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Release Number SEC Issue Date File Number Details
4-746, AAER-3645 4-746 Rulemaking petition requesting repeal and reform of Rule 10b-18 to address manipulative repurchase programs that harm workers
View Received Comments
4-746, AAER-3645 4-746 Rulemaking petition requesting repeal and reform of Rule 10b-18 to address manipulative repurchase programs that harm workers
View Received Comments
4-745, AAER-3643 4-745 Rulemaking petition regarding disclosures on use of non-GAAP financials in proxy statement Compensation Discussion and Analysis
View Received Comments
4-745, AAER-3643 4-745 Rulemaking petition regarding disclosures on use of non-GAAP financials in proxy statement Compensation Discussion and Analysis
View Received Comments
4-744, AAER-3641 4-744 Rulemaking petition to amend or repeal the pattern day trader rule
View Received Comments
4-744, AAER-3641 4-744 Rulemaking petition to amend or repeal the pattern day trader rule
View Received Comments
4-742, AAER-3626 4-742 Petition for Rulemaking to Require Filers to Submit Earnings Conference Call Transcripts on Form 8-K, Pursuant to Regulation FD Compliance
4-742, AAER-3626 4-742 Petition for Rulemaking to Require Filers to Submit Earnings Conference Call Transcripts on Form 8-K, Pursuant to Regulation FD Compliance
4-743, AAER-3639 4-743 Rulemaking petition on digital asset mining (Revised)
4-743, AAER-3639 4-743 Rulemaking petition on digital asset mining (Revised)
4-741, AAER-3620 4-741 Rulemaking petition on biomass and climate disclosures
See Also - Letter to the SEC, Exhibit A, Exhibit B, and Exhibit C
4-741, AAER-3620 4-741 Rulemaking petition on biomass and climate disclosures
See Also - Letter to the SEC, Exhibit A, Exhibit B, and Exhibit C
4-738, AAER-3611 4-738 Request for rulemaking with respect to certain actions, practices and rules of a certain clearing agency
4-739, AAER-3618 4-739 Request for rulemaking regarding the administration of the Financial Industry Regulatory Association
4-740, AAER-3619 4-740 Rulemaking petition to amend Rule 17g-7(b)
4-738, AAER-3611 4-738 Request for rulemaking with respect to certain actions, practices and rules of a certain clearing agency
4-739, AAER-3618 4-739 Request for rulemaking regarding the administration of the Financial Industry Regulatory Association
4-740, AAER-3619 4-740 Rulemaking petition to amend Rule 17g-7(b)
4-736, AAER-3597 4-736 Request for rulemaking to address how digital assets are regulated once a trade occurs
4-736, AAER-3597 4-736 Request for rulemaking to address how digital assets are regulated once a trade occurs
4-734, AAER-3590 4-734 Request for rulemaking on extension of access equals delivery reforms to include business combination
4-734, AAER-3590 4-734 Request for rulemaking on extension of access equals delivery reforms to include business combination
4-735, AAER-3595 4-735 Request for rulemaking to clarify, improve and strengthen certain aspects of the SEC Whistleblower Program
4-735, AAER-3595 4-735 Request for rulemaking to clarify, improve and strengthen certain aspects of the SEC Whistleblower Program
4-733 4-733 Request for rulemaking to amend the rule restricting speech that is set forth in 17 C.F.R. § 202.5(e) ("The Gag Rule")
See Also - Renewed Petition for Rulemaking, Letter from the Secretary to Margaret A. Little, New Civil Liberties Alliance, dated January 30, 2023
4-731 4-731 Request for rulemaking petition to revise the notice and access provision to eliminate the carve-out for business combinations
4-730, AAER-3582 4-730 Request for rulemaking on environmental, social, and governance (ESG) disclosure
View Received Comments
4-730, AAER-3582 4-730 Request for rulemaking on environmental, social, and governance (ESG) disclosure
View Received Comments
4-728, AAER-3575 4-728 Request for rulemaking petition regarding market data fees and guidance on market data licensing practices and investor access to market data
View Received Comments
4-728, AAER-3575 4-728 Request for rulemaking petition regarding market data fees and guidance on market data licensing practices and investor access to market data
View Received Comments
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
View Received Comments
4-716, AAER-3541 4-716 Rulemaking petition concerning market data fees
View Received Comments
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
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