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Release Number SEC Issue Date File Number Details
4-892 4-892 Rulemaking Petition in re Proposed Amendments to Securities Act Rules 163B and 169 to Harmonize IPO Communication Rules with Reg Crowdfunding and Reg A+ Extending Retail “Testing the Waters” Provisions to IPOs
See Also - Restoring Capital Formation, Letter to Senate Banking Committee
petn4-891 4-891 Petition for Rulemaking Regarding Materially Misleading Investment Fund Disclosures and Systematic False Form 1099-DIV Reporting
4-890 4-890 Petition for rulemaking for a Conditional Exemption from the Broker Registration Requirements of Section 15(a) of the Exchange Act for Certain Activities of Finders
petn4-899 4-889 Rulemaking petition to modernize SEC Regulation Crowdfunding (“Reg CF”)
petn4-888 4-888 Rulemaking petition to amend SEC rule 15c2-11 so that trusts, including royalty trusts, are provided an exemption to this rule
4-882 4-882 Petition for Rulemaking to Mandate AI Governance and Risk Management Disclosure in Public Filings
View Received Comments
4-879 4-879 Rulemaking petition urging the Commission to develop rules under the Holding Foreign Insiders Accountable Act (HFIAA) to provide investors insider-trading transparency at foreign firms by eliminating the Section 16(a) exemption for foreign private issuers
4-878 4-878 Petition for Rulemaking to Amend CAT NMS Plan to Direct Proper Use of CAT LLC Reserve
See Also - Letter from the Deputy Secretary to Stephen John Berger, Citadel Securities, LLC, dated February 18, 2026
4-885 4-885 Petition for Agency Action Under SEC Rule 192
View Received Comments
4-884 4-884 Petition for Agency Action Under SEC Rule 192
View Received Comments
4-886 4-886 Rulemaking petition to require minimum corporate-action accuracy standards for market-data vendors and charting platforms.
petn4-875 4-875 Rulemaking petition to Redefine Fiduciary Standards and Modernize Margin Notice Practices Among Retail Broker-Dealers (FINRA Rules 2264 and 4210)
4-876 4-876 Rulemaking petition to narrowly tailor supervisory action within the SEC’s statutory responsibilities under Sections 19(b), 19(c), 19(d), and 19(g) of the Securities Exchange Act of 1934 relating to oversight of self-regulatory organizations (SROs)...
View Received Comments
petn4-881 4-881 Petition for Rulemaking to Amend Rule 17g-5 under the Exchange Act
petn4-874 4-874 Petition for Rulemaking to Establish a Family Investment License
4-873 4-873 Petition for rulemaking to Close Loopholes Abused for Naked Shorting (CLANS)
4-872 4-872 Petition for Rulemaking to Amend Quarterly Reporting Requirements Under Securities Exchange Act of 1934
View Received Comments
4-871 4-871 Petition for Rulemaking to Amend the Accredited Investor Definition in Rule 501(a) of SEC Regulation D.
4-870 4-870 Petition for Rulemaking to Amend Rule 3c-5 under the Investment Company Act of 1940 to Expand the Category of Employees Qualifying as “Knowledgeable Employees”
4-869 4-869 Petition for rulemaking to amend Rule 105 of SEC Regulation M
4-868 4-868 Petition for rulemaking to reform the U.S. substantial shareholder disclosure framework under Exchange Act Section 13(d) and Rule 13d-1 thereunder
See Also - Supplemental Submission
4-867 4-867 Petition for rulemaking to outline a policy framework for modernizing cross-border settlement and liquidity management using programmable rails, with the goal of reducing systemic risk, lowering costs for market participants, and improving transparency...
4-865 4-865 Petition for rulemaking to Close Loopholes Abused for Naked Shorting
4-866 4-866 Petition for rulemaking to modernize FINRA Rule 4210 the Pattern Day Trading rule
View Received Comments
4-864 4-864 Petition for rulemaking to change or eliminate the Pattern Day Trading rule
View Received Comments
4-863 4-863 Petition for rulemaking to Promulgate a Rule for Enforcement in Federal District Court of Actions Commenced by FINRA
4-860 4-860 Petition for rulemaking to reinstate proposed Item 407(J) of Regulation S-K requiring director cybersecurity expertise disclosure
4-859 4-859 Petition for rulemaking To Promulgate Regulations Prohibiting Proxy Voting Recommendations Based on Race, Ethnicity, and Sex
4-857 4-857 Petition for Rulemaking concerning public company consent for inclusion in specific categories of Exchange-Traded Funds (ETFs).
4-856 4-856 Joint Petition for Rulemaking to Amend the SEC Cybersecurity Risk Management, Strategy Governance & Incident Disclosure rule to rescind Form 8-K, Item 1.05 and Form 6-K requirements
View Received Comments
4-853 4-853 Joint Petition for Rulemaking to adopt certain changes to the CAT NMS Plan
View Received Comments
4-852 4-852 Petition for Rulemaking to explore the feasibility of implementation of a T+0 securities transaction settlement cycle
pet4-877 4-877 Petition to Amend Rules 13f-1 and 14Ad-1 Under the Securities Exchange Act of 1934
pet4-877 4-831 Petition to Amend Rules 13f-1 and 14Ad-1 Under the Securities Exchange Act of 1934
pet4-877 4-838 Petition to Amend Rules 13f-1 and 14Ad-1 Under the Securities Exchange Act of 1934
4-851 4-851 Petition for Rulemaking to Enhance Oversight and Enforcement Against Corporate Embezzlement by Public Company Executives
petn4-849 4-849 Petition for Rulemaking to Amend Rule 3(a)(10) of the Securities Act of 1933
petn4-848 4-848 Petition for Rulemaking to amend Reg SHO to require pre-borrows for all short sales, impose fees for Fails To Deliver and eliminate market maker exceptions
View Received Comments
petn4-847 4-847 Petition for Rulemaking to clarify SEC's regulations on trading by individual investors who publicly comment on securities
4-846 4-846 Petition for Rulemaking to reduce advisers’ perceived liability for voting client proxies.
4-842 4-842 Petitions for Rulemaking: Amend Clearing Agency Rules for Consistent Close Outs
View Received Comments
4-843 4-843 Petition for Rulemaking to immediately revise the Consolidated Audit Trail (CAT) structure, governance and funding so that this essential tool may better protect the stability and integrity of the US capital markets.
petn4-841 4-841 Petition for Rulemaking to Prohibit the Dissemination and Private Dissemination of Arbitrary Risk Warnings by Market Participants
petn4-840 4-840 Petition for Rulemaking to Permit the Dissemination of Quotations for Securities Traded on the Expert Tier of the U.S. OTC Market to Qualified Investors and Professionals
petn4-839 4-839 Petition for Rulemaking to Establish a Minimum Trading Increment of $5.00 USD for U.S. OTC Equities to Enhance Market Integrity
4-837 4-837 Petition for Rulemaking to Allow FINRA to Issue Stock Symbols Without Requiring a Market Maker to File a Form 211 or the Company to be Reporting or Registered.
petn4-836 4-836 Petition for rulemaking to Extend Margin Eligibility to OTC Traded Securities and Small Cap and Microcap Issuers
petn4-834 4-834 Petition for rulemaking for the creation of a FINRA clearing and execution firm for microcap, small cap, and OTC issuers’ securities.
petn-4-835 4-835 Petition for rulemaking to Require Disclosure of Tax-Relevant Information for Each Country
petn4-833 4-833 Petition for rulemaking to reopen the OTC Bulletin Board
petn4-832 4-832 Petition for rulemaking to extend Proprietary broker-dealer quotations to OTC-traded securities upon regaining compliance with reporting obligations.
petn4-830 4-830 Petition for Rulemaking to Prohibit National Securities Exchanges from Listing High-Risk Penny Stocks and Mandate Certain Issuer Disclosures to Facilitate Their Risk Assessment
View Received Comments
petn4-829 4-829 Petition for rulemaking or guidance regarding calculation of short-swing profits under Section 16(b) of the Securities and Exchange Act of 1934
petn4-828 4-828 Petition for transparency in Obligation Warehouse data operated by the National Securities Clearing Corporation
petn4-827 4-827 Petition to Reduce Inequality in the Stock Market By Mandating Fair and Reasonable Dividends
4-826 4-826 Petition to initiate a rulemaking to create a “pre-date” period for certain microcaps which potentially will effect reverse stock splits
4-825 4-825 Petition to initiate rulemaking to modernize Section 13(f) disclosure rules by reducing the 45-day filing period to no more than five business days to improve the utility of 13F filings for market participants and increase investor confidence
View Received Comments
4-824 4-824 Petition to initiate a rulemaking to protect investors’ rights under Section 11 of the Securities Act of 1933 (Section 11) by endorsing and requiring technological solutions to facilitate the tracing of shares sold into the marketplace by direct listings
View Received Comments
4-823 4-823 Petition for Modification of Definition for Accredited Investors
4-822 4-822 Proposal to Amend the Pattern Day Trading Rule
petn4-819 4-819 Rulemaking Petition To Amend the Pattern Day Trading Rule
4-816 4-816 Petition for Rulemaking to amend Instruction 2 to the definition of “smaller reporting company” in Rule 12b-2 under the Securities Exchange Act of 1934
4-821 4-821 Rulemaking petition to require certain communications with whistleblowers and their counsel
petn4-812 4-812 Amendment to Rules 21F-10(d) and 21F-11(d) of the SEC’s Whistleblower rules
4-813 4-813 Request that the Commission develop rules to require public companies operating in the retail sector that are involved in selling tobacco products to disclose revenue from the sale of products that contain tobacco.
petn4-811 4-811 Rulemaking petition to amend Rule 0-7 under the Investment Advisers Act of 1940, which defines a small entity for purposes of the Regulatory Flexibility Act of 1980
View Received Comments
4-814 4-814 Request that the Commission amend Rules 14b-1-2 regarding obligations of registered entities that exercise fiduciary powers regarding communications to beneficial owners and provision of beneficial owner information to registrants
See Also - Related Rulemaking Petition from Ashley Mair, Related Rulemaking Petition from Paul Swift III, Related Rulemaking Petition from James Carroll, Related Rulemaking Petition from Kevin Lau, Related Rulemaking Petition from Erik Alvarenga, Related Rulemaking Petition from Jørgen Mikkelsen
petn4-810 4-810 Proposal to REPEAL Approved Rule SR-NSCC-2010-11
View Received Comments
petn4-807 4-807 Proposal to the Amend Pattern Day Trading (PDT) Rule.
petn4-808 4-808 Rulemaking Petition to modify Rule 13f-1 to shorten the Form 13F filing deadline
petn4-806 4-806 Rulemaking Petition to prohibit payment for order flow
4-805 4-805 Rulemaking Petition to ensure protection from prohibited personnel practices
4-804 4-804 Rulemaking Petition to amend Rules 144A(a) of the Securities Act of 1933 and 2a51-1(g) of the Investment Company Act of 1940.
4-803 4-803 Rulemaking Petition to mitigate the risks of short selling by closing a loophole in Rule 200 of Regulation SHO.
4-815 4-815 Rulemaking Petition to allow Inline XBRL format for Resource Extraction data
4-801 4-801 Rulemaking Petition for the modernization of Rule 144
View Received Comments
4-802 4-802 Rulemaking Petition for modification of the M&A Broker Exemptions provision of the Consolidated Appropriations Act
petn4-817 4-817 Rulemaking petition for modification of the dollar threshold figures defining an M&A broker
See Also - Related Rulemaking Petition of Cabin Securities, Related Rulemaking Petition of Great Point Capital Advisors
4-800 4-800 Rulemaking Petition for modification of the dollar threshold figures defining an M&A broker eligible for exemption from registration
4-799, AAER-3857 4-799 Rulemaking Petition for Policy Clarification on Credit Rating Agencies
View Received Comments
4-799, AAER-3857 4-799 Rulemaking Petition for Policy Clarification on Credit Rating Agencies
View Received Comments
4-798, AAER-3845 4-798 Rulemaking petition to strengthen insider trading reporting requirements and increase penalties for insider trading.
4-798, AAER-3845 4-798 Rulemaking petition to strengthen insider trading reporting requirements and increase penalties for insider trading.
4-797, AAER-3840 4-797 Rulemaking petition to change the stock halt rule.
4-797, AAER-3840 4-797 Rulemaking petition to change the stock halt rule.
4-795 4-795 Rulemaking petition to amend Rule 15c2-11 to expressly exempt from Rule 15c2-11 fixed-income securities that satisfy the requirements of Rule 144A; or, in the alternative, expressly exempt Rule 144A securities from Rule 15c2-11 pursuant to the exemptive authority set forth in Rule 15c2-11(g).
View Received Comments
4-796, AAER-3835 4-796 Rulemaking petition to reduce the diversity, equity, and inclusion ("DEI") barriers for "accredited investors" by replacing the net worth and income requirements of Rule 501(a) under the Securities Act of 1933 with non-financial metrics.
4-796, AAER-3835 4-796 Rulemaking petition to reduce the diversity, equity, and inclusion ("DEI") barriers for "accredited investors" by replacing the net worth and income requirements of Rule 501(a) under the Securities Act of 1933 with non-financial metrics.
4-793, AAER-3824 4-793 Rulemaking petition to amend Reg SHO.
4-793, AAER-3824 4-793 Rulemaking petition to amend Reg SHO.
4-794, AAER-3833 4-794 Rulemaking petition to amend FINRA Rules 12601(b) and 13601(b) to curtail late settlement abuse and disregard for FINRA arbitrator time commitments
4-794, AAER-3833 4-794 Rulemaking petition to amend FINRA Rules 12601(b) and 13601(b) to curtail late settlement abuse and disregard for FINRA arbitrator time commitments
4-792, AAER-3822 4-792 Rulemaking petition to extend the current rules regarding performance reporting of mutual funds and ETFs.
4-792, AAER-3822 4-792 Rulemaking petition to extend the current rules regarding performance reporting of mutual funds and ETFs.
4-791, AAER-3814 4-791 Rulemaking petition to amend Regulation A (Rules 251 through 263) to allow shelf offerings by certain seasoned issuers.
4-791, AAER-3814 4-791 Rulemaking petition to amend Regulation A (Rules 251 through 263) to allow shelf offerings by certain seasoned issuers.
4-789 4-789 Rulemaking petition requesting that the Commission propose and adopt rules to govern the regulation of securities that are offered and traded via digitally native methods, including potential rules to identify which digital assets are securities.
View Received Comments
See Also - Letter from the Secretary to Paul Grewal, Chief Legal Officer, Coinbase Global, Inc., dated December 15, 2023
4-790, AAER-3809 4-790 Rulemaking petition that requests a rulemaking to prohibit a security-based swap dealer or other entity subject to Commission regulation from predicating a security-based swap or other financial instrument subject to Commission regulation on a flip clause, walk-away, or variable subordination.
View Received Comments
See Also - Exhibit 1, Exhibit 2, Exhibit 3, Exhibit 4, Exhibit 5
4-790, AAER-3809 4-790 Rulemaking petition that requests a rulemaking to prohibit a security-based swap dealer or other entity subject to Commission regulation from predicating a security-based swap or other financial instrument subject to Commission regulation on a flip clause, walk-away, or variable subordination.
View Received Comments
See Also - Exhibit 1, Exhibit 2, Exhibit 3, Exhibit 4, Exhibit 5
4-788, AAER-3799 4-788 Rulemaking petition to enact a rule or otherwise require issuers and their directors to disclose Executive & Non-Executive commitments in a more accessible format.
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