4-651
Aug. 17, 2012
4-651
Request for rulemaking regarding neutral Internet voting platform View Received Comments
4-650, AAER-3309
July 4, 2012
4-650
Request for rulemaking to require all trades to be executed only at the top of each minute, at the double zero tick
4-650, AAER-3309
July 4, 2012
4-650
Request for rulemaking to require all trades to be executed only at the top of each minute, at the double zero tick
4-649, AAER-3305
April 9, 2012
4-649
Request for rulemaking regarding re-statements of financial statements
4-649, AAER-3305
April 9, 2012
4-649
Request for rulemaking regarding re-statements of financial statements
4-648, AAER-3300
April 3, 2012
4-648
Request for rulemaking to reestablish the original congressional intent for a clear dichotomy between "Salesperson" and "Investment Adviser" under the Investment Advisers Act of 1940 View Received Comments
4-648, AAER-3300
April 3, 2012
4-648
Request for rulemaking to reestablish the original congressional intent for a clear dichotomy between "Salesperson" and "Investment Adviser" under the Investment Advisers Act of 1940 View Received Comments
4-647, AAER-3296
March 12, 2012
4-647
Request for interpretive release with guidance, clarifying that broker-dealers and their agents are prohibited from charging issuers for proxy processing, suppression, voting and other fees for wrap fee accounts and separately managed accounts, at the beneficial owner level
4-647, AAER-3296
March 12, 2012
4-647
Request for interpretive release with guidance, clarifying that broker-dealers and their agents are prohibited from charging issuers for proxy processing, suppression, voting and other fees for wrap fee accounts and separately managed accounts, at the beneficial owner level
4-646, AAER-3288
Feb. 16, 2012
4-646
Request for rulemaking to amend Rule 6c-10 under the Investment Company Act of 1940 to prohibit a Company from extending a deferred sales load "holding period" for existing shareholders
4-646, AAER-3288
Feb. 16, 2012
4-646
Request for rulemaking to amend Rule 6c-10 under the Investment Company Act of 1940 to prohibit a Company from extending a deferred sales load "holding period" for existing shareholders
4-644, AAER-3278
Jan. 13, 2012
4-644
Request for rulemaking to amend Rule 238 under the Securities Act to extend the rule's exemption from all provisions of the Securities Act (other than 17(a)) to over-the-counter options that are cleared by a clearing agency registered with the Commission pursuant to Section 17A of the Exchange Act, provided that such options are offered and sold only to "eligible contract participants" as defined in Section 3(a)(65) of the Exchange Act; and to amend Rule 12h-1 under the Exchange Act to extend the rule's exemption from registration to options that are cleared by a clearing agency registered with the Commission pursuant to Section 17A of the Exchange Act, without requiring that such options be "standardized options," as defined in Exchange Act Rule 9b-1, provided that such options are offered and sold only to eligible contract participants. Petition 4-644A
4-644, AAER-3278
Jan. 13, 2012
4-644A
Request for rulemaking to amend Rule 238 under the Securities Act to extend the rule's exemption from all provisions of the Securities Act (other than 17(a)) to over-the-counter options that are cleared by a clearing agency registered with the Commission pursuant to Section 17A of the Exchange Act, provided that such options are offered and sold only to "eligible contract participants" as defined in Section 3(a)(65) of the Exchange Act; and to amend Rule 12h-1 under the Exchange Act to extend the rule's exemption from registration to options that are cleared by a clearing agency registered with the Commission pursuant to Section 17A of the Exchange Act, without requiring that such options be "standardized options," as defined in Exchange Act Rule 9b-1, provided that such options are offered and sold only to eligible contract participants. Petition 4-644A
4-644, AAER-3278
Jan. 13, 2012
4-644
Request for rulemaking to amend Rule 238 under the Securities Act to extend the rule's exemption from all provisions of the Securities Act (other than 17(a)) to over-the-counter options that are cleared by a clearing agency registered with the Commission pursuant to Section 17A of the Exchange Act, provided that such options are offered and sold only to "eligible contract participants" as defined in Section 3(a)(65) of the Exchange Act; and to amend Rule 12h-1 under the Exchange Act to extend the rule's exemption from registration to options that are cleared by a clearing agency registered with the Commission pursuant to Section 17A of the Exchange Act, without requiring that such options be "standardized options," as defined in Exchange Act Rule 9b-1, provided that such options are offered and sold only to eligible contract participants. Petition 4-644A
4-644, AAER-3278
Jan. 13, 2012
4-644A
Request for rulemaking to amend Rule 238 under the Securities Act to extend the rule's exemption from all provisions of the Securities Act (other than 17(a)) to over-the-counter options that are cleared by a clearing agency registered with the Commission pursuant to Section 17A of the Exchange Act, provided that such options are offered and sold only to "eligible contract participants" as defined in Section 3(a)(65) of the Exchange Act; and to amend Rule 12h-1 under the Exchange Act to extend the rule's exemption from registration to options that are cleared by a clearing agency registered with the Commission pursuant to Section 17A of the Exchange Act, without requiring that such options be "standardized options," as defined in Exchange Act Rule 9b-1, provided that such options are offered and sold only to eligible contract participants. Petition 4-644A
4-643, AAER-3274
Jan. 9, 2012
4-643
Request for rulemaking to amend Rule 502(c) of Regulation D to eliminate the prohibition on offers or sales of securities by general solicitation or general advertising with respect to private funds View Received Comments
4-643, AAER-3274
Jan. 9, 2012
4-643
Request for rulemaking to amend Rule 502(c) of Regulation D to eliminate the prohibition on offers or sales of securities by general solicitation or general advertising with respect to private funds View Received Comments
4-641, AAER-3255
Nov. 7, 2011
4-641
Request for rulemaking, regulation or order pursuant to Section 36(a)(1) of the Exchange Act to provide exemptive relief from the application of Section 15(c)(3) of the Exchange Act and Rule 15c3-3 thereunder View Received Comments Exhibits Note:
Exhibits
4-641, AAER-3255
Nov. 7, 2011
4-641
Request for rulemaking, regulation or order pursuant to Section 36(a)(1) of the Exchange Act to provide exemptive relief from the application of Section 15(c)(3) of the Exchange Act and Rule 15c3-3 thereunder View Received Comments Exhibits Note:
Exhibits
4-638, AAER-3237
Aug. 26, 2011
4-638
Request for rulemaking to amend Rule 146(b) of the Securities Act of 1933 to designate securities listed on C2 Options Exchange, Incorporated as covered securities for the purpose of Section 18 of the Securities Act
4-638, AAER-3237
Aug. 26, 2011
4-638
Request for rulemaking to amend Rule 146(b) of the Securities Act of 1933 to designate securities listed on C2 Options Exchange, Incorporated as covered securities for the purpose of Section 18 of the Securities Act
4-637, AAER-3232
Aug. 3, 2011
4-637
Petition to require public companies to disclose to shareholders the use of corporate resources for political activities View Received Comments
4-637, AAER-3232
Aug. 3, 2011
4-637-2
Petition to require public companies to disclose to shareholders the use of corporate resources for political activities View Received Comments
4-637, AAER-3232
Aug. 3, 2011
4-637
Petition to require public companies to disclose to shareholders the use of corporate resources for political activities View Received Comments
4-637, AAER-3232
Aug. 3, 2011
4-637-2
Petition to require public companies to disclose to shareholders the use of corporate resources for political activities View Received Comments
4-634, AAER-3216
May 27, 2011
4-634
Request for rulemaking to mandate universal institutional brokerage commission transparency and disclosure View Received Comments additional letter
4-634, AAER-3216
May 27, 2011
4-634
Request for rulemaking to mandate universal institutional brokerage commission transparency and disclosure View Received Comments additional letter
4-632, AAER-3204
May 26, 2011
4-632
Request for rulemaking to amend Rule 146(b) of the Securities Act of 1933 to designate securities listed on BATS Exchange, Inc. as covered securities for the purpose of Section 18 of the Securities Act.
4-632, AAER-3204
May 26, 2011
4-632
Request for rulemaking to amend Rule 146(b) of the Securities Act of 1933 to designate securities listed on BATS Exchange, Inc. as covered securities for the purpose of Section 18 of the Securities Act.
4-630, AAER-3190
May 20, 2011
4-630
Request for rulemaking to amend Rule 14a-4(b)(2)(Requirements as to proxy) to eliminate the "withhold authority" vote on proxy forms used for the election of corporate directors. View Received Comments Supplement to petition
4-630, AAER-3190
May 20, 2011
4-630
Request for rulemaking to amend Rule 14a-4(b)(2)(Requirements as to proxy) to eliminate the "withhold authority" vote on proxy forms used for the election of corporate directors. View Received Comments Supplement to petition
4-628, AAER-3181
April 29, 2011
4-628
Request for rulemaking to amend Rule 651 of the Philadelphia Stock Exchange (n/k/a NASDAQ OMX PHLX) View Received Comments Supplement to petition
4-628, AAER-3181
April 29, 2011
4-628
Request for rulemaking to amend Rule 651 of the Philadelphia Stock Exchange (n/k/a NASDAQ OMX PHLX) View Received Comments Supplement to petition
4-624, AAER-3148
March 7, 2011
4-624
Request for rulemaking regarding the beneficial ownership reporting rules under Section 13 of the Securities Exchange Act of 1934 View Received Comments
4-624, AAER-3148
March 7, 2011
4-624
Request for rulemaking regarding the beneficial ownership reporting rules under Section 13 of the Securities Exchange Act of 1934 View Received Comments
4-623, AAER-3146
Jan. 28, 2011
4-623
Request for rulemaking concerning Market Data Structure
4-623, AAER-3146
Jan. 28, 2011
4-623
Request for rulemaking concerning Market Data Structure
4-614, AAER-3110
Oct. 8, 2010
4-614
Request for rulemaking to amend Rule 146(b) to designate securities listed on the Nasdaq Options Market as covered securities for the purpose of Section 18 of the Securities Act of 1933
4-614, AAER-3110
Oct. 8, 2010
4-614
Request for rulemaking to amend Rule 146(b) to designate securities listed on the Nasdaq Options Market as covered securities for the purpose of Section 18 of the Securities Act of 1933
4-605, AAER-3036
July 1, 2010
4-605
Request for rulemaking to exempt securities offerings up to $100,000 with $100maximum per investor from registration View Received Comments
4-605, AAER-3036
July 1, 2010
4-605
Request for rulemaking to exempt securities offerings up to $100,000 with $100maximum per investor from registration View Received Comments
4-604, AAER-3026
May 25, 2010
4-604
Request for rulemaking to allow the Nasdaq Capital Market to adopt initial listing price requirements identical to NYSE Amex View Received Comments
4-604, AAER-3026
May 25, 2010
4-604
Request for rulemaking to allow the Nasdaq Capital Market to adopt initial listing price requirements identical to NYSE Amex View Received Comments
4-603, AAER-3013
May 17, 2010
4-603
Request for rulemaking to amend Rule 7-02 of Regulation S-X under the Securities Act of 1933 concerning the use of financial statements prepared in accordance with statutory accounting principles by certain life insurance company issuers
4-603, AAER-3013
May 17, 2010
4-603
Request for rulemaking to amend Rule 7-02 of Regulation S-X under the Securities Act of 1933 concerning the use of financial statements prepared in accordance with statutory accounting principles by certain life insurance company issuers
4-601, AAER-2996
March 22, 2010
4-601
Request for rulemaking to require mutual fund companies to provide a single day accrual rate/mil rate for every day of every week
4-601, AAER-2996
March 22, 2010
4-601
Request for rulemaking to require mutual fund companies to provide a single day accrual rate/mil rate for every day of every week
4-592, AAER-2914
Jan. 27, 2010
4-592
Request for rulemaking to amend Rule 146(b) under the Securities Act of 1933 to designate securities listed on BATS as covered securities for the purpose of Section 18 of the Securities Act.
4-592, AAER-2914
Jan. 27, 2010
4-592
Request for rulemaking to amend Rule 146(b) under the Securities Act of 1933 to designate securities listed on BATS as covered securities for the purpose of Section 18 of the Securities Act.
4-593, AAER-2928
Jan. 22, 2010
4-593
Request for rulemaking to amend Regulation S-K and/or Form 10-K to add a new section entitled "Political Influence." View Received Comments
4-593, AAER-2928
Jan. 22, 2010
4-593
Request for rulemaking to amend Regulation S-K and/or Form 10-K to add a new section entitled "Political Influence." View Received Comments
4-591, AAER-2912
Jan. 4, 2010
4-591
Request for rulemaking to require FINRA to propose new rules aimed at improving provisions for investor protection in FINRA rules
4-591, AAER-2912
Jan. 4, 2010
4-591
Request for rulemaking to require FINRA to propose new rules aimed at improving provisions for investor protection in FINRA rules
4-547B
Nov. 23, 2009
4-547
Supplemental petition: Request for interpretive guidance on Climate Risk Disclosure View Received Comments original petition (Sep. 18, 2007)
4-547B
Nov. 23, 2009
4-547B
Supplemental petition: Request for interpretive guidance on Climate Risk Disclosure View Received Comments original petition (Sep. 18, 2007)
4-599, AAER-2968
Oct. 19, 2009
4-599
Request that the Commission conduct rulemaking to codify a securities licensing/registration exemption for main street business brokers View Received Comments
4-599, AAER-2968
Oct. 19, 2009
4-599
Request that the Commission conduct rulemaking to codify a securities licensing/registration exemption for main street business brokers View Received Comments
4-589
Aug. 27, 2009
4-589
Request for rulemaking under the Securities Exchange Act of 1934 to regulate or ban the trading practice known as flash orders and the practice of server co-location. View Received Comments
4-642, AAER-3262
July 21, 2009
4-642
Request for rulemaking concerning Mandatory Sustainability Reporting and Disclosure
4-642, AAER-3262
July 21, 2009
4-642
Request for rulemaking concerning Mandatory Sustainability Reporting and Disclosure
4-586, AAER-2882
June 11, 2009
4-586
Request rulemaking to eliminate the requirement that an arbitrator affiliated with the securities industry sit on all public investor cases arbitrated before FINRA in which the amount in controversy exceeds $100,000 View Received Comments
4-586, AAER-2882
June 11, 2009
4-586
Request rulemaking to eliminate the requirement that an arbitrator affiliated with the securities industry sit on all public investor cases arbitrated before FINRA in which the amount in controversy exceeds $100,000 View Received Comments
4-585, AAER-2875
May 26, 2009
4-585
Request rulemaking to amend Item 402 of Regulation S-K to revise the current Summary Compensation Table to better depict the compensation earned for the year by named executive officers View Received Comments
4-585, AAER-2875
May 26, 2009
4-585
Request rulemaking to amend Item 402 of Regulation S-K to revise the current Summary Compensation Table to better depict the compensation earned for the year by named executive officers View Received Comments
4-584, AAER-2867
May 17, 2009
4-584
Request for rulemaking under the Investment Company Act of 1940 to amend Rule 3a-5(b)(1) to include a reference to limited liability companies and business trusts
4-584, AAER-2867
May 17, 2009
4-584
Request for rulemaking under the Investment Company Act of 1940 to amend Rule 3a-5(b)(1) to include a reference to limited liability companies and business trusts
4-583, AAER-2858
May 15, 2009
4-583
Request for rulemaking to amend Rule 14a-4(b)(1) under the Securities Exchange Act of 1934 to prohibit conferring discretionary authority to issuers with respect to non-votes on the voter information form or proxy. View Received Comments
4-583, AAER-2858
May 15, 2009
4-583
Request for rulemaking to amend Rule 14a-4(b)(1) under the Securities Exchange Act of 1934 to prohibit conferring discretionary authority to issuers with respect to non-votes on the voter information form or proxy. View Received Comments
4-580, AAER-2842
March 22, 2009
4-580
Request for rulemaking under the Securities Act of 1933 to amend the reference to Tier 1 of the Philadelphia Stock Exchange, Inc. in Rule 146(b)(1)(ii)
4-580, AAER-2842
March 22, 2009
4-580
Request for rulemaking under the Securities Act of 1933 to amend the reference to Tier 1 of the Philadelphia Stock Exchange, Inc. in Rule 146(b)(1)(ii)
4-483A
Feb. 24, 2009
4-483
Request for Rulemaking under Section 12(g)(5) of the Securities Exchange Act of 1934 concerning securities held in "Street Name" View Received Comments Supplements to petition
4-483B
Feb. 24, 2009
4-483
Additional Petition — Request for Rulemaking under Section 12(g)(5) of the Securities Exchange Act of 1934 concerning securities held in "Street Name" View Received Comments Supplements to additional petition
4-578, AAER-2831
Feb. 15, 2009
4-578
Request for rulemaking under the Securities Exchange Act of 1934 to adopt a new identical to Rule 3a12-8 exempting from Commission registration under Section 3(a)(12) of the Act any futures contract on the sovereign debt of a foreign government so that it may lawfully be offered to U.S. persons pursuant to Section 2(a)(1)(C)(iv) of the Commodity Exchange Act
4-578, AAER-2831
Feb. 15, 2009
4-578
Request for rulemaking under the Securities Exchange Act of 1934 to adopt a new identical to Rule 3a12-8 exempting from Commission registration under Section 3(a)(12) of the Act any futures contract on the sovereign debt of a foreign government so that it may lawfully be offered to U.S. persons pursuant to Section 2(a)(1)(C)(iv) of the Commodity Exchange Act
4-577, AAER-2812
Feb. 3, 2009
4-577
Request for rulemaking to amend Rule 15c3-3 under the Exchange Act to treat US government money market mutual fund shares, where the underlying portfolio assets of the fund consist of securities issued or guaranteed by the US government or its agencies or instrumentalities, as "qualified securities" to meet a broker-dealer's deposit requirements under the Special Reserve Bank Account for the Exclusive Benefit of Customers View Received Comments
4-577, AAER-2812
Feb. 3, 2009
4-577
Request for rulemaking to amend Rule 15c3-3 under the Exchange Act to treat US government money market mutual fund shares, where the underlying portfolio assets of the fund consist of securities issued or guaranteed by the US government or its agencies or instrumentalities, as "qualified securities" to meet a broker-dealer's deposit requirements under the Special Reserve Bank Account for the Exclusive Benefit of Customers View Received Comments
4-576, AAER-2806
Jan. 6, 2009
4-576
Request for the removal of the Rule 32a-4 exemption from the Investment Company Act's requirement that shareholders vote on the selection of a fund's independent public accountant if the investment company has an audit committee composed of wholly independent directors
4-576, AAER-2806
Jan. 6, 2009
4-576
Request for the removal of the Rule 32a-4 exemption from the Investment Company Act's requirement that shareholders vote on the selection of a fund's independent public accountant if the investment company has an audit committee composed of wholly independent directors
4-572, AAER-2774
Oct. 1, 2008
4-572
Request for rulemaking under the Securities Act of 1933 to amend Rule 144 to remove the prohibition in Rule 144(i) on shareholders who acquired shares when an issue was a "shell company" or former "shell company" from being able to utilize Rule 144 for a sale of unregistered securities if the issuer has not filed its Securities Exchange Act of 1934 reports for the one year prior to the proposed sale, other than in the first year following each date the issuer ceases to be a shell company and releases "Form 10 information"
4-572, AAER-2774
Oct. 1, 2008
4-572
Request for rulemaking under the Securities Act of 1933 to amend Rule 144 to remove the prohibition in Rule 144(i) on shareholders who acquired shares when an issue was a "shell company" or former "shell company" from being able to utilize Rule 144 for a sale of unregistered securities if the issuer has not filed its Securities Exchange Act of 1934 reports for the one year prior to the proposed sale, other than in the first year following each date the issuer ceases to be a shell company and releases "Form 10 information"
4-570, AAER-2759
Sept. 23, 2008
4-570
Request for rulemaking under the Securities Exchange Act of 1934 to amend Rule 10A-3 to require that issuers submit their choice of auditor to a non-binding vote of shareholders for ratification View Received Comments
4-570, AAER-2759
Sept. 23, 2008
4-570
Request for rulemaking under the Securities Exchange Act of 1934 to amend Rule 10A-3 to require that issuers submit their choice of auditor to a non-binding vote of shareholders for ratification View Received Comments
4-554, AAER-2573
Sept. 22, 2008
4-554
Additional letter Note: original petition
4-554, AAER-2573
Sept. 22, 2008
4-554
Additional letter Note: original petition
4-565, AAER-2725
Aug. 1, 2008
4-565
Request for joint CFTC and SEC rulemaking to amend CFTC Rule 41.45(b) and SEC Rule 403(b) relating to customer margin levels for security futures products
4-565, AAER-2725
Aug. 1, 2008
4-565
Request for joint CFTC and SEC rulemaking to amend CFTC Rule 41.45(b) and SEC Rule 403(b) relating to customer margin levels for security futures products
4-563, AAER-2669
July 21, 2008
4-563
Request for rulemaking for interpretive guidance for registrants pursuant to the Securities Exchange Act of 1934 on public statements concerning global warming and other environmental issues View Received Comments
4-563, AAER-2669
July 21, 2008
4-563
Request for rulemaking for interpretive guidance for registrants pursuant to the Securities Exchange Act of 1934 on public statements concerning global warming and other environmental issues View Received Comments
4-562, AAER-2667
July 15, 2008
4-562
Request for rulemaking under the Securities Exchange Act of 1934 to limit fees that options exchanges may charge non-members to obtain access to quotations to $.20 per contract View Received Comments
4-562, AAER-2667
July 15, 2008
4-562
Request for rulemaking under the Securities Exchange Act of 1934 to limit fees that options exchanges may charge non-members to obtain access to quotations to $.20 per contract View Received Comments
4-547A
June 12, 2008
4-547A
Supplemental petition: Request for interpretive guidance on Climate Risk Disclosure View Received Comments original petition (Sep. 18, 2007) Note:
For attachments, see original petition (Sep. 18, 2007)
4-547A
June 12, 2008
4-547
Supplemental petition: Request for interpretive guidance on Climate Risk Disclosure View Received Comments original petition (Sep. 18, 2007) Note:
For attachments, see original petition (Sep. 18, 2007)
4-571, AAER-2766
May 14, 2008
4-571
Request for rulemaking under the Securities Exchange Act of 1934 that when a share owner submits a proposal for voting, the share owner may additionally supply an e mail address and, if available, supply a web site address where material relating to the proposal may be viewed
4-571, AAER-2766
May 14, 2008
4-571
Request for rulemaking under the Securities Exchange Act of 1934 that when a share owner submits a proposal for voting, the share owner may additionally supply an e mail address and, if available, supply a web site address where material relating to the proposal may be viewed
4-558, AAER-2613
May 12, 2008
4-558
Request for rulemaking requiring companies to disclose in the proxy statement the fees associated with all engagements for a single company and any ownership interest a consultant working for the compensation committee may have in the parent consulting firm View Received Comments
4-558, AAER-2613
May 12, 2008
4-558
Request for rulemaking requiring companies to disclose in the proxy statement the fees associated with all engagements for a single company and any ownership interest a consultant working for the compensation committee may have in the parent consulting firm View Received Comments
4-557, AAER-2607
April 3, 2008
4-557
Request for rulemaking to adopt new Rule 15c3-4 to address the practice of market participants redefining securities in customer accounts past T+3 View Received Comments
4-557, AAER-2607
April 3, 2008
4-557
Request for rulemaking to adopt new Rule 15c3-4 to address the practice of market participants redefining securities in customer accounts past T+3 View Received Comments
4-556, AAER-2594
Feb. 27, 2008
4-556
Request for Review and Repeal of FAS 123R, "Share-Based Payment"
4-556, AAER-2594
Feb. 27, 2008
4-556
Request for Review and Repeal of FAS 123R, "Share-Based Payment"
