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Release Number	SEC Issue Date	File Number	Details
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:* December 14, 2021 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:* December 14, 2021 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 See Also - 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:* June 7, 2021 View Received Comments See Also - 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:* June 7, 2021 View Received Comments See Also - 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:* March 22, 2021 View Received Comments See Also - 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:* March 22, 2021 View Received Comments See Also - 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:* February 9, 2021 View Received Comments See Also - Press Release 2020-294 Submit a Comment on S7-18-20 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:* February 9, 2021 View Received Comments See Also - Press Release 2020-293 Submit a Comment on S7-19-20 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:* February 9, 2021 View Received Comments See Also - Press Release 2020-293 Submit a Comment on S7-19-20 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:* March 1, 2021 View Received Comments See Also - 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:* October 19, 2020 View Received Comments See Also - 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:* October 19, 2020 View Received Comments See Also - 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:* October 19, 2020 View Received Comments See Also - 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:* October 19, 2020 View Received Comments See Also - 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:* November 30, 2020 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:* January 4, 2021 View Received Comments See Also - 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:* January 4, 2021 View Received Comments See Also - 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:* January 4, 2021 View Received Comments See Also - 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:* September 29, 2020 View Received Comments Submit a Comment on S7-08-20 Federal Register version (85 FR 46016)
IC-33845	April 21, 2020	S7-07-20	Good Faith Determinations of Fair Value *Comments Due:* July 21, 2020 View Received Comments See Also - 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 See Also - 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 See Also - 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:* May 26, 2020 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 See Also - 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 See Also - 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 See Also - 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:* April 1, 2020 View Received Comments See Also - 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:* March 16, 2020 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:* March 16, 2020 View Received Comments Submit a Comment on S7-26-19 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:* March 16, 2020 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:* March 16, 2020 View Received Comments Submit a Comment on S7-26-19 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:* March 16, 2020 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:* March 16, 2020 View Received Comments Submit a Comment on S7-26-19 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:* March 16, 2020 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:* March 16, 2020 View Received Comments Submit a Comment on S7-26-19 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:* March 16, 2020 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:* March 16, 2020 View Received Comments Submit a Comment on S7-26-19 Federal Register version (85 FR 2332)
33-10734, 34-87784	Dec. 18, 2019	S7-25-19	Amending the "Accredited Investor" Definition View Received Comments See Also - 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 See Also - 33-10824.pdf Federal Register version (85 FR 2574)
34-87783	Dec. 18, 2019	S7-24-19	Disclosure of Payments by Resource Extraction Issuers *Comments Due:* March 16, 2020 View Received Comments See Also - 34-90679.pdf Federal Register version (85 FR 2522)
34-87607, IA-5413, IC-33704	Nov. 25, 2019	S7-24-15	Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence by Broker-Dealers and Registered Investment Advisers Regarding Retail Customers' Transactions in Certain Leveraged/Inverse Investment Vehicles *Comments Due:* March 24, 2020 View Received Comments See Also - Use of Derivatives Feedback Flier, Inverse Investment Vehicles Feedback Flier, ic-34084.pdf, IC-31933 Federal Register version (85 FR 4446)
34-87607, IA-5413, IC-33704	Nov. 25, 2019	S7-24-15	Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence by Broker-Dealers and Registered Investment Advisers Regarding Retail Customers' Transactions in Certain Leveraged/Inverse Investment Vehicles *Comments Due:* March 24, 2020 View Received Comments See Also - Use of Derivatives Feedback Flier, Inverse Investment Vehicles Feedback Flier, ic-34084.pdf, IC-31933 Federal Register version (85 FR 4446)
34-87607, IA-5413, IC-33704	Nov. 25, 2019	S7-24-15	Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence by Broker-Dealers and Registered Investment Advisers Regarding Retail Customers' Transactions in Certain Leveraged/Inverse Investment Vehicles *Comments Due:* March 24, 2020 View Received Comments See Also - Use of Derivatives Feedback Flier, Inverse Investment Vehicles Feedback Flier, ic-34084.pdf, IC-31933 Federal Register version (85 FR 4446)
34-87457	Nov. 5, 2019	S7-22-19	Amendments to Exemptions From the Proxy Rules for Proxy Voting Advice View Received Comments See Also - 34-89372.pdf Federal Register version (84 FR 66518)
34-87458	Nov. 5, 2019	S7-23-19	Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8 *Comments Due:* February 3, 2020 View Received Comments See Also - 34-89964.pdf Federal Register version (84 FR 66458)
IA-5407	Nov. 4, 2019	S7-21-19	Investment Adviser Advertisements; Compensation for Solicitations *Comments Due:* February 10, 2020 View Received Comments See Also - Investor Feedback Flyer, Smaller Adviser Feedback Flyer, ia-5653.pdf Federal Register version (84 FR 67518)
33-10720	Oct. 24, 2019	S7-20-19	Filing Fee Disclosure and Payment Methods Modernization View Received Comments See Also - 33-10997.pdf Federal Register version (84 FR 71580)
IC-33658	Oct. 18, 2019	S7-19-19	Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940 View Received Comments See Also - ic-33921.pdf Federal Register version (84 FR 58075)
34-87193	Oct. 1, 2019	S7-15-19	Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments *Comments Due:* December 10, 2019 View Received Comments See Also - 34-89618.pdf Federal Register version (84 FR 54794)
34-87115, 33-10842	Sept. 25, 2019	S7-14-19	Publication or Submission of Quotations Without Specified Information *Comments Due:* December 30, 2019 View Received Comments See Also - 33-10842.pdf Federal Register version (84 FR 58206)
34-87115, 33-10842	Sept. 25, 2019	S7-14-19	Publication or Submission of Quotations Without Specified Information *Comments Due:* December 30, 2019 View Received Comments See Also - 33-10842.pdf Federal Register version (84 FR 58206)
33-10688, 34-86984	Sept. 17, 2019	S7-02-17	Update of Statistical Disclosures for Bank and Savings and Loan Registrants View Received Comments See Also - 33-10835.pdf, and Request for Comment Rel. No. 33-10321 Federal Register version (84 FR 52936)
33-10688, 34-86984	Sept. 17, 2019	S7-02-17	Update of Statistical Disclosures for Bank and Savings and Loan Registrants View Received Comments See Also - 33-10835.pdf, and Request for Comment Rel. No. 33-10321 Federal Register version (84 FR 52936)
34-86901	Sept. 9, 2019	S7-13-19	Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail *Comments Due:* October 28, 2019 View Received Comments Federal Register version (84 FR 48458)
33-10668, 34-86614	Aug. 8, 2019	S7-11-19	Modernization of Regulation S-K Items 101, 103, and 105 View Received Comments See Also - 33-10825.pdf Federal Register version (84 FR 44358)
33-10668, 34-86614	Aug. 8, 2019	S7-11-19	Modernization of Regulation S-K Items 101, 103, and 105 View Received Comments See Also - 33-10825.pdf Federal Register version (84 FR 44358)
34-86304	July 3, 2019	S7-09-19	Customer Margin Rules Relating to Security Futures *Comments Due:* August 26, 2019 View Received Comments See Also - 34-90244.pdf Federal Register version (84 FR 36434)
34-85823	May 10, 2019	S7-07-19	Proposed Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements *Comments Due:* July 23, 2019 View Received Comments See Also - 34-87780.pdf Federal Register version (84 FR 24206)
34-85814	May 9, 2019	S7-06-19	Amendments to the Accelerated Filer and Large Accelerated Filer Definitions *Comments Due:* July 29, 2019 View Received Comments See Also - 34-88365.pdf Federal Register version (84 FR 24876)
33-10635, 34-85765, IC-33465	May 3, 2019	S7-05-19	Amendments to Financial Disclosures About Acquired and Disposed Businesses *Comments Due:* July 29, 2019 View Received Comments See Also - 33-10786.pdf Federal Register version (84 FR 24600)
33-10635, 34-85765, IC-33465	May 3, 2019	S7-05-19	Amendments to Financial Disclosures About Acquired and Disposed Businesses *Comments Due:* July 29, 2019 View Received Comments See Also - 33-10786.pdf Federal Register version (84 FR 24600)
33-10635, 34-85765, IC-33465	May 3, 2019	S7-05-19	Amendments to Financial Disclosures About Acquired and Disposed Businesses *Comments Due:* July 29, 2019 View Received Comments See Also - 33-10786.pdf Federal Register version (84 FR 24600)
33-10619, 34-85382, IC-33427	March 20, 2019	S7-03-19	Securities Offering Reform for Closed-End Investment Companies *Comments Due:* June 10, 2019 View Received Comments See Also - 33-10771.pdf Federal Register version (84 FR 14448)
33-10619, 34-85382, IC-33427	March 20, 2019	S7-03-19	Securities Offering Reform for Closed-End Investment Companies *Comments Due:* June 10, 2019 View Received Comments See Also - 33-10771.pdf Federal Register version (84 FR 14448)
33-10619, 34-85382, IC-33427	March 20, 2019	S7-03-19	Securities Offering Reform for Closed-End Investment Companies *Comments Due:* June 10, 2019 View Received Comments See Also - 33-10771.pdf Federal Register version (84 FR 14448)
33-10607	Feb. 19, 2019	S7-01-19	Solicitations of Interest Prior to a Registered Public Offering *Comments Due:* April 29, 2019 View Received Comments See Also - 33-10699.pdf Federal Register version (84 FR 6713)
33-10605	Feb. 14, 2019	S7-23-18	Reopening of Comment Period for Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts *Comments Due:* March 15, 2019 View Received Comments See Also - 33-10765.pdf, 33-10569 Federal Register version (84 FR 5393)
BHCA-5	Dec. 21, 2018	S7-30-18	Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds *Comments Due:* Comments must be received on or before March 11, 2019 View Received Comments See Also - bhca-6.pdf Federal Register version (84 FR 2778)
33-10590, IC-33329	Dec. 19, 2018	S7-27-18	Fund of Funds Arrangements *Comments Due:* May 2, 2019 View Received Comments See Also - 33-10871.pdf Federal Register version (84 FR 1286)
33-10590, IC-33329	Dec. 19, 2018	S7-27-18	Fund of Funds Arrangements *Comments Due:* May 2, 2019 View Received Comments See Also - 33-10871.pdf Federal Register version (84 FR 1286)
34-84861	Dec. 19, 2018	S7-28-18	Risk Mitigation Techniques for Uncleared Security-Based Swaps *Comments Due:* April 14, 2019 View Received Comments See Also - 34-87782.pdf Federal Register version (84 FR 4614)
33-10569	Oct. 30, 2018	S7-23-18	Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts *Comments Due:* February 15, 2019 View Received Comments See Also - 33-10765.pdf, Hypothetical Initial Summary Prospectus, Hypothetical Updating Summary Prospectus, Feedback Flier Variable Annuity Summary Prospectus, PDF, Proposed Form N-3, Proposed Form N-4, Proposed Form N-6 Federal Register version (83 FR 61730)
34-84409	Oct. 11, 2018	S7-08-12	Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers *Comments Due:* November 19, 2018 View Received Comments See Also - 34-86175.pdf Federal Register version (83 FR 53007)
34-84289	Sept. 26, 2018	S7-22-18	Amendments to Rules for Nationally Recognized Statistical Rating Organizations *Comments Due:* November 5, 2018 View Received Comments See Also - 34-86590.pdf Federal Register version (83 FR 50297)
34-84225	Sept. 20, 2018	S7-21-18	Amendment to Single Issuer Exemption for Broker-Dealers *Comments Due:* October 29, 2018 View Received Comments See Also - 34-86073.pdf Federal Register version (83 FR 48733)
BHCA-4	Sept. 4, 2018	S7-14-18	Extension of Comment Period for Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds *Comments Due:* October 17, 2018 View Received Comments See Also - BHCA-3, bhca-7.pdf
33-10526, 34-83701, 33-10762	July 24, 2018	S7-19-18	Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities *Comments Due:* December 3, 2018 View Received Comments See Also - 33-10762.pdf Federal Register version (83 FR 49630)
33-10526, 34-83701, 33-10762	July 24, 2018	S7-19-18	Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities *Comments Due:* December 3, 2018 View Received Comments See Also - 33-10762.pdf Federal Register version (83 FR 49630)
33-10526, 34-83701, 33-10762	July 24, 2018	S7-19-18	Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities *Comments Due:* December 3, 2018 View Received Comments See Also - 33-10762.pdf Federal Register version (83 FR 49630)
34-83557	June 29, 2018	S7-16-18	Whistleblower Program Rules *Comments Due:* September 18, 2018 View Received Comments See Also - 34-89963.pdf Federal Register version (83 FR 34702)
33-10515, IC-33140	June 28, 2018	S7-15-18	Exchange-Traded Funds *Comments Due:* October 1, 2018 View Received Comments See Also - 33-10695.pdf Federal Register version (83 FR 37332)
33-10515, IC-33140	June 28, 2018	S7-15-18	Exchange-Traded Funds *Comments Due:* October 1, 2018 View Received Comments See Also - 33-10695.pdf Federal Register version (83 FR 37332)
BHCA-3	June 5, 2018	S7-14-18	Extension of Comment Period for Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds *Comments Due:* 60 days after date of publication View Received Comments See Also - bhca-7.pdf Federal Register version (83 FR 45860)
33-10498, 34 83307, IC 33106	May 23, 2018	S7-11-18	Covered Investment Fund Research Reports *Comments Due:* July 9, 2018 View Received Comments See Also - 33-10580.pdf Federal Register version (83 FR 26788)
33-10498, 34 83307, IC 33106	May 23, 2018	S7-11-18	Covered Investment Fund Research Reports *Comments Due:* July 9, 2018 View Received Comments See Also - 33-10580.pdf Federal Register version (83 FR 26788)
33-10498, 34 83307, IC 33106	May 23, 2018	S7-11-18	Covered Investment Fund Research Reports *Comments Due:* July 9, 2018 View Received Comments See Also - 33-10580.pdf Federal Register version (83 FR 26788)
33-10491, IC-33091, IA-4904	May 2, 2018	S7-10-18	Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships *Comments Due:* July 9, 2018 View Received Comments See Also - 33-10648.pdf Federal Register version (83 FR 20753)
33-10491, IC-33091, IA-4904	May 2, 2018	S7-10-18	Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships *Comments Due:* July 9, 2018 View Received Comments See Also - 33-10648.pdf Federal Register version (83 FR 20753)
33-10491, IC-33091, IA-4904	May 2, 2018	S7-10-18	Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships *Comments Due:* July 9, 2018 View Received Comments See Also - 33-10648.pdf Federal Register version (83 FR 20753)
34-83062	April 18, 2018	S7-07-18	Regulation Best Interest *Comments Due:* August 7, 2018 View Received Comments See Also - Regulation Best Interest: The Broker-Dealer Standard of Conduct Federal Register version (83 FR 21574)
34-83063, IA-4888	April 18, 2018	S7-08-18	Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures in Retail Communications and Restrictions on the Use of Certain Names or Titles *Comments Due:* August 7, 2018 View Received Comments See Also - Form ADV General Instructions, Instructions to Form CRS, Dual Registrant Mock-up, Broker-Dealer Mock-up, Investment Adviser Mock-up, Feedback on the Relationship Summary, PDF, 34-86032.pdf Federal Register version (83 FR 23848)
34-83063, IA-4888	April 18, 2018	S7-08-18	Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures in Retail Communications and Restrictions on the Use of Certain Names or Titles *Comments Due:* August 7, 2018 View Received Comments See Also - Form ADV General Instructions, Instructions to Form CRS, Dual Registrant Mock-up, Broker-Dealer Mock-up, Investment Adviser Mock-up, Feedback on the Relationship Summary, PDF, 34-86032.pdf Federal Register version (83 FR 23848)
IA-4889	April 18, 2018	S7-09-18	Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation *Comments Due:* August 7, 2018 View Received Comments Federal Register version (83 FR 21203)
34-82873	March 14, 2018	S7-05-18	Transaction Fee Pilot for NMS Stocks *Comments Due:* May 25, 2018 View Received Comments See Also - 34-84875.pdf Federal Register version (83 FR 13008)
IC-33046	March 14, 2018	S7-04-18	Investment Company Liquidity Disclosure *Comments Due:* May 18, 2018 View Received Comments Federal Register version (83 FR 11905)
34-82373, FOIA-192	Dec. 21, 2017	S7-09-17	Freedom of Information Act Regulations *Comments Due:* February 2, 2018 View Received Comments Federal Register version (83 FR 291)
34-82373, FOIA-192	Dec. 21, 2017	S7-09-17	Freedom of Information Act Regulations *Comments Due:* February 2, 2018 View Received Comments Federal Register version (83 FR 291)
33-10425, 34-81851, IA-4791, IC-32858	Oct. 11, 2017	S7-08-17	FAST Act Modernization and Simplification of Regulation S-K *Comments Due:* January 2, 2018 View Received Comments Federal Register version (82 FR 50988)
33-10425, 34-81851, IA-4791, IC-32858	Oct. 11, 2017	S7-08-17	FAST Act Modernization and Simplification of Regulation S-K *Comments Due:* January 2, 2018 View Received Comments Federal Register version (82 FR 50988)