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Release Number	SEC Issue Date	File Number	Details
33-9643	Sept. 8, 2014	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	Aug. 12, 2014	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	Aug. 12, 2014	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	July 23, 2014	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	July 23, 2014	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	July 23, 2014	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	June 20, 2014	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	April 17, 2014	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	April 17, 2014	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 Submit a Comment on S7-05-14 Federal Register version (79 FR 25193)
33-9570, 34-71861, IC-31004	April 3, 2014	S7-12-10	Investment Company Advertising: Target Date Retirement Fund Names and Marketing *Comments Due:* June 9, 2014 View Received Comments Submit a Comment on S7-12-10 Federal Register version (79 FR 19564)
33-9570, 34-71861, IC-31004	April 3, 2014	S7-12-10	Investment Company Advertising: Target Date Retirement Fund Names and Marketing *Comments Due:* June 9, 2014 View Received Comments Submit a Comment on S7-12-10 Federal Register version (79 FR 19564)
33-9570, 34-71861, IC-31004	April 3, 2014	S7-12-10	Investment Company Advertising: Target Date Retirement Fund Names and Marketing *Comments Due:* June 9, 2014 View Received Comments Submit a Comment on S7-12-10 Federal Register version (79 FR 19564)
33-9568, 34-71830	March 28, 2014	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	March 28, 2014	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	March 12, 2014	S7-03-14	Standards for Covered Clearing Agencies *Comments Due:* May 27, 2014 View Received Comments Federal Register version (79 FR 29507)
34-71699	March 12, 2014	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	Feb. 25, 2014	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	Feb. 25, 2014	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	Dec. 18, 2013	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	Dec. 18, 2013	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	Dec. 18, 2013	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	Oct. 23, 2013	S7-09-13	Crowdfunding *Comments Due:* February 3, 2014 View Received Comments Federal Register version (78 FR 66427)
33-9470, 34-70741	Oct. 23, 2013	S7-09-13	Crowdfunding *Comments Due:* February 3, 2014 View Received Comments Federal Register version (78 FR 66427)
33-9470, 34-70741	Oct. 23, 2013	S7-09-13	Crowdfunding *Comments Due:* February 3, 2014 View Received Comments Federal Register version (78 FR 66427)
33-9470, 34-70741	Oct. 23, 2013	S7-09-13	Crowdfunding *Comments Due:* February 3, 2014 View Received Comments Federal Register version (78 FR 66427)
33-9458, 34-70538, IC-30737	Sept. 27, 2013	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 Submit a Comment on S7-06-13 Federal Register version (78 FR 61222)
33-9458, 34-70538, IC-30737	Sept. 27, 2013	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 Submit a Comment on S7-06-13 Federal Register version (78 FR 61222)
33-9458, 34-70538, IC-30737	Sept. 27, 2013	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 Submit a Comment on S7-06-13 Federal Register version (78 FR 61222)
33-9452, 34-70443	Sept. 18, 2013	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	Sept. 18, 2013	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	Aug. 28, 2013	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	July 10, 2013	S7-06-13	Amendments to Regulation D, Form D and Rule 156 *Comments Due:* September 23, 2013 View Received Comments See Also - 2009-2012 Submit a Comment on S7-06-13 Federal Register version (78 FR 44806)
33-9416, 34-69960, IC-30595	July 10, 2013	S7-06-13	Amendments to Regulation D, Form D and Rule 156 *Comments Due:* September 23, 2013 View Received Comments See Also - 2009-2012 Submit a Comment on S7-06-13 Federal Register version (78 FR 44806)
33-9416, 34-69960, IC-30595	July 10, 2013	S7-06-13	Amendments to Regulation D, Form D and Rule 156 *Comments Due:* September 23, 2013 View Received Comments See Also - 2009-2012 Submit a Comment on S7-06-13 Federal Register version (78 FR 44806)
33-9408, IA-3616, IC-30551	June 5, 2013	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	June 5, 2013	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	June 5, 2013	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	June 5, 2013	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	June 5, 2013	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	June 5, 2013	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)
34-69606	May 20, 2013	S7-01-13	Regulation Systems Compliance and Integrity *Comments Due:* July 8, 2013 View Received Comments See Also - Staff Guidance on Current SCI Industry Standards, Proposed Rule Release No. 34-69077 Federal Register version (78 FR 30803)
34-69490	May 1, 2013	S7-02-13	Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and Forms Relating to the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants File Nos.: S7-02-13, S7-34-10, S7-40-11 *Comments Due:* August 21, 2013 View Received Comments See Also - Proposed Rule Release No. 34-69490, Proposed Rule Release No. 34-69490, Proposed Rule Release No. 34-69490, Proposed Rule Release No. 34-69490, 34-63346, 34-65543 Federal Register version (78 FR 30967)
34-69490	May 1, 2013	S7-34-10	Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and Forms Relating to the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants File Nos.: S7-02-13, S7-34-10, S7-40-11 *Comments Due:* August 21, 2013 View Received Comments See Also - Proposed Rule Release No. 34-69490, Proposed Rule Release No. 34-69490, Proposed Rule Release No. 34-69490, Proposed Rule Release No. 34-69490, 34-63346, 34-65543 Federal Register version (78 FR 30967)
34-69491	May 1, 2013	S7-34-10	Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: S7-27-10, S7-32-10, S7-34-10, S7-35-10, S7-43-10, S7-03-11, S7-06-11, S7-08-11, S7-25-11, S7-40-11, S7-05-12, S7-08-12 *Comments Due:* July 22, 2013 View Received Comments Federal Register version (78 FR 30800)
34-69491	May 1, 2013	S7-35-10	Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: S7-27-10, S7-32-10, S7-34-10, S7-35-10, S7-43-10, S7-03-11, S7-06-11, S7-08-11, S7-25-11, S7-40-11, S7-05-12, S7-08-12 *Comments Due:* July 22, 2013 View Received Comments Federal Register version (78 FR 30800)
34-69491	May 1, 2013	S7-40-11	Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: S7-27-10, S7-32-10, S7-34-10, S7-35-10, S7-43-10, S7-03-11, S7-06-11, S7-08-11, S7-25-11, S7-40-11, S7-05-12, S7-08-12 *Comments Due:* July 22, 2013 View Received Comments Federal Register version (78 FR 30800)
34-69491	May 1, 2013	S7-25-11	Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: S7-27-10, S7-32-10, S7-34-10, S7-35-10, S7-43-10, S7-03-11, S7-06-11, S7-08-11, S7-25-11, S7-40-11, S7-05-12, S7-08-12 *Comments Due:* July 22, 2013 View Received Comments Federal Register version (78 FR 30800)
34-69491	May 1, 2013	S7-03-11	Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: S7-27-10, S7-32-10, S7-34-10, S7-35-10, S7-43-10, S7-03-11, S7-06-11, S7-08-11, S7-25-11, S7-40-11, S7-05-12, S7-08-12 *Comments Due:* July 22, 2013 View Received Comments Federal Register version (78 FR 30800)
34-69491	May 1, 2013	S7-08-12	Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: S7-27-10, S7-32-10, S7-34-10, S7-35-10, S7-43-10, S7-03-11, S7-06-11, S7-08-11, S7-25-11, S7-40-11, S7-05-12, S7-08-12 *Comments Due:* July 22, 2013 Federal Register version (78 FR 30800)
34-69491	May 1, 2013	S7-08-11	Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: S7-27-10, S7-32-10, S7-34-10, S7-35-10, S7-43-10, S7-03-11, S7-06-11, S7-08-11, S7-25-11, S7-40-11, S7-05-12, S7-08-12 *Comments Due:* July 22, 2013 View Received Comments Federal Register version (78 FR 30800)
34-69491	May 1, 2013	S7-27-10	Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: S7-27-10, S7-32-10, S7-34-10, S7-35-10, S7-43-10, S7-03-11, S7-06-11, S7-08-11, S7-25-11, S7-40-11, S7-05-12, S7-08-12 *Comments Due:* July 22, 2013 View Received Comments Submit a Comment on S7-27-10 Federal Register version (78 FR 30800)
34-69491	May 1, 2013	S7-32-10	Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: S7-27-10, S7-32-10, S7-34-10, S7-35-10, S7-43-10, S7-03-11, S7-06-11, S7-08-11, S7-25-11, S7-40-11, S7-05-12, S7-08-12 *Comments Due:* July 22, 2013 View Received Comments Federal Register version (78 FR 30800)
34-69491	May 1, 2013	S7-34-10	Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: S7-27-10, S7-32-10, S7-34-10, S7-35-10, S7-43-10, S7-03-11, S7-06-11, S7-08-11, S7-25-11, S7-40-11, S7-05-12, S7-08-12 *Comments Due:* July 22, 2013 View Received Comments Federal Register version (78 FR 30800)
34-69491	May 1, 2013	S7-43-10	Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: S7-27-10, S7-32-10, S7-34-10, S7-35-10, S7-43-10, S7-03-11, S7-06-11, S7-08-11, S7-25-11, S7-40-11, S7-05-12, S7-08-12 *Comments Due:* July 22, 2013 View Received Comments Submit a Comment on S7-43-10 Federal Register version (78 FR 30800)
34-69491	May 1, 2013	S7-03-11	Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: S7-27-10, S7-32-10, S7-34-10, S7-35-10, S7-43-10, S7-03-11, S7-06-11, S7-08-11, S7-25-11, S7-40-11, S7-05-12, S7-08-12 *Comments Due:* July 22, 2013 View Received Comments Federal Register version (78 FR 30800)
34-69491	May 1, 2013	S7-06-11	Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: S7-27-10, S7-32-10, S7-34-10, S7-35-10, S7-43-10, S7-03-11, S7-06-11, S7-08-11, S7-25-11, S7-40-11, S7-05-12, S7-08-12 *Comments Due:* July 22, 2013 View Received Comments Submit a Comment on S7-06-11 Federal Register version (78 FR 30800)
34-69491	May 1, 2013	S7-08-12	Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: S7-27-10, S7-32-10, S7-34-10, S7-35-10, S7-43-10, S7-03-11, S7-06-11, S7-08-11, S7-25-11, S7-40-11, S7-05-12, S7-08-12 *Comments Due:* July 22, 2013 View Received Comments Submit a Comment on S7-08-12 Federal Register version (78 FR 30800)
34-69491	May 1, 2013	S7-27-10	Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: S7-27-10, S7-32-10, S7-34-10, S7-35-10, S7-43-10, S7-03-11, S7-06-11, S7-08-11, S7-25-11, S7-40-11, S7-05-12, S7-08-12 *Comments Due:* July 22, 2013 Submit a Comment on S7-27-10 Federal Register version (78 FR 30800)
34-69491	May 1, 2013	S7-32-10	Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act File Nos.: S7-27-10, S7-32-10, S7-34-10, S7-35-10, S7-43-10, S7-03-11, S7-06-11, S7-08-11, S7-25-11, S7-40-11, S7-05-12, S7-08-12 *Comments Due:* July 22, 2013 View Received Comments Federal Register version (78 FR 30800)
34-69077	March 8, 2013	S7-01-13	Regulation Systems Compliance and Integrity *Comments Due:* May 24, 2013 View Received Comments See Also - Staff Guidance on Current SCI Industry Standards Federal Register version (78 FR 18083)
34-68660	Jan. 15, 2013	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:* 60 days from publication of 34-69491 View Received Comments See Also - Proposed Rule Release Nos. 34-69491, Release No. 34-68071 Federal Register version (78 FR 4365)
34-68071	Oct. 18, 2012	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:* 60 days from publication of 34-69491 View Received Comments See Also - Proposed Rule Release Nos. 34-69491, Release No. 34-68071A.pdf Federal Register version (77 FR 71369)
34-68071	Oct. 18, 2012	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:* 60 days from publication of 34-69491 View Received Comments See Also - Proposed Rule Release Nos. 34-69491, Release No. 34-68071A.pdf Submit a Comment on S7-08-12 Federal Register version (77 FR 71369)
IA-3483	Oct. 9, 2012	S7-23-07	Temporary Rule Regarding Principal Trades With Certain Advisory Clients *Comments Due:* 30 days after the date of publication in the Federal Register View Received Comments See Also - Proposed Rule Release No. IA-3118, Small Entity Compliance Guide Federal Register version (77 FR 62185)
33-9354	Aug. 29, 2012	S7-07-12	Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings *Comments Due:* October 5, 2012 View Received Comments Federal Register version (77 FR 54464)
33-9354	Aug. 29, 2012	S7-07-12	Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings *Comments Due:* October 5, 2012 View Received Comments Submit a Comment on S7-07-12 Federal Register version (77 FR 54464)
34-66910	May 3, 2012	S7-08-07	Amendments to Financial Responsibility Rules for Broker-Dealers *Comments Due:* June 8, 2012 View Received Comments See Also - Proposed Rule Release Nos. 34-55431 Federal Register version (77 FR 27150)
33-9309, 33-9570	April 3, 2012	S7-12-10	Investment Company Advertising: Target Date Retirement Fund Names and Marketing *Comments Due:* May 21, 2012 View Received Comments Submit a Comment on S7-12-10 Federal Register version (77 FR 20749)
33-9309, 33-9570	April 3, 2012	S7-12-10	Investment Company Advertising: Target Date Retirement Fund Names and Marketing *Comments Due:* May 21, 2012 View Received Comments Submit a Comment on S7-12-10 Federal Register version (77 FR 20749)
IC-29969	Feb. 27, 2012	S7-02-12	Identity Theft Red Flags Rules *Comments Due:* May 7, 2012 View Received Comments Federal Register version (77 FR 13449)
IC-29969	Feb. 27, 2012	S7-02-12	Identity Theft Red Flags Rules *Comments Due:* May 7, 2012 View Received Comments Federal Register version (77 FR 13449)
34-66057	Dec. 23, 2011	S7-41-11	Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds *Comments Due:* February 13, 2012 View Received Comments See Also - 34-65545 Federal Register version (77 FR 23)
34-66057	Dec. 23, 2011	S7-41-11	Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds *Comments Due:* February 13, 2012 View Received Comments See Also - 34-65545 Submit a Comment on S7-41-11 Federal Register version (77 FR 23)
34-66058	Dec. 23, 2011	S7-38-11	Prohibition Against Conflicts of Interest in Certain Securitizations *Comments Due:* February 13, 2012 View Received Comments Submit a Comment on S7-38-11 Federal Register version (77 FR 24)
34-65942	Dec. 13, 2011	S7-38-11	Prohibition Against Conflicts of Interest in Certain Securitizations *Comments Due:* January 13, 2012 View Received Comments Submit a Comment on S7-38-11 Federal Register version (76 FR 78181)
34-65543	Oct. 12, 2011	S7-07-13	Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants *Comments Due:* 60 days from publication of 34-69491 View Received Comments See Also - Proposed Rule Release Nos. 34-69491, Form SBSE, Form SBSE-A, Form SBSE-BD, Form SBSE-C, Form SBSE-W, 34-75611.pdf, Security-Based Swaps Implementation Policy Statement Federal Register version (76 FR 65783) Note: Form SBSE ; Form SBSE-A ; Form SBSE-BD ; Form SBSE-C ; Form SBSE-W See also: Final Rule Release No. 34-75611 ; Security-Based Swaps Implementation Policy Statement
34-65543	Oct. 12, 2011	S7-40-11	Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants *Comments Due:* 60 days from publication of 34-69491 View Received Comments See Also - Proposed Rule Release Nos. 34-69491, Form SBSE, Form SBSE-A, Form SBSE-BD, Form SBSE-C, Form SBSE-W, 34-75611.pdf, Security-Based Swaps Implementation Policy Statement Federal Register version (76 FR 65783) Note: Form SBSE ; Form SBSE-A ; Form SBSE-BD ; Form SBSE-C ; Form SBSE-W See also: Final Rule Release No. 34-75611 ; Security-Based Swaps Implementation Policy Statement
34-65545	Oct. 12, 2011	S7-41-11	Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds *Comments Due:* January 13, 2012 View Received Comments See Also - Proposed Rule Release Nos. 34-66057 Federal Register version (76 FR 68846)
34-65545	Oct. 12, 2011	S7-41-11	Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds *Comments Due:* January 13, 2012 View Received Comments See Also - Proposed Rule Release Nos. 34-66057 Submit a Comment on S7-41-11 Federal Register version (76 FR 68846)
34-65355	Sept. 19, 2011	S7-38-11	Prohibition Against Conflicts of Interest in Certain Securitizations *Comments Due:* December 19, 2011 View Received Comments See Also - S7-38-11 Federal Register version Submit a Comment on S7-38-11 Federal Register version (76 FR 60319)
33-9251	Aug. 8, 2011	S7-31-11	Covered Securities Pursuant to Section 18 of the Securities Act of 1933 *Comments Due:* September 12, 2011 View Received Comments See Also - 2011 Federal Register version, 33-9295.pdf Federal Register version (76 FR 49698)
33-9244, 34-64968	July 26, 2011	S7-08-10	Re-Proposal of Shelf Eligibility Conditions for Asset-Backed Securities *Comments Due:* October 4, 2011 View Received Comments See Also - 2011 Federal Register version, and 33-9117 Federal Register version (76 FR 47947)
33-9244, 34-64968	July 26, 2011	S7-08-10	Re-Proposal of Shelf Eligibility Conditions for Asset-Backed Securities *Comments Due:* October 4, 2011 View Received Comments See Also - 2011 Federal Register version, and 33-9117 Federal Register version (76 FR 47947)
34-64766	June 29, 2011	S7-25-11	Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants *Comments Due:* 60 days from publication of 34-69491 View Received Comments See Also - Proposed Rule Release Nos. 34-69491, Federal Register version, 34-77617.pdf, Security-Based Swaps Implementation Policy Statement Federal Register version (76 FR 46668)
34-64676	June 15, 2011	S7-23-11	Broker-Dealer Reports *Comments Due:* August 26, 2011 View Received Comments See Also - 2011 Federal Register version Federal Register version (76 FR 37571)
34-64676	June 15, 2011	S7-23-11	Broker-Dealer Reports *Comments Due:* August 26, 2011 View Received Comments See Also - 2011 Federal Register version Submit a Comment on S7-23-11 Federal Register version (76 FR 37571)
33-9222	June 9, 2011	S7-22-11	Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies *Comments Due:* July 25, 2011 View Received Comments See Also - 2011 Federal Register version, 33-9308.pdf Federal Register version (76 FR 34920)
34-64603	June 6, 2011	S7-14-11	Credit Risk Retention *Comments Due:* August 1, 2011 View Received Comments See Also - 2011 Federal Register version, Credit Risk Retention Federal Register version (76 FR 34010)
33-9204A, 34-64372A	June 1, 2011	S7-16-11	Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping See Also - S7-16-11 Federal Register version, Proposed Rule Release No. 33-9204 Federal Register version (76 FR 32880)
33-9204A, 34-64372A	June 1, 2011	S7-16-11	Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping See Also - S7-16-11 Federal Register version, Proposed Rule Release No. 33-9204 Federal Register version (76 FR 32880)
33-9211	May 25, 2011	S7-21-11	Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings *Comments Due:* July 14, 2011 View Received Comments See Also - 2011 Federal Register version Federal Register version (76 FR 31518)
33-9211	May 25, 2011	S7-21-11	Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings *Comments Due:* July 14, 2011 View Received Comments See Also - 2011 Federal Register version Submit a Comment on S7-21-11 Federal Register version (76 FR 31518)
34-64514	May 18, 2011	S7-18-11	Nationally Recognized Statistical Rating Organizations *Comments Due:* August 8, 2011 View Received Comments See Also - 2011 Federal Register version, 34-72936.pdf Federal Register version (76 FR 33419)
PA-45	May 18, 2011	S7-19-11	Privacy Act of 1974: Implementation and Amendment of Exemptions *Comments Due:* June 23, 2011 View Received Comments See Also - 2011 Federal Register version, pa-47.pdf Federal Register version (76 FR 30048)
IA-3198	May 10, 2011	S7-17-11	Investment Adviser Performance Compensation *Comments Due:* July 11, 2011 View Received Comments See Also - 2011 Federal Register version, ia-3372.pdf Federal Register version (76 FR 27959)
33-9203, 34-64366	April 29, 2011	S7-13-11	Listing Standards for Compensation Committees *Comments Due:* May 19, 2011 View Received Comments See Also - 2011 Federal Register version, and 33-9199, 33-9330.pdf Federal Register version (76 FR 25273)
33-9204	April 29, 2011	S7-16-11	Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping Federal Register version (76 FR 29817)
33-9204	April 29, 2011	S7-16-11	Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping Federal Register version (76 FR 29817)
33-9203, 34-64366	April 29, 2011	S7-13-11	Listing Standards for Compensation Committees *Comments Due:* May 19, 2011 View Received Comments See Also - 2011 Federal Register version, and 33-9199, 33-9330.pdf Federal Register version (76 FR 25273)
34-64352	April 27, 2011	S7-15-11	Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 *Comments Due:* July 5, 2011 View Received Comments See Also - 2011 Federal Register version Federal Register version (76 FR 26549)