2022
S7-03-22
Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews Comments Due: View Received Comments Extension of Comment Period Rel. No. 34-94868 , Press Release No. 2022-19 , Fact Sheet Federal Register version (87 FR 16886)
IA-5955, 34-94868
Feb. 9, 2022
S7-03-22
Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews Comments Due: View Received Comments Extension of Comment Period Rel. No. 34-94868 , Press Release No. 2022-19 , Fact Sheet Federal Register version (87 FR 16886)
33-11028, 34-94197, IA-5956, IC-34497
Feb. 9, 2022
S7-04-22
Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies Comments Due: View Received Comments Press Release No. 2022-20 , Fact Sheet Federal Register version (87 FR 13524)
34-94196, IA-5957
Feb. 9, 2022
S7-05-22
Shortening the Securities Transaction Settlement Cycle Comments Due: View Received Comments Shortening the Securities Transaction Settlement Cycle , Press Release No. 2022-21 , Fact Sheet Federal Register version (87 FR 10436)
33-11028, 34-94197, IA-5956, IC-34497
Feb. 9, 2022
S7-04-22
Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies Comments Due: View Received Comments Press Release No. 2022-20 , Fact Sheet Federal Register version (87 FR 13524)
34-94074
Jan. 27, 2022
S7-07-15
Reopening of Comment Period for Pay Versus Performance View Received Comments 34-95607.pdf , Press Release No. 2022-11 , Fact Sheet Federal Register version (87 FR 5751)
34-94062
Jan. 26, 2022
S7-02-22
Amendments Regarding the Definition of "Exchange" and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency Securities, National Market System (NMS) Stocks, and Other Securities Comments Due: View Received Comments Extension of Comment Period Rel. No. 34-94868 , Press Release No. 2022-10 , 34-94062-fact-sheet Federal Register version (87 FR 15496)
IA-5950
Jan. 26, 2022
S7-01-22
Amendments to Form PF To Require Current Reporting and Amend Reporting Requirements for Large Private Equity Advisers and Large Liquidity Fund Advisers Comments Due: View Received Comments Conformed: Form PF; Event Reporting for Large Hedge Fund Advisers and Private Equity Fund Advisers; Requirements for Large Private Equity Fund Adviser Reporting , Press Release No. 2022-9 , Fact Sheet Federal Register version (87 FR 9106)
33-11013
Jan. 13, 2022
S7-20-21
Rule 10b5-1 and Insider Trading Comments Due: View Received Comments for this proposal. Federal Register version , 33-11138.pdf , Press Release No. 2021-256 , Fact Sheet Federal Register version (87 FR 8686) Note: This replaces the version initially issued on December 15, 2021.) Other Release. Nos.: 34-93782, 33-11013 File No: S7-20-21 Comments Due: April 1, 2022 Comments received are available for this proposal. Federal Register version (87 FR 8686) See also: Final Rule Rel. No. 33-11131 ; Press Release No. 2021-256 ; Fact Sheet
34-93783, IC-34440
Dec. 15, 2021
S7-21-21
Share Repurchase Disclosure Modernization Comments Due: View Received Comments Press Rel. No. 2021-257 , Fact Sheet Federal Register version (87 FR 8443)
34-93784
Dec. 15, 2021
S7-32-10
Prohibition Against Fraud, Manipulation, or Deception in Connection With Security-Based Swaps; Prohibition Against Undue Influence Over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions Comments Due: View Received Comments Press Release No. 2021-259 , Fact Sheet , Proposed Rule Release Nos. 34-69491 Federal Register version (87 FR 6652)
34-93784
Dec. 15, 2021
S7-32-10
Prohibition Against Fraud, Manipulation, or Deception in Connection With Security-Based Swaps; Prohibition Against Undue Influence Over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions Comments Due: View Received Comments Press Release No. 2021-259 , Fact Sheet , Proposed Rule Release Nos. 34-69491 Federal Register version (87 FR 6652)
34-93783, IC-34440
Dec. 15, 2021
S7-21-21
Share Repurchase Disclosure Modernization Comments Due: View Received Comments Press Rel. No. 2021-257 , Fact Sheet Federal Register version (87 FR 8443)
IC-34441
Dec. 15, 2021
S7-22-21
Money Market Fund Reforms Comments Due: View Received Comments Press Release No. 2021-258 , Fact Sheet Federal Register version (87 FR 7248)
34-93613
Nov. 18, 2021
S7-18-21
Reporting of Securities Loans Comments Due: View Received Comments Press Release No. 2021-239 , Fact Sheet Federal Register version (86 FR 69802)
34-93614
Nov. 18, 2021
S7-19-21
Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants Comments Due: View Received Comments Press Release No. 2021-240 , Fact Sheet Federal Register version (86 FR 68300)
34-93595
Nov. 17, 2021
S7-17-21
Proxy Voting Advice Comments Due: View Received Comments Press Release No. 2021-236 , Fact Sheet Federal Register version (86 FR 67383)
33-11005, 34-93519
Nov. 4, 2021
S7-16-21
Updating EDGAR Filing Requirements Comments Due: View Received Comments Federal Register version (86 FR 66231)
33-11005, 34-93519
Nov. 4, 2021
S7-24-20
Updating EDGAR Filing Requirements Comments Due: View Received Comments Federal Register version (86 FR 66231)
34-93518, IA-5903, IC-34415
Nov. 4, 2021
S7-15-21
Electronic Submission of Applications for Orders Under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F Comments Due: View Received Comments Press Release No. 2021-223 , Fact Sheet Federal Register version (86 FR 64839)
33-11005, 34-93519
Nov. 4, 2021
S7-24-20
Updating EDGAR Filing Requirements Comments Due: View Received Comments Federal Register version (86 FR 66231)
33-11005, 34-93519
Nov. 4, 2021
S7-16-21
Updating EDGAR Filing Requirements Comments Due: View Received Comments Federal Register version (86 FR 66231)
34-93518, IA-5903, IC-34415
Nov. 4, 2021
S7-15-21
Electronic Submission of Applications for Orders Under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F Comments Due: View Received Comments Press Release No. 2021-223 , Fact Sheet Federal Register version (86 FR 64839)
34-93518, IA-5903, IC-34415
Nov. 4, 2021
S7-15-21
Electronic Submission of Applications for Orders Under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F Comments Due: View Received Comments Press Release No. 2021-223 , Fact Sheet Federal Register version (86 FR 64839)
33-10998, 34-93311, IC-34399
Oct. 14, 2021
S7-12-15
Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation Comments Due: View Received Comments Press Release 2021-210 , Fact Sheet Federal Register version (86 FR 58232)
33-10998, 34-93311, IC-34399
Oct. 14, 2021
S7-12-15
Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation Comments Due: View Received Comments Press Release 2021-210 , Fact Sheet Federal Register version (86 FR 58232)
33-10998, 34-93311, IC-34399
Oct. 14, 2021
S7-12-15
Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation Comments Due: View Received Comments Press Release 2021-210 , Fact Sheet Federal Register version (86 FR 58232)
34-93169, IC-34389
Sept. 29, 2021
S7-11-21
Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers Comments Due: View Received Comments Federal Register version (86 FR 57478)
34-93169, IC-34389
Sept. 29, 2021
S7-11-21
Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers Comments Due: View Received Comments Federal Register version (86 FR 57478)
34-92326
July 6, 2021
S7-14-11
Credit Risk Retention-Notification of Extension of Review Period View Received Comments 34-73407.pdf , Proposed Rule Release Nos. 34-70277 , 34-64603 , Credit Risk Retention Federal Register version (86 FR 38607)
34-91603, IC-34246
April 16, 2021
S7-24-16
Reopening of Comment Period for Universal Proxy Comments Due: View Received Comments 34-93596.pdf , Press Release 2021-64 , Proposed Rule Rel. No. 34-79164 Federal Register version (86 FR 24364)
34-91603, IC-34246
April 16, 2021
S7-24-16
Reopening of Comment Period for Universal Proxy Comments Due: View Received Comments 34-93596.pdf , Press Release 2021-64 , Proposed Rule Rel. No. 34-79164 Federal Register version (86 FR 24364)
33-10911, 34-90773
Dec. 22, 2020
S7-24-20
Rule 144 Holding Period and Form 144 Filings Comments Due: View Received Comments Press Release 2020-336 Federal Register version (86 FR 5063)
33-10911, 34-90773
Dec. 22, 2020
S7-24-20
Rule 144 Holding Period and Form 144 Filings Comments Due: View Received Comments Press Release 2020-336 Federal Register version (86 FR 5063)
33-10891
Nov. 24, 2020
S7-18-20
Modernization of Rules and Forms for Compensatory Securities Offerings and Sales Comments Due: View Received Comments Press Release 2020-294 Federal Register version (85 FR 80232)
33-10892, 34-90948
Nov. 24, 2020
S7-19-20
Temporary Rules to Include Certain "Platform Workers" in Compensatory Offerings Under Rule 701 and Form S-8 Comments Due: View Received Comments Press Release 2020-293 Federal Register version (85 FR 79936)
33-10892, 34-90948
Nov. 24, 2020
S7-19-20
Temporary Rules to Include Certain "Platform Workers" in Compensatory Offerings Under Rule 701 and Form S-8 Comments Due: View Received Comments Press Release 2020-293 Federal Register version (85 FR 79936)
34-90019
Sept. 28, 2020
S7-12-20
Regulation ATS for ATSs That Trade U.S. Government Securities, NMS Stock, and Other Securities; Regulation SCI for ATSs That Trade U.S. Treasury Securities and Agency Securities; and Electronic Corporate Bond and Municipal Securities Markets Comments Due: View Received Comments Press Release 2020-227 Federal Register version (85 FR 87106)
33-10821, 34-89633, 39-2532, IC-33974
Aug. 21, 2020
S7-11-20
Administration of the Electronic Data Gathering, Analysis, and Retrieval System Comments Due: View Received Comments 33-10902.pdf Federal Register version (85 FR 58018)
33-10821, 34-89633, 39-2532, IC-33974
Aug. 21, 2020
S7-11-20
Administration of the Electronic Data Gathering, Analysis, and Retrieval System Comments Due: View Received Comments 33-10902.pdf Federal Register version (85 FR 58018)
33-10821, 34-89633, 39-2532, IC-33974
Aug. 21, 2020
S7-11-20
Administration of the Electronic Data Gathering, Analysis, and Retrieval System Comments Due: View Received Comments 33-10902.pdf Federal Register version (85 FR 58018)
33-10821, 34-89633, 39-2532, IC-33974
Aug. 21, 2020
S7-11-20
Administration of the Electronic Data Gathering, Analysis, and Retrieval System Comments Due: View Received Comments 33-10902.pdf Federal Register version (85 FR 58018)
34-89632
Aug. 21, 2020
S7-10-20
Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail To Enhance Data Security Comments Due: View Received Comments Federal Register version (85 FR 65990)
33-10814, 34-89478, IC-33963
Aug. 5, 2020
S7-09-20
Tailored Shareholder Reports, Treatment of Annual Prospectus Updates for Existing Investors, and Improved Fee and Risk Disclosure for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements Comments Due: View Received Comments Hypothetical Streamlined Shareholder Report , Shareholder Report Feedback Flier , Small Funds Feedback Flier Federal Register version (85 FR 70716)
33-10814, 34-89478, IC-33963
Aug. 5, 2020
S7-09-20
Tailored Shareholder Reports, Treatment of Annual Prospectus Updates for Existing Investors, and Improved Fee and Risk Disclosure for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements Comments Due: View Received Comments Hypothetical Streamlined Shareholder Report , Shareholder Report Feedback Flier , Small Funds Feedback Flier Federal Register version (85 FR 70716)
33-10814, 34-89478, IC-33963
Aug. 5, 2020
S7-09-20
Tailored Shareholder Reports, Treatment of Annual Prospectus Updates for Existing Investors, and Improved Fee and Risk Disclosure for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements Comments Due: View Received Comments Hypothetical Streamlined Shareholder Report , Shareholder Report Feedback Flier , Small Funds Feedback Flier Federal Register version (85 FR 70716)
34-89290
July 10, 2020
S7-08-20
Reporting Threshold for Institutional Investment Managers Comments Due: View Received Comments Federal Register version (85 FR 46016)
IC-33845
April 21, 2020
S7-07-20
Good Faith Determinations of Fair Value Comments Due: View Received Comments ic-34128.pdf Federal Register version (85 FR 28734)
33-10763, 34-88321
March 4, 2020
S7-05-20
Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets View Received Comments Staff Report on Regulation A , 33-10884.pdf Federal Register version (85 FR 17956)
33-10763, 34-88321
March 4, 2020
S7-05-20
Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets View Received Comments Staff Report on Regulation A , 33-10884.pdf Federal Register version (85 FR 17956)
34-88216
Feb. 14, 2020
S7-03-20
Market Data Infrastructure Comments Due: View Received Comments Federal Register version (85 FR 16726)
33-10750, 34-88093, IC-33795
Jan. 30, 2020
S7-01-20
Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information View Received Comments 33-10890.pdf Federal Register version (85 FR 12068)
33-10750, 34-88093, IC-33795
Jan. 30, 2020
S7-01-20
Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information View Received Comments 33-10890.pdf Federal Register version (85 FR 12068)
33-10750, 34-88093, IC-33795
Jan. 30, 2020
S7-01-20
Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information View Received Comments 33-10890.pdf Federal Register version (85 FR 12068)
BHCA-8
Jan. 30, 2020
S7-02-20
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds Comments Due: View Received Comments bhca-9.pdf Federal Register version (85 FR 12120)
33-10738, 34-87864, FR-86, IA-5422, IC-33737
Dec. 30, 2019
S7-26-19
Amendments to Rule 2-01, Qualifications of Accountants Comments Due: View Received Comments Federal Register version (85 FR 2332)
33-10738, 34-87864, FR-86, IA-5422, IC-33737
Dec. 30, 2019
S7-26-19
Amendments to Rule 2-01, Qualifications of Accountants Comments Due: View Received Comments Federal Register version (85 FR 2332)
33-10738, 34-87864, FR-86, IA-5422, IC-33737
Dec. 30, 2019
S7-26-19
Amendments to Rule 2-01, Qualifications of Accountants Comments Due: View Received Comments Federal Register version (85 FR 2332)
33-10738, 34-87864, FR-86, IA-5422, IC-33737
Dec. 30, 2019
S7-26-19
Amendments to Rule 2-01, Qualifications of Accountants Comments Due: View Received Comments Federal Register version (85 FR 2332)
33-10738, 34-87864, FR-86, IA-5422, IC-33737
Dec. 30, 2019
S7-26-19
Amendments to Rule 2-01, Qualifications of Accountants Comments Due: View Received Comments Federal Register version (85 FR 2332)
33-10738, 34-87864, FR-86, IA-5422, IC-33737
Dec. 30, 2019
S7-26-19
Amendments to Rule 2-01, Qualifications of Accountants Comments Due: View Received Comments Federal Register version (85 FR 2332)
33-10738, 34-87864, FR-86, IA-5422, IC-33737
Dec. 30, 2019
S7-26-19
Amendments to Rule 2-01, Qualifications of Accountants Comments Due: View Received Comments Federal Register version (85 FR 2332)
33-10738, 34-87864, FR-86, IA-5422, IC-33737
Dec. 30, 2019
S7-26-19
Amendments to Rule 2-01, Qualifications of Accountants Comments Due: View Received Comments Federal Register version (85 FR 2332)
33-10738, 34-87864, FR-86, IA-5422, IC-33737
Dec. 30, 2019
S7-26-19
Amendments to Rule 2-01, Qualifications of Accountants Comments Due: View Received Comments Federal Register version (85 FR 2332)
33-10738, 34-87864, FR-86, IA-5422, IC-33737
Dec. 30, 2019
S7-26-19
Amendments to Rule 2-01, Qualifications of Accountants Comments Due: View Received Comments Federal Register version (85 FR 2332)
33-10734, 34-87784
Dec. 18, 2019
S7-25-19
Amending the "Accredited Investor" Definition View Received Comments 33-10824.pdf Federal Register version (85 FR 2574)
33-10734, 34-87784
Dec. 18, 2019
S7-25-19
Amending the "Accredited Investor" Definition View Received Comments 33-10824.pdf Federal Register version (85 FR 2574)
