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Release Number SEC Issue Date File Number Details
4-556, AAER-2594 4-556 Request for Review and Repeal of FAS 123R, "Share-Based Payment"
4-556, AAER-2594 4-556 Request for Review and Repeal of FAS 123R, "Share-Based Payment"
4-541A 4-541A Supplemental petition
View Received Comments

Note: For attachments, see original petition Comments received are available
4-555, AAER-2580 4-555 Request for rulemaking to amend SEC rules to require public companies to provide a plain English descriptive narrative for all departures or dismissals of their external auditors
4-555, AAER-2580 4-555 Request for rulemaking to amend SEC rules to require public companies to provide a plain English descriptive narrative for all departures or dismissals of their external auditors
4-553, AAER-2560 4-553 Request for rulemaking under the Securities Exchange Act of 1934 to exempt issuers of certain types of fixed insurance contracts from the reporting requirements of Sections 13 and 15(d) of the Act
4-553, AAER-2560 4-553 Request for rulemaking under the Securities Exchange Act of 1934 to exempt issuers of certain types of fixed insurance contracts from the reporting requirements of Sections 13 and 15(d) of the Act
4-549, AAER-2522 4-549 Request for interpretive guidance under the Securities Act of 1933 that would require registrants to disclose to shareholders the business risks of laws and regulations intended to address global warming concerns
4-549, AAER-2522 4-549 Request for interpretive guidance under the Securities Act of 1933 that would require registrants to disclose to shareholders the business risks of laws and regulations intended to address global warming concerns
4-550, AAER-2529 4-550 Joint request for rulemaking to adopt amendments to Regulation S-K that would provide for increased disclosure of certain financial and other relationships between underwriters and registrants
4-550, AAER-2529 4-550 Joint request for rulemaking to adopt amendments to Regulation S-K that would provide for increased disclosure of certain financial and other relationships between underwriters and registrants
4-548, AAER-2517 4-548 Request for rulemaking under the Securities Act of 1933 to permit commodity pools to publish and distribute advertisements that disclose certain information about the commodity pool beyond that specified by the safe harbor of Rule 134
4-548, AAER-2517 4-548 Request for rulemaking under the Securities Act of 1933 to permit commodity pools to publish and distribute advertisements that disclose certain information about the commodity pool beyond that specified by the safe harbor of Rule 134
4-547, AAER-2510 4-547 Request for interpretive guidance on Climate Risk Disclosure
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See Also - Supplemental Petition (Jun. 12, 2008), original petition (Sep. 18, 2007), Supplemental petition dated Nov. 23, 2009
4-547, AAER-2510 4-547 Request for interpretive guidance on Climate Risk Disclosure
View Received Comments
See Also - Supplemental Petition (Jun. 12, 2008), original petition (Sep. 18, 2007), Supplemental petition dated Nov. 23, 2009
4-543, AAER-2474 4-543 Request to amend Rule 35d-1 under the Investment Company Act to amend the definition of fundamental investment policy
4-543, AAER-2474 4-543 Request to amend Rule 35d-1 under the Investment Company Act to amend the definition of fundamental investment policy
4-541, AAER-2459 4-541 Request for rulemaking under the Securities Exchange Act of 1934 to prohibit broker-dealers from requiring investors to accept mandatory arbitration clauses
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4-541, AAER-2459 4-541 Request for rulemaking under the Securities Exchange Act of 1934 to prohibit broker-dealers from requiring investors to accept mandatory arbitration clauses
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4-542, AAER-2465 4-542 Request for rulemaking under the Investment Company Act of 1940 to amend Rule 19a-1 which governs how a fund calculates and discloses the sources of its distributions
4-542, AAER-2465 4-542 Request for rulemaking under the Investment Company Act of 1940 to amend Rule 19a-1 which governs how a fund calculates and discloses the sources of its distributions
4-540, AAER-2443 4-540 Request to Amend "Pattern Day Trader" Rule
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4-540, AAER-2443 4-540 Request to Amend "Pattern Day Trader" Rule
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4-535, AAER-2395 4-535 Request for written interpretative guidance relating to the implementation of FASB Interpretation No. 48, Accounting for Uncertainty in Income Taxes ("FIN 48") by investment companies registered under the Investment Company Act of 1940
4-535, AAER-2395 4-535 Request for written interpretative guidance relating to the implementation of FASB Interpretation No. 48, Accounting for Uncertainty in Income Taxes ("FIN 48") by investment companies registered under the Investment Company Act of 1940
4-531, AAER-2362 4-531 Request for rulemaking on disclosure and transparency in client commission arrangements
4-531, AAER-2362 4-531 Request for rulemaking on disclosure and transparency in client commission arrangements
4-530, AAER-2358 4-530 Request for an extension of the implementation date of SEC Regulation NMS Trading Phase, targeted for February 5, 2007
4-530, AAER-2358 4-530 Request for an extension of the implementation date of SEC Regulation NMS Trading Phase, targeted for February 5, 2007
4-528, AAER-2347 4-528 Request for rulemaking under the Investment Company Act of 1940 to limit the application of the new disclosure requirements to registered investment company investments in "investment companies" and "private funds" as defined in former Rule 203(b)(3)-1(d) under the Investment Advisers of 1940
4-528, AAER-2347 4-528 Request for rulemaking under the Investment Company Act of 1940 to limit the application of the new disclosure requirements to registered investment company investments in "investment companies" and "private funds" as defined in former Rule 203(b)(3)-1(d) under the Investment Advisers of 1940
4-525, AAER-2325 4-525 Request for rulemaking under the Securities Exchange Act of 1934 to provide owners of American Depository Receipts of certain foreign issuers with the ability to exercise certain traditional shareowner rights, including the ability to vote in the election of directors, and to submit and vote on shareowner proposals
4-525, AAER-2325 4-525 Request for rulemaking under the Securities Exchange Act of 1934 to provide owners of American Depository Receipts of certain foreign issuers with the ability to exercise certain traditional shareowner rights, including the ability to vote in the election of directors, and to submit and vote on shareowner proposals
4-521, AAER-2282 4-521 Request for rulemaking under the Securities Exchange Act of 1934 to require prompt disclosure of a Wells Notice when it is received by registrants
4-521, AAER-2282 4-521 Request for rulemaking under the Securities Exchange Act of 1934 to require prompt disclosure of a Wells Notice when it is received by registrants
4-519, AAER-2264 4-519 Request for rulemaking under the Securities Act of 1933 to expose and prevent unlawful and deceptive activities by securities promoters and their sponsors
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4-519, AAER-2264 4-519 Request for rulemaking under the Securities Act of 1933 to expose and prevent unlawful and deceptive activities by securities promoters and their sponsors
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4-510C 4-510C Request for rulemaking under the Investment Advisers Act of 1940 to extend certain compliance dates for Rule 202(a)(11)-1 from January 31, 2006 to March 31, 2006 concerning the Commission's final rule -- Certain Broker-Dealers Deemed Not to Be Investment Advisers
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4-510B 4-510B Request for rulemaking under the Investment Advisers Act of 1940 to extend certain compliance dates for Rule 202(a)(11)-1 from January 31, 2006 to March 31, 2006 concerning the Commission's final rule -- Certain Broker-Dealers Deemed Not to Be Investment Advisers
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4-510A 4-510A Request for rulemaking under the Investment Advisers Act of 1940 to extend certain compliance dates for Rule 202(a)(11)-1 from January 31, 2006 to March 31, 2006 concerning the Commission's final rule -- Certain Broker-Dealers Deemed Not to Be Investment Advisers
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4-505, AAER-2123 4-505 Request for rulemaking to amend Rule 3a12-8 under the Securities Exchange Act of 1934 to include within its exemption the soverign debt of the Republic of Korea
4-505, AAER-2123 4-505 Request for rulemaking to amend Rule 3a12-8 under the Securities Exchange Act of 1934 to include within its exemption the soverign debt of the Republic of Korea
4-504, AAER-2107 4-504 Request for rulemaking concerning corporate communication regarding company share buybacks
4-504, AAER-2107 4-504 Request for rulemaking concerning corporate communication regarding company share buybacks
4-503, AAER-2093 4-503 Request for rulemaking under the Investment Advisers Act of 1940 regarding retention and production of e-mail by investment advisers
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4-503, AAER-2093 4-503 Request for rulemaking under the Investment Advisers Act of 1940 regarding retention and production of e-mail by investment advisers
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4-501, AAER-2067 4-501 Request for rulemaking under the Securities Exchange Act of 1934 that would prevent the National Association of Securities Dealers, Inc. and the New York Stock Exchange from placing by contract any restriction on the use of either the paper copies or their database of arbitration awards and also preventing these organizations from requiring third party vendors to limit access to these awards, in their original form
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4-501, AAER-2067 4-501 Request for rulemaking under the Securities Exchange Act of 1934 that would prevent the National Association of Securities Dealers, Inc. and the New York Stock Exchange from placing by contract any restriction on the use of either the paper copies or their database of arbitration awards and also preventing these organizations from requiring third party vendors to limit access to these awards, in their original form
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4-499, AAER-2050 4-499 Request for rulemaking under the Securities Exchange Act of 1934 regarding the definitions of "non-professional" and "professional" used by self-regulatory organizations and national market system plans
4-499, AAER-2050 4-499 Request for rulemaking under the Securities Exchange Act of 1934 regarding the definitions of "non-professional" and "professional" used by self-regulatory organizations and national market system plans
4-478A 4-478A Amended Request for Rulemaking to Amend Rules 15c3-1 and 15c3-3 Concerning Net Capital and Collateral Treatment of Broker-Dealers' Investment in Shares of Certain Registered Investment Companies
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4-498, AAER-2030 4-498 Request for rulemaking concerning auditor independence
4-498, AAER-2030 4-498 Request for rulemaking concerning auditor independence
4-496, AAER-1995 4-496 Request for rulemaking under Section 11A(a)(3)(B) of the Securities Exchange Act of 1934 to amend the Options Intermarket Linkage Plan to limit trade-through protection only to automated quotes
4-496, AAER-1995 4-496 Request for rulemaking under Section 11A(a)(3)(B) of the Securities Exchange Act of 1934 to amend the Options Intermarket Linkage Plan to limit trade-through protection only to automated quotes
4-495, AAER-1982 4-495 Request for rulemaking seeking repeal of rule 206(3)-1 (Exemption of investment advisers registered as broker-dealers in connection with the provision of certain investment advisory services) and that the Commission not adopt proposed rule 202(a)(11)-1 (Certain thrift institutions deemed not to be investment advisers) under the Investment Advisers Act
4-495, AAER-1982 4-495 Request for rulemaking seeking repeal of rule 206(3)-1 (Exemption of investment advisers registered as broker-dealers in connection with the provision of certain investment advisory services) and that the Commission not adopt proposed rule 202(a)(11)-1 (Certain thrift institutions deemed not to be investment advisers) under the Investment Advisers Act
4-494, AAER-1977 4-494 Request for rulemaking requiring that a rating that is an assessment of the quality of a company's reported earnings be a listing requirement for any publicly traded company
4-494, AAER-1977 4-494 Request for rulemaking requiring that a rating that is an assessment of the quality of a company's reported earnings be a listing requirement for any publicly traded company
4-493, AAER-1960 4-493 Request for Rulemaking Concerning Shareholder Communications
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4-493, AAER-1960 4-493 Request for Rulemaking Concerning Shareholder Communications
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4-490, AAER-1943 4-490 Request for Rulemaking to Amend Rule 1-02(w) under Regulation S-X to require complete disclosure of all subsidiaries for filers of Form 10-K, regardless of the size of the subsidiary
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4-490, AAER-1943 4-490 Request for Rulemaking to Amend Rule 1-02(w) under Regulation S-X to require complete disclosure of all subsidiaries for filers of Form 10-K, regardless of the size of the subsidiary
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4-492 4-492 Request for Rulemaking Concerning Soft Dollars and Directed Brokerage
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4-489, AAER-1920 4-489 Request for the Commission to Amend Rule 206(4)-1(a)(1) under the Investment Advisers Act of 1940 Concerning the Use of Testimonials by Investment Advisers Who Are Also Planners
4-489, AAER-1920 4-489 Request for the Commission to Amend Rule 206(4)-1(a)(1) under the Investment Advisers Act of 1940 Concerning the Use of Testimonials by Investment Advisers Who Are Also Planners
4-484, AAER-1854 4-484 Request for Rulemaking to Require that Amended Registrant Filings Include an Explicit Summary of Specific Changes in Language or Figures
4-484, AAER-1854 4-484 Request for Rulemaking to Require that Amended Registrant Filings Include an Explicit Summary of Specific Changes in Language or Figures
4-483, AAER-1835 4-483 Request for Rulemaking under Section 12(g)(5) of the Securities Exchange Act of 1934 concerning securities held in "Street Name"
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4-483, AAER-1835 4-483 Request for Rulemaking under Section 12(g)(5) of the Securities Exchange Act of 1934 concerning securities held in "Street Name"
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4-491, AAER-1945 4-491 Request for Rulemaking to Permit Shareholder-Nominated Director Candidates to Appear in Corporate Proxy Statements and Proxy Cards
4-491, AAER-1945 4-491 Request for Rulemaking to Permit Shareholder-Nominated Director Candidates to Appear in Corporate Proxy Statements and Proxy Cards
4-480, AAER-1807 4-480 Request for Rulemaking under the Securities Exchange Act of 1934 to Adopt New Rule 11Ac1-8 to Address the Practices of Trading-Through and Locking or Crossing OTC Quotes Across Separate Market Centers
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4-480, AAER-1807 4-480 Request for Rulemaking under the Securities Exchange Act of 1934 to Adopt New Rule 11Ac1-8 to Address the Practices of Trading-Through and Locking or Crossing OTC Quotes Across Separate Market Centers
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4-479, AAER-1787 4-479 Request for Rulemaking under the Securities Exchange Act of 1934 Concerning Trading of Nasdaq-Listed Securities
4-479, AAER-1787 4-479 Request for Rulemaking under the Securities Exchange Act of 1934 Concerning Trading of Nasdaq-Listed Securities
4-478, AAER-1772 4-478 Request for Rulemaking to Amend Rules 15c3-1 and 15c3-3 Concerning Net Capital and Collateral Treatment of Broker-Dealers' Investment in Shares of Certain Registered Investment Companies
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4-478, AAER-1772 4-478 Request for Rulemaking to Amend Rules 15c3-1 and 15c3-3 Concerning Net Capital and Collateral Treatment of Broker-Dealers' Investment in Shares of Certain Registered Investment Companies
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4-477, AAER-1760 4-477 Request for Rulemaking Requiring Pre-Notification and Disclosure of Certain Communications by Trial Lawyers
4-477, AAER-1760 4-477 Request for Rulemaking Requiring Pre-Notification and Disclosure of Certain Communications by Trial Lawyers
4-469, AAER-1675 4-469 Request for Rulemaking to Amend Rule 19c-5 Regarding Certain Options Exchange Licensing Arrangements
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4-469, AAER-1675 4-469 Request for Rulemaking to Amend Rule 19c-5 Regarding Certain Options Exchange Licensing Arrangements
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4-465, AAER-1632 4-465 Request for Rulemaking Concerning Corporate Elections
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4-465, AAER-1632 4-465 Request for Rulemaking Concerning Corporate Elections
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4-463, AAER-1608 4-463 Request for Rulemaking for Clarification of Material Disclosures with Respect to Financially Significant Environmental Liabilities and Compliance with Existing Material Financial Disclosures
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4-463, AAER-1608 4-463 Request for Rulemaking for Clarification of Material Disclosures with Respect to Financially Significant Environmental Liabilities and Compliance with Existing Material Financial Disclosures
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4-475, AAER-1746 4-475 Request for Rulemaking Concerning Changes to Fundamental Investment Policies of Closed-End Funds (Section 12 - Majority of a Quorum to Approve a Change in Investment Policy)
4-475, AAER-1746 4-475 Request for Rulemaking Concerning Changes to Fundamental Investment Policies of Closed-End Funds (Section 12 - Majority of a Quorum to Approve a Change in Investment Policy)
4-461, AAER-1580 4-461 Request for Rulemaking to Amend Rule 14a-8(i) to Allow Shareholder Proposals To Elect Directors
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4-461, AAER-1580 4-461 Request for Rulemaking to Amend Rule 14a-8(i) to Allow Shareholder Proposals To Elect Directors
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4-457, AAER-1543 4-457 Request for Rulemaking Concerning Definition of Investment Company
4-457, AAER-1543 4-457 Request for Rulemaking Concerning Definition of Investment Company
4-450 4-450 Request for Interpretive Release Concerning MD&A Under Regulation S-K, Item 303
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4-449, AAER-1463 4-449 Request for Rulemaking to Amend Regulation S-K, Items 401 and 404, Concerning Director Conflicts of Interest
4-449, AAER-1463 4-449 Request for Rulemaking to Amend Regulation S-K, Items 401 and 404, Concerning Director Conflicts of Interest
4-448, AAER-1447 4-448 Request for Rulemaking Concerning Definition of Independent Auditor and Limiting Services Accounting Firms May Provide to Audit Clients
4-448, AAER-1447 4-448 Request for Rulemaking Concerning Definition of Independent Auditor and Limiting Services Accounting Firms May Provide to Audit Clients
4-486, AAER-1892 4-486 Request for rulemaking to exempt the government securities of the Republic of Singapore from Rule 3a12-8 under the Securities Exchange Act of 1934 for the purpose of trading the Singapore Government Bond futures contracts
4-486, AAER-1892 4-486 Request for rulemaking to exempt the government securities of the Republic of Singapore from Rule 3a12-8 under the Securities Exchange Act of 1934 for the purpose of trading the Singapore Government Bond futures contracts
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