Proposed

Release Number SEC Issue Date File Number Details
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 S7-03-15 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 S7-34-10 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)
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)
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)
IA-3893 S7-23-07 Temporary Rule Regarding Principal Trades With Certain Advisory Clients
Comments Due: September 17, 2014
View Received Comments
Federal Register version (79 FR 48709)
IA-3893 S7-23-07 Temporary Rule Regarding Principal Trades With Certain Advisory Clients
Comments Due: September 17, 2014
View Received Comments
Federal Register version (79 FR 48709)
IC-31184 S7-07-11 Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule
Comments Due: October 14, 2014
View Received Comments
See Also - Correction of IC-31184
Federal Register version (79 FR 47985)
IC-31184 S7-07-11 Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule
Comments Due: October 14, 2014
View Received Comments
See Also - Correction of IC-31184
Federal Register version (79 FR 47985)
IC-31184 S7-07-11 Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule
Comments Due: October 14, 2014
View Received Comments
See Also - Correction of IC-31184
Federal Register version (79 FR 47985)
34-72440 S7-07-14 Freedom of Information Act Regulations: Fee Schedule, Addition of Appeal Time Frame, and Miscellaneous Administrative Changes
Comments Due: July 28, 2014
View Received Comments
See Also - 34-75388.pdf
Federal Register version (79 FR 36443)
34-71958 S7-05-14 Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Capital Rule for Certain Security-Based Swap Dealers
Comments Due: July 1, 2014
View Received Comments
Federal Register version (79 FR 25193)
34-71958 S7-05-14 Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Capital Rule for Certain Security-Based Swap Dealers
Comments Due: July 1, 2014
View Received Comments
Federal Register version (79 FR 25193)
33-9570, 34-71861, IC-31004 S7-12-10 Investment Company Advertising: Target Date Retirement Fund Names and Marketing
Comments Due: June 9, 2014
View Received Comments
Federal Register version (79 FR 19564)
33-9570, 34-71861, IC-31004 S7-12-10 Investment Company Advertising: Target Date Retirement Fund Names and Marketing
Comments Due: June 9, 2014
View Received Comments
Federal Register version (79 FR 19564)
33-9570, 34-71861, IC-31004 S7-12-10 Investment Company Advertising: Target Date Retirement Fund Names and Marketing
Comments Due: June 9, 2014
View Received Comments
Federal Register version (79 FR 19564)
33-9568, 34-71830 S7-08-10 Extension of Comment Period for Asset-Backed Securities Release
Comments Due: April 28, 2014
View Received Comments
See Also - Proposed Rule Release Nos. 33-9552, 33-9244, and 33-9117
Federal Register version (79 FR 18483)
33-9568, 34-71830 S7-08-10 Extension of Comment Period for Asset-Backed Securities Release
Comments Due: April 28, 2014
View Received Comments
See Also - Proposed Rule Release Nos. 33-9552, 33-9244, and 33-9117
Federal Register version (79 FR 18483)
34-71699 S7-03-14 Standards for Covered Clearing Agencies
Comments Due: May 27, 2014
View Received Comments
Federal Register version (79 FR 29507)
34-71699 S7-03-14 Standards for Covered Clearing Agencies
Comments Due: May 27, 2014
View Received Comments
Federal Register version (79 FR 29507)
33-9552, 34-71611 S7-08-10 Re-Opening of Comment Period for Asset-Backed Securities Release
Comments Due: March 28, 2014
View Received Comments
See Also - 33-9244, and 33-9117
Federal Register version (79 FR 11361)
33-9552, 34-71611 S7-08-10 Re-Opening of Comment Period for Asset-Backed Securities Release
Comments Due: March 28, 2014
View Received Comments
See Also - 33-9244, and 33-9117
Federal Register version (79 FR 11361)
33-9497, 34-71120, 39-2493 S7-11-13 Proposed Rule Amendments for Small and Additional Issues Exemptions Under Section 3(b) of the Securities Act
Comments Due: March 24, 2014
View Received Comments
See Also - 33-9741.pdf
Federal Register version (79 FR 3925)
33-9497, 34-71120, 39-2493 S7-11-13 Proposed Rule Amendments for Small and Additional Issues Exemptions Under Section 3(b) of the Securities Act
Comments Due: March 24, 2014
View Received Comments
See Also - 33-9741.pdf
Federal Register version (79 FR 3925)
33-9497, 34-71120, 39-2493 S7-11-13 Proposed Rule Amendments for Small and Additional Issues Exemptions Under Section 3(b) of the Securities Act
Comments Due: March 24, 2014
View Received Comments
See Also - 33-9741.pdf
Federal Register version (79 FR 3925)
33-9470, 34-70741 S7-09-13 Crowdfunding
Comments Due: February 3, 2014
View Received Comments
Federal Register version (78 FR 66427)
33-9470, 34-70741 S7-09-13 Crowdfunding
Comments Due: February 3, 2014
View Received Comments
Federal Register version (78 FR 66427)
33-9470, 34-70741 S7-09-13 Crowdfunding
Comments Due: February 3, 2014
View Received Comments
Federal Register version (78 FR 66427)
33-9470, 34-70741 S7-09-13 Crowdfunding
Comments Due: February 3, 2014
View Received Comments
Federal Register version (78 FR 66427)
33-9458, 34-70538, IC-30737 S7-06-13 Amendments to Regulation D, Form D and Rule 156; Re-Opening of Comment Period
Comments Due: November 4, 2013
View Received Comments
See Also - 2009-2012
Federal Register version (78 FR 61222)
33-9458, 34-70538, IC-30737 S7-06-13 Amendments to Regulation D, Form D and Rule 156; Re-Opening of Comment Period
Comments Due: November 4, 2013
View Received Comments
See Also - 2009-2012
Federal Register version (78 FR 61222)
33-9458, 34-70538, IC-30737 S7-06-13 Amendments to Regulation D, Form D and Rule 156; Re-Opening of Comment Period
Comments Due: November 4, 2013
View Received Comments
See Also - 2009-2012
Federal Register version (78 FR 61222)
33-9452, 34-70443 S7-07-13 Pay Ratio Disclosure
Comments Due: December 2, 2013
View Received Comments
See Also - 33-9877.pdf
Federal Register version (78 FR 60559)
33-9452, 34-70443 S7-07-13 Pay Ratio Disclosure
Comments Due: December 2, 2013
View Received Comments
See Also - 33-9877.pdf
Federal Register version (78 FR 60559)
34-70277 S7-14-11 Credit Risk Retention
Comments Due: October 30, 2013
View Received Comments
See Also - 34-64603, Credit Risk Retention
Federal Register version (78 FR 57927)
33-9416, 34-69960, IC-30595 S7-06-13 Amendments to Regulation D, Form D and Rule 156
Comments Due: September 23, 2013
View Received Comments
See Also - 2009-2012
Federal Register version (78 FR 44806)
33-9416, 34-69960, IC-30595 S7-06-13 Amendments to Regulation D, Form D and Rule 156
Comments Due: September 23, 2013
View Received Comments
See Also - 2009-2012
Federal Register version (78 FR 44806)
33-9416, 34-69960, IC-30595 S7-06-13 Amendments to Regulation D, Form D and Rule 156
Comments Due: September 23, 2013
View Received Comments
See Also - 2009-2012
Federal Register version (78 FR 44806)
33-9408, IA-3616, IC-30551 S7-03-13 Money Market Fund Reform; Amendments to Form PF
Comments Due: September 17, 2013
View Received Comments
Federal Register version (78 FR 36833)
33-9408, IA-3616, IC-30551 S7-03-13 Money Market Fund Reform; Amendments to Form PF
Comments Due: September 17, 2013
View Received Comments
Federal Register version (78 FR 36833)
33-9408, IA-3616, IC-30551 S7-03-13 Money Market Fund Reform; Amendments to Form PF
Comments Due: September 17, 2013
View Received Comments
Federal Register version (78 FR 36833)
33-9408, IA-3616, IC-30551 S7-03-13 Money Market Fund Reform; Amendments to Form PF
Comments Due: September 17, 2013
View Received Comments
Federal Register version (78 FR 36833)
33-9408, IA-3616, IC-30551 S7-03-13 Money Market Fund Reform; Amendments to Form PF
Comments Due: September 17, 2013
View Received Comments
Federal Register version (78 FR 36833)
33-9408, IA-3616, IC-30551 S7-03-13 Money Market Fund Reform; Amendments to Form PF
Comments Due: September 17, 2013
View Received Comments
Federal Register version (78 FR 36833)