Proposed

Release Number SEC Issue Date File Number Details
33-10425, 34-81851, IA-4791, IC-32858 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 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 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 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 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 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 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 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 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 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)
33-10390 S7-06-17 Covered Securities Pursuant to Section 18 of the Securities Act of 1933
Comments Due: August 21, 2017
View Received Comments
See Also - 33-10428.pdf
Federal Register version (82 FR 33839)
IA-4697 S7-05-17 Amendments to Investment Advisers Act Rules To Reflect Changes Made by the FAST Act
Comments Due: June 8, 2017
View Received Comments
Federal Register version (82 FR 21487)
IA-4697 S7-05-17 Amendments to Investment Advisers Act Rules To Reflect Changes Made by the FAST Act
Comments Due: June 8, 2017
View Received Comments
Federal Register version (82 FR 21487)
33-10323 S7-03-17 Inline XBRL Filing of Tagged Data
Comments Due: May 16, 2017
View Received Comments
Federal Register version (82 FR 14282)
33-10323 S7-03-17 Inline XBRL Filing of Tagged Data
Comments Due: May 16, 2017
View Received Comments
Federal Register version (82 FR 14282)
34-80130 S7-01-17 Proposed Amendments to Municipal Securities Disclosure
Comments Due: May 15, 2017
View Received Comments
Federal Register version (82 FR 13928)
34-80130 S7-01-17 Proposed Amendments to Municipal Securities Disclosure
Comments Due: May 15, 2017
View Received Comments
Federal Register version (82 FR 13928)
34-79164 S7-24-16 Universal Proxy
Comments Due: January 9, 2017
View Received Comments
See Also - 34-93596.pdf
Federal Register version (81 FR 79122)
34-78962 S7-22-16 Amendment to Securities Transaction Settlement Cycle
Comments Due: December 5, 2016
View Received Comments
Federal Register version (81 FR 69240)
34-78962 S7-22-16 Amendment to Securities Transaction Settlement Cycle
Comments Due: December 5, 2016
View Received Comments
Federal Register version (81 FR 69240)
34-78963 S7-23-16 Definition of Covered Clearing Agency
Comments Due: December 12, 2016
View Received Comments
Federal Register version (81 FR 70744)
34-78963 S7-23-16 Definition of Covered Clearing Agency
Comments Due: December 12, 2016
View Received Comments
Federal Register version (81 FR 70744)
33-10220 S7-15-16 Extension of Comment Period for Disclosure Update and Simplification
Comments Due: November 2, 2016
View Received Comments
See Also - 33-10110, Release No. 33-10220 Demonstration Version
Federal Register version (81 FR 66898)
33-10201 S7-19-16 Exhibit Hyperlinks and HTML Format
Comments Due: October 27, 2016
View Received Comments
See Also - 33-10322.pdf
Federal Register version (81 FR 62689)
33-10127 S7-10-16 Extension of Comment Period for Modernization of Property Disclosures for Mining Registrants
Comments Due: September 26, 2016
View Received Comments
See Also - Proposed Rule Rel. No. 33-10098
Federal Register version (81 FR 58877)
33-10110 S7-15-16 Disclosure Update and Simplification
Comments Due: October 3, 2016
View Received Comments
See Also - Release No. 33-10220 Demonstration Version
Federal Register version (81 FR 51607)
33-10110 S7-15-16 Disclosure Update and Simplification
Comments Due: October 3, 2016
View Received Comments
See Also - Release No. 33-10220 Demonstration Version
Federal Register version (81 FR 51607)
34-78309 S7-14-16 Disclosure of Order Handling Information
Comments Due: September 26, 2016
View Received Comments
Federal Register version (81 FR 49431)
34-78309 S7-14-16 Disclosure of Order Handling Information
Comments Due: September 26, 2016
View Received Comments
Federal Register version (81 FR 49431)
34-78309 S7-14-16 Disclosure of Order Handling Information
Comments Due: September 26, 2016
View Received Comments
Federal Register version (81 FR 49431)
IA-4439 S7-13-16 Adviser Business Continuity and Transition Plans
Comments Due: September 6, 2016
View Received Comments
Federal Register version (81 FR 43530)
33-10107 S7-12-16 Amendments to Smaller Reporting Company Definition
Comments Due: August 30, 2016
View Received Comments
Federal Register version (81 FR 43130)
33-10107 S7-12-16 Amendments to Smaller Reporting Company Definition
Comments Due: August 30, 2016
View Received Comments
Federal Register version (81 FR 43130)
33-10098 S7-10-16 Modernization of Property Disclosures for Mining Registrants
Comments Due: August 26, 2016
View Received Comments
Federal Register version (81 FR 41651)
34-77776 S7-07-16 Incentive-Based Compensation Arrangements
Comments Due: July 22, 2016
View Received Comments
Federal Register version (81 FR 37669)
34-77172 S7-27-15 Transfer Agent Regulations; Extension of Comment Period
Comments Due: April 14, 2016
View Received Comments
Federal Register version (81 FR 8867)
34-77157 S7-02-16 Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Comments Due: May 2, 2016
View Received Comments
Federal Register version (81 FR 10798)
34-77157 S7-02-16 Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Comments Due: May 2, 2016
View Received Comments
Federal Register version (81 FR 10798)
34-76958 S7-25-15 Extension of Comment Period for Disclosure of Payments by Resource Extraction Issuers
Comments Due: Initial comments are due on February 16, 2016
View Received Comments
See Also - and 34-76620
Federal Register version (81 FR 4598)
34-76958 S7-25-15 Extension of Comment Period for Disclosure of Payments by Resource Extraction Issuers
Comments Due: Initial comments are due on February 16, 2016
View Received Comments
See Also - and 34-76620
Federal Register version (81 FR 4598)
34-76922 S7-15-15 Access to Data Obtained by Security-Based Swap Data Repositories and Exemption From Indemnification Requirement
Comments Due: February 22, 2015
View Received Comments
See Also - 34-78716.pdf
Federal Register version (81 FR 3354)
34-76620 S7-25-15 Disclosure of Payments by Resource Extraction Issuers
Comments Due: Initial comments are due on January 25, 2016
View Received Comments
See Also - Proposed Rule Release Nos. 34-76958
Federal Register version (80 FR 80057)
34-76620 S7-25-15 Disclosure of Payments by Resource Extraction Issuers
Comments Due: Initial comments are due on January 25, 2016
View Received Comments
See Also - Proposed Rule Release Nos. 34-76958
Federal Register version (80 FR 80057)
34-76624 S7-26-15 Establishing the Form and Manner with which Security-Based Swap Data Repositories Must Make Security-Based Swap Data Available to the Commission
Comments Due: February 22, 2016
View Received Comments
Federal Register version (80 FR 79757)
IC-31933 S7-24-15 Use of Derivatives by Registered Investment Companies and Business Development Companies
Comments Due: March 28, 2016
View Received Comments
See Also - ic-34084.pdf, Proposed Rules Rel. No. 34-87607, Use of Derivatives by Registered Investment Companies
Federal Register version (80 FR 80883)
34-76474 S7-23-15 Regulation of NMS Stock Alternative Trading Systems
Comments Due: February 26, 2016
View Received Comments
Federal Register version (80 FR 80997)
34-76474 S7-15-16 Regulation of NMS Stock Alternative Trading Systems
Comments Due: February 26, 2016
View Received Comments
Federal Register version (80 FR 80997)
33-9973, 34-76319 S7-22-15 Exemptions To Facilitate Intrastate and Regional Securities Offerings
Comments Due: January 11, 2016
View Received Comments
See Also - 2009-2014
Federal Register version (80 FR 69785)
33-9973, 34-76319 S7-22-15 Exemptions To Facilitate Intrastate and Regional Securities Offerings
Comments Due: January 11, 2016
View Received Comments
See Also - 2009-2014
Federal Register version (80 FR 69785)
33-9973, 34-76319 S7-22-15 Exemptions To Facilitate Intrastate and Regional Securities Offerings
Comments Due: January 11, 2016
View Received Comments
See Also - 2009-2014
Federal Register version (80 FR 69785)
33-9973, 34-76319 S7-22-15 Exemptions To Facilitate Intrastate and Regional Securities Offerings
Comments Due: January 11, 2016
View Received Comments
See Also - 2009-2014
Federal Register version (80 FR 69785)
34-75976 S7-18-15 Amendments to the Commission's Rules of Practice
Comments Due: December 4, 2015
View Received Comments
See Also - 34-78319.pdf
Federal Register version (80 FR 60091)
34-75977 S7-19-15 Amendments to the Commission's Rules of Practice
Comments Due: December 4, 2015
View Received Comments
See Also - Final Rule Rel. No. 34-90442
Federal Register version (80 FR 60082)
33-9922, IC-31835 S7-16-15 Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release
File Nos.: S7-16-15, S7-08-15 Comments Due: January 13, 2016
View Received Comments
See Also - Liquidity and Flows of U.S. Mutual Funds
Federal Register version (80 FR 62273)
33-9922, IC-31835 S7-16-15 Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release
File Nos.: S7-16-15, S7-08-15 Comments Due: January 13, 2016
View Received Comments
See Also - Liquidity and Flows of U.S. Mutual Funds
Federal Register version (80 FR 62273)
33-9922, IC-31835 S7-16-15 Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release
File Nos.: S7-16-15, S7-08-15 Comments Due: January 13, 2016
View Received Comments
See Also - Liquidity and Flows of U.S. Mutual Funds
Federal Register version (80 FR 62273)
33-9922, IC-31835 S7-16-15 Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release
File Nos.: S7-16-15, S7-08-15 Comments Due: January 13, 2016
View Received Comments
See Also - Liquidity and Flows of U.S. Mutual Funds
Federal Register version (80 FR 62273)
33-9922, IC-31835 S7-16-15 Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release
File Nos.: S7-16-15, S7-08-15 Comments Due: January 13, 2016
View Received Comments
See Also - Liquidity and Flows of U.S. Mutual Funds
Federal Register version (80 FR 62273)
33-9922, IC-31835 S7-16-15 Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release
File Nos.: S7-16-15, S7-08-15 Comments Due: January 13, 2016
View Received Comments
See Also - Liquidity and Flows of U.S. Mutual Funds
Federal Register version (80 FR 62273)
34-75845 S7-15-15 Access to Data Obtained by Security-Based Swap Data Repositories and Exemption From Indemnification Requirement
Comments Due: October 29, 2015
View Received Comments
See Also - Proposed Rule Release Nos. 34-76922
Federal Register version (80 FR 55181)
34-75845 S7-15-15 Access to Data Obtained by Security-Based Swap Data Repositories and Exemption From Indemnification Requirement
Comments Due: October 29, 2015
View Received Comments
See Also - Proposed Rule Release Nos. 34-76922
Federal Register version (80 FR 55181)
34-75612 S7-14-15 Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved in Effecting Security-Based Swaps
Comments Due: October 26, 2015
View Received Comments
Federal Register version (80 FR 51683)
33-9861, 34-75342, IC-31702 S7-12-15 Listing Standards for Recovery of Erroneously Awarded Compensation
Comments Due: September 14, 2015
View Received Comments
Federal Register version (80 FR 41143)
33-9861, 34-75342, IC-31702 S7-12-15 Listing Standards for Recovery of Erroneously Awarded Compensation
Comments Due: September 14, 2015
View Received Comments
Federal Register version (80 FR 41143)
33-9861, 34-75342, IC-31702 S7-12-15 Listing Standards for Recovery of Erroneously Awarded Compensation
Comments Due: September 14, 2015
View Received Comments
Federal Register version (80 FR 41143)
33-9776, 33-10231, 34-75002, IC-31610 S7-08-15 Investment Company Reporting Modernization
Comments Due: January 13, 2016
View Received Comments
See Also - Proposed Rule Release No. 33-9922
Federal Register version (80 FR 33589)
33-9776, 33-10231, 34-75002, IC-31610 S7-08-15 Investment Company Reporting Modernization
Comments Due: January 13, 2016
View Received Comments
See Also - Proposed Rule Release No. 33-9922
Federal Register version (80 FR 33589)
33-9776, 33-10231, 34-75002, IC-31610 S7-08-15 Investment Company Reporting Modernization
Comments Due: January 13, 2016
View Received Comments
See Also - Proposed Rule Release No. 33-9922
Federal Register version (80 FR 33589)
33-9776, 33-10231, 34-75002, IC-31610 S7-08-15 Investment Company Reporting Modernization
Comments Due: January 13, 2016
View Received Comments
See Also - Proposed Rule Release No. 33-9922
Federal Register version (80 FR 33589)
33-9776, 33-10231, 34-75002, IC-31610 S7-08-15 Investment Company Reporting Modernization
Comments Due: January 13, 2016
View Received Comments
See Also - Proposed Rule Release No. 33-9922
Federal Register version (80 FR 33589)
33-9776, 33-10231, 34-75002, IC-31610 S7-08-15 Investment Company Reporting Modernization
Comments Due: January 13, 2016
View Received Comments
See Also - Proposed Rule Release No. 33-9922
Federal Register version (80 FR 33589)
33-9776, 33-10231, 34-75002, IC-31610 S7-08-15 Investment Company Reporting Modernization
Comments Due: January 13, 2016
View Received Comments
See Also - Proposed Rule Release No. 33-9922
Federal Register version (80 FR 33589)
33-9776, 33-10231, 34-75002, IC-31610 S7-08-15 Investment Company Reporting Modernization
Comments Due: January 13, 2016
View Received Comments
See Also - Proposed Rule Release No. 33-9922
Federal Register version (80 FR 33589)
33-9776, 33-10231, 34-75002, IC-31610 S7-08-15 Investment Company Reporting Modernization
Comments Due: January 13, 2016
View Received Comments
See Also - Proposed Rule Release No. 33-9922
Federal Register version (80 FR 33589)
33-9776, 33-10231, 34-75002, IC-31610 S7-08-15 Investment Company Reporting Modernization
Comments Due: January 13, 2016
View Received Comments
See Also - Proposed Rule Release No. 33-9922
Federal Register version (80 FR 33589)
33-9776, 33-10231, 34-75002, IC-31610 S7-08-15 Investment Company Reporting Modernization
Comments Due: January 13, 2016
View Received Comments
See Also - Proposed Rule Release No. 33-9922
Federal Register version (80 FR 33589)
33-9776, 33-10231, 34-75002, IC-31610 S7-08-15 Investment Company Reporting Modernization
Comments Due: January 13, 2016
View Received Comments
See Also - Proposed Rule Release No. 33-9922
Federal Register version (80 FR 33589)
33-9776, 33-10231, 34-75002, IC-31610 S7-08-15 Investment Company Reporting Modernization
Comments Due: January 13, 2016
View Received Comments
See Also - Proposed Rule Release No. 33-9922
Federal Register version (80 FR 33589)
33-9776, 33-10231, 34-75002, IC-31610 S7-08-15 Investment Company Reporting Modernization
Comments Due: January 13, 2016
View Received Comments
See Also - Proposed Rule Release No. 33-9922
Federal Register version (80 FR 33589)
33-9776, 33-10231, 34-75002, IC-31610 S7-08-15 Investment Company Reporting Modernization
Comments Due: January 13, 2016
View Received Comments
See Also - Proposed Rule Release No. 33-9922
Federal Register version (80 FR 33589)
33-9776, 33-10231, 34-75002, IC-31610 S7-08-15 Investment Company Reporting Modernization
Comments Due: January 13, 2016
View Received Comments
See Also - Proposed Rule Release No. 33-9922
Federal Register version (80 FR 33589)
IA-4091 S7-09-15 Amendments to Form ADV and Investment Advisers Act Rules
Comments Due: August 11, 2015
View Received Comments
See Also - General Instructions, Instructions for Part 1A, Glossary of Terms, Part 1A
Federal Register version (80 FR 38050)
IA-4091 S7-09-15 Amendments to Form ADV and Investment Advisers Act Rules
Comments Due: August 11, 2015
View Received Comments
See Also - General Instructions, Instructions for Part 1A, Glossary of Terms, Part 1A
Federal Register version (80 FR 38050)
34-74834 S7-06-15 Application of Certain Title VII Requirements to 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
Comments Due: July 13, 2015
View Received Comments
Federal Register version (80 FR 27443)
34-74834 S7-06-15 Application of Certain Title VII Requirements to 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
Comments Due: July 13, 2015
View Received Comments
Federal Register version (80 FR 27443)
34-74835 S7-07-15 Pay Versus Performance
Comments Due: July 6, 2015
View Received Comments
Federal Register version (80 FR 26329)
34-74581 S7-05-15 Exemption for Certain Exchange Members
Comments Due: June 1, 2015
View Received Comments
Federal Register version (80 FR 18035)
34-74245 S7-34-10 Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Comments Due: May 4, 2015
View Received Comments
See Also - and Administrative Notice
Federal Register version (80 FR 14739)
34-74245 S7-03-15 Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Comments Due: May 4, 2015
View Received Comments
See Also - and Administrative Notice
Federal Register version (80 FR 14739)
34-74245 S7-03-15 Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Comments Due: May 4, 2015
View Received Comments
See Also - and Administrative Notice
Federal Register version (80 FR 14739)
33-9723, 34-74232, IC-31450 S7-01-15 Disclosure of Hedging by Employees, Officers and Directors
Comments Due: April 20, 2015
View Received Comments
Federal Register version (80 FR 8485)
33-9723, 34-74232, IC-31450 S7-01-15 Disclosure of Hedging by Employees, Officers and Directors
Comments Due: April 20, 2015
View Received Comments
Federal Register version (80 FR 8485)
33-9723, 34-74232, IC-31450 S7-01-15 Disclosure of Hedging by Employees, Officers and Directors
Comments Due: April 20, 2015
View Received Comments
Federal Register version (80 FR 8485)
33-9693, 34-73876, 33-10075A S7-12-14 Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the Jobs Act
Comments Due: March 2, 2015
View Received Comments
Federal Register version (79 FR 78343)
33-9693, 34-73876, 33-10075A S7-12-14 Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the Jobs Act
Comments Due: March 2, 2015
View Received Comments
Federal Register version (79 FR 78343)
33-9693, 34-73876, 33-10075A S7-12-14 Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the Jobs Act
Comments Due: March 2, 2015
View Received Comments
Federal Register version (79 FR 78343)
33-9693, 34-73876, 33-10075A S7-12-14 Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the Jobs Act
Comments Due: March 2, 2015
View Received Comments
Federal Register version (79 FR 78343)
33-9693, 34-73876, 33-10075A S7-12-14 Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the Jobs Act
Comments Due: March 2, 2015
View Received Comments
Federal Register version (79 FR 78343)
33-9693, 34-73876, 33-10075A S7-12-14 Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the Jobs Act
Comments Due: March 2, 2015
View Received Comments
Federal Register version (79 FR 78343)
33-9643 S7-09-14 Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
Comments Due: November 10, 2014
View Received Comments
Federal Register version (79 FR 54224)