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Release Number SEC Issue Date File Number Details
4-727, AAER-3572 4-727 Request for rulemaking petition to amend Form 10-K to provide full breakout by line of business of the elements of the income and the offsetting disbursements for all banks that submit Form 10-K
4-727, AAER-3572 4-727 Request for rulemaking petition to amend Form 10-K to provide full breakout by line of business of the elements of the income and the offsetting disbursements for all banks that submit Form 10-K
4-726, AAER-3566 4-726 Request for rulemaking petition to promulgate regulations prohibiting the issuance, reliance on, or defense of improper agency guidance
4-726, AAER-3566 4-726 Request for rulemaking petition to promulgate regulations prohibiting the issuance, reliance on, or defense of improper agency guidance
4-724, AAER-3558 4-724 Request for rulemaking petition to amend FINRA's Code of Arbitration Procedure Rule 12403(b)(2) to prevent parties from seeking information from the proposed arbitrators as to how the arbitrator would rule in the case
4-724, AAER-3558 4-724 Request for rulemaking petition to amend FINRA's Code of Arbitration Procedure Rule 12403(b)(2) to prevent parties from seeking information from the proposed arbitrators as to how the arbitrator would rule in the case
4-723, AAER-3557 4-723 Request for rulemaking petition to require financial reports from obligors under Section 314(a) of the Trust Indenture Act of 1939
4-723, AAER-3557 4-723 Request for rulemaking petition to require financial reports from obligors under Section 314(a) of the Trust Indenture Act of 1939
4-722, AAER-3556 4-722 Request for rulemaking petition to modernize Rule 10b-18 under the Securities Exchange Act of 1934 by allowing executions priced at the midpoint of the national best bid and offer to qualify for the safe harbor treatment provided by the Rule
4-722, AAER-3556 4-722 Request for rulemaking petition to modernize Rule 10b-18 under the Securities Exchange Act of 1934 by allowing executions priced at the midpoint of the national best bid and offer to qualify for the safe harbor treatment provided by the Rule
4-720, AAER-3551 4-720 Request for rulemaking petition to materially amend and simplify the bucketing requirement in Rule 22e-4
4-721, AAER-3552 4-721 Request for rulemaking petition to amend Exchange Act Rule 14(a) and Regulation 14B, or take other appropriate measures to facilitate advanced voting instructions
View Received Comments
4-720, AAER-3551 4-720 Request for rulemaking petition to materially amend and simplify the bucketing requirement in Rule 22e-4
4-721, AAER-3552 4-721 Request for rulemaking petition to amend Exchange Act Rule 14(a) and Regulation 14B, or take other appropriate measures to facilitate advanced voting instructions
View Received Comments
4-718, AAER-3545 4-718 Rulemaking petition requesting a conformance period for Rule 135d under the Securities Act of 1933
4-718, AAER-3545 4-718 Rulemaking petition requesting a conformance period for Rule 135d under the Securities Act of 1933
4-719, AAER-3550 4-719 Rulemaking petition related to issuance of initial coin offerings that took place prior to the promulgation of related guidance by the Commission
4-719, AAER-3550 4-719 Rulemaking petition related to issuance of initial coin offerings that took place prior to the promulgation of related guidance by the Commission
4-717, AAER-3543 4-717 Rulemaking petition to reduce conflicts of interest, market complexity, and costs related to the provision of equity market data
View Received Comments
4-717, AAER-3543 4-717 Rulemaking petition to reduce conflicts of interest, market complexity, and costs related to the provision of equity market data
View Received Comments
4-716, AAER-3541 4-716 Rulemaking petition concerning market data fees
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4-716, AAER-3541 4-716 Rulemaking petition concerning market data fees
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4-713, AAER-3529 4-713 Rulemaking petition to amend Exchange Act Rule 17a-4(f)
View Received Comments
See Also - Addendum
4-713, AAER-3529 4-713 Rulemaking petition to amend Exchange Act Rule 17a-4(f)
View Received Comments
See Also - Addendum
4-712, AAER-3524 4-712 Rulemaking petition to set up a pilot program to require the periodic public disclosure of short-sale positions in securities of biopharmaceutical companies by investment advisers (Revised)
4-712, AAER-3524 4-712 Rulemaking petition to set up a pilot program to require the periodic public disclosure of short-sale positions in securities of biopharmaceutical companies by investment advisers (Revised)
4-711, AAER-3519 4-711 Rulemaking petition to require issuers to disclose information about their human capital management policies, practices and performance
View Received Comments
4-711, AAER-3519 4-711 Rulemaking petition to require issuers to disclose information about their human capital management policies, practices and performance
View Received Comments
4-710, AAER-3515 4-710 Rulemaking petition regarding the regulation of digital assets and blockchain technology
View Received Comments
4-710, AAER-3515 4-710 Rulemaking petition regarding the regulation of digital assets and blockchain technology
View Received Comments
4-708, AAER-3512 4-708 Rulemaking petition to amend Rule 1092(b)3 of PHLX Stock Exchange
View Received Comments
4-708, AAER-3512 4-708 Rulemaking petition to amend Rule 1092(b)3 of PHLX Stock Exchange
View Received Comments
4-706, AAER-3505 4-706 Rulemaking petition to amend Form ADV to update reporting criteria of investment adviser asset ownership
4-706, AAER-3505 4-706 Rulemaking petition to amend Form ADV to update reporting criteria of investment adviser asset ownership
4-704, AAER-3487 4-704 Rulemaking Petition to amend Rule 146(b) to designate securities listed on IEX as covered securities for purposes of Section 18 of the Securities Act
4-704, AAER-3487 4-704 Rulemaking Petition to amend Rule 146(b) to designate securities listed on IEX as covered securities for purposes of Section 18 of the Securities Act
4-703 4-703 Rulemaking Petition to amend § 242.902(a) of Regulation SBSR to allow security-based swap data repositories to publicly disseminate a transaction report of a security-based swap, or a life cycle event or adjustment due to a life cycle event, upon the deadline specified in § 242.901(j) of Regulation SBSR or as subsequently provided in the Block Rule
4-702 4-702 Rulemaking petition requesting amendments to the self-regulatory organization provisions related to complex securities arbitrations
4-699, AAER-3470 4-699 Rulemaking Petition to Amend Regulation A to make SEC Reporting Companies Eligible Issuers and Permit At the Market Offerings
View Received Comments
4-699, AAER-3470 4-699 Rulemaking Petition to Amend Regulation A to make SEC Reporting Companies Eligible Issuers and Permit At the Market Offerings
View Received Comments
4-696, AAER-3459 4-696 Request for rulemaking to require public companies to disclose gender pay ratios on an annual basis, or in the alternative, to provide guidance to companies regarding voluntary reporting on pay equity to their investors
See Also - 2020
4-696, AAER-3459 4-696 Request for rulemaking to require public companies to disclose gender pay ratios on an annual basis, or in the alternative, to provide guidance to companies regarding voluntary reporting on pay equity to their investors
See Also - 2020
4-695 4-695 Request for rulemaking to advance from just comparative columnar format, per 17 CFR § 229.301, to also include diagramming of account relationships (DOAR) within financial statements
See Also - Revised Petition
4-693, AAER-3451 4-693 Request to Repeal Rule 275.206(4)-5 - Political Contributions
4-693, AAER-3451 4-693 Request to Repeal Rule 275.206(4)-5 - Political Contributions
4-691 4-691 Request to require disclosure of short positions in parity with required disclosure of long positions
View Received Comments
4-690, AAER-3448 4-690 Request for rulemaking to amend rule 15c2-11 of the Securities Exchange Act of 1934
4-690, AAER-3448 4-690 Request for rulemaking to amend rule 15c2-11 of the Securities Exchange Act of 1934
4-689, AAER-3445 4-689 Request to require the periodic public disclosure of short-sale activities by institutional investment managers
View Received Comments
4-689, AAER-3445 4-689 Request to require the periodic public disclosure of short-sale activities by institutional investment managers
View Received Comments
4-688, AAER-3444 4-688 Request for rule-making to require general partners to make better disclosure of private equity expenses to limited partners
4-688, AAER-3444 4-688 Request for rule-making to require general partners to make better disclosure of private equity expenses to limited partners
4-687, AAER-3442 4-687 Request to adopt a rule that prevents a brokerage from requiring arbitration as the sole means of dispute resolution as a condition of opening an account
4-687, AAER-3442 4-687 Request to adopt a rule that prevents a brokerage from requiring arbitration as the sole means of dispute resolution as a condition of opening an account
4-686, AAER-3436 4-686 Request for interpretive guidance and rulemaking to clarify or enhance certain disclosure requirements in connection with proxy solicitations and other reports filed with the Commission
4-686, AAER-3436 4-686 Request for interpretive guidance and rulemaking to clarify or enhance certain disclosure requirements in connection with proxy solicitations and other reports filed with the Commission
4-685, AAER-3433 4-685 Request for rulemaking to allow the sale of shares held by Board Members of public companies only after they terminate their position
4-685, AAER-3433 4-685 Request for rulemaking to allow the sale of shares held by Board Members of public companies only after they terminate their position
4-683, AAER-3425 4-683 Request for rulemaking to amend Exchange Act Rules 17a-3 and/or 17a-4
4-683, AAER-3425 4-683 Request for rulemaking to amend Exchange Act Rules 17a-3 and/or 17a-4
4-684, AAER-3427 4-684 Petition to require Earnings Reports disseminated by a Press Release to include a simple table at the top of the Report outlining important facts, including month and date of revenues, operating profit, earnings per share, etc. for the current year against the previous year
4-684, AAER-3427 4-684 Petition to require Earnings Reports disseminated by a Press Release to include a simple table at the top of the Report outlining important facts, including month and date of revenues, operating profit, earnings per share, etc. for the current year against the previous year
4-682, AAER-3424 4-682 Request for rulemaking for an amendment of the proxy rule regarding Board nominee disclosure
View Received Comments
4-682, AAER-3424 4-682 Request for rulemaking for an amendment of the proxy rule regarding Board nominee disclosure
View Received Comments
4-679, AAER-3407 4-679 Request for rulemaking petition to expand the definition of "qualified securities" under Rule 15c3-3(a)(6)
4-679, AAER-3407 4-679 Request for rulemaking petition to expand the definition of "qualified securities" under Rule 15c3-3(a)(6)
4-676, AAER-3400 4-676 Request for rulemaking petition to clarify and strengthen protections for whistleblowers, requesting the Commission hold hearings and create an Advisory Committee on Whistleblower Reporting and Protection
View Received Comments
4-677, AAER-3402 4-677 Request for rulemaking petition and the issuance of a Policy Statement Regarding Certain Aspects of the Dodd-Frank Whistleblower Program
4-676, AAER-3400 4-676 Request for rulemaking petition to clarify and strengthen protections for whistleblowers, requesting the Commission hold hearings and create an Advisory Committee on Whistleblower Reporting and Protection
View Received Comments
4-677, AAER-3402 4-677 Request for rulemaking petition and the issuance of a Policy Statement Regarding Certain Aspects of the Dodd-Frank Whistleblower Program
4-637-2 4-637-2 Request for rulemaking that would require public companies to disclose to shareholders the use of corporate resources for political activities
View Received Comments
See Also - Exhibits, 4-637-2 Amended Petition
4-675, AAER-3395 4-675 Request for rulemaking to amend Rule 14a-8 under the Securities Exchange Act of 1934 regarding resubmission of Shareholder Proposals
View Received Comments
See Also - Exhibits
4-675, AAER-3395 4-675 Request for rulemaking to amend Rule 14a-8 under the Securities Exchange Act of 1934 regarding resubmission of Shareholder Proposals
View Received Comments
See Also - Exhibits
4-680, AAER-3419 4-680 Request for rulemaking to adopt amendments to Rules 600(b)(57) (definition of a protected bid or offer), 605 and 606 (disclosure of order execution and order routing information), and 610(c) (the access fee cap) of Regulation NMS, as well as to exercise the SEC's authority under Rule 608(a)(2) to amend the consolidated tape plans
View Received Comments
4-680, AAER-3419 4-680 Request for rulemaking to adopt amendments to Rules 600(b)(57) (definition of a protected bid or offer), 605 and 606 (disclosure of order execution and order routing information), and 610(c) (the access fee cap) of Regulation NMS, as well as to exercise the SEC's authority under Rule 608(a)(2) to amend the consolidated tape plans
View Received Comments
4-672, AAER-3389 4-672 Request for rulemaking to amend Section 14 of the Securities Exchange Act of 1934 to facilitate the use of universal proxy cards in contested elections
View Received Comments
4-672, AAER-3389 4-672 Request for rulemaking to amend Section 14 of the Securities Exchange Act of 1934 to facilitate the use of universal proxy cards in contested elections
View Received Comments
4-671, AAER-3388 4-671 Request for rulemaking to combine Form 144 into Form 4
See Also - Example Form 4-144
4-671, AAER-3388 4-671 Request for rulemaking to combine Form 144 into Form 4
See Also - Example Form 4-144
4-666 4-666 Request for rulemaking to revise the Commission's guidance to proxy advisory firms
View Received Comments
4-667, AAER-3376 4-667 Request for rulemaking to modernize the regulations of Business Development Companies
4-667, AAER-3376 4-667 Request for rulemaking to modernize the regulations of Business Development Companies
4-665 4-665 Request for rulemaking to revise Rule 501 of Regulation D to afford to persons in civil unions, domestic partnerships, and similar relationships, the same right and opportunity to qualify for accredited investor status as married persons have.
4-664, AAER-3367 4-664 Request for rulemaking to permit, for a temporary period, alternative disclosure in lieu of the disclosure currently required by the Conflict Minerals Rules.
4-664, AAER-3367 4-664 Request for rulemaking to permit, for a temporary period, alternative disclosure in lieu of the disclosure currently required by the Conflict Minerals Rules.
4-662, AAER-3357 4-662 Request for rulemaking regarding Option Floor Crosses
4-662, AAER-3357 4-662 Request for rulemaking regarding Option Floor Crosses
4-644A 4-644 Request for rulemaking to: adopt new Securities Act Rule 241 to exempt certain over-the counter options from provisions of the Securities Act; provide a temporary exemption with respect to Credit Default Swaps; and to amend Exchange Act Rule 12h-1 to exempt from Exchange Act registration options that are issued and cleared by a registered or exempt clearing agency in its function as a central counterparty.
4-644A 4-644A Request for rulemaking to: adopt new Securities Act Rule 241 to exempt certain over-the counter options from provisions of the Securities Act; provide a temporary exemption with respect to Credit Default Swaps; and to amend Exchange Act Rule 12h-1 to exempt from Exchange Act registration options that are issued and cleared by a registered or exempt clearing agency in its function as a central counterparty.
4-659, AAER-3344 4-659 Request for rulemaking concerning amendment of beneficial ownership reporting rules under Section 13(f) of the Securities Exchange Act of 1934 in order to shorten the reporting deadline under paragraph (a)(1) of Rule 13f-1
View Received Comments
4-659, AAER-3344 4-659 Request for rulemaking concerning amendment of beneficial ownership reporting rules under Section 13(f) of the Securities Exchange Act of 1934 in order to shorten the reporting deadline under paragraph (a)(1) of Rule 13f-1
View Received Comments
4-658, AAER-3339 4-658 Request for rulemaking concerning amending Rule 10b5-1 or further interpretive guidance regarding the circumstances under which Rule 10b5-1 trading plans may be adopted, modified, or cancelled
4-658, AAER-3339 4-658 Request for rulemaking concerning amending Rule 10b5-1 or further interpretive guidance regarding the circumstances under which Rule 10b5-1 trading plans may be adopted, modified, or cancelled
4-656, AAER-3329 4-656 Request for rulemaking to mandate that mutual funds fully disclose through a disclaimer in their prospectuses that shareholders are being financially disadvantaged by new and liquidating shareholders who are not paying their portion of the brokerage trading commissions that were generated to establish the portfolio's holdings, a result of buying the portfolio securities.
See Also - Additional letter, Supplement to petition, SEM Summary, Long Term Loss
4-656, AAER-3329 4-656 Request for rulemaking to mandate that mutual funds fully disclose through a disclaimer in their prospectuses that shareholders are being financially disadvantaged by new and liquidating shareholders who are not paying their portion of the brokerage trading commissions that were generated to establish the portfolio's holdings, a result of buying the portfolio securities.
See Also - Additional letter, Supplement to petition, SEM Summary, Long Term Loss
4-654, AAER-3323 4-654 Request for rulemaking to amend Industry Guide 7
View Received Comments
4-654, AAER-3323 4-654 Request for rulemaking to amend Industry Guide 7
View Received Comments
4-653, AAER-3320 4-653 Request for rulemaking regarding the definition of Eligible Contract Participant in Commodity Exchange Act Section 1a(18), interpretive letter, exemptive relief, or other guidance
4-653, AAER-3320 4-653 Request for rulemaking regarding the definition of Eligible Contract Participant in Commodity Exchange Act Section 1a(18), interpretive letter, exemptive relief, or other guidance
4-651 4-651 Request for rulemaking regarding neutral Internet voting platform
View Received Comments
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