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Agency Rule List - Fall 2013


Securities and Exchange Commission

Agency Agenda Stage of Rulemaking Title RIN
SEC Proposed Rule Stage Compensation Clawback 3235-AK99
SEC Proposed Rule Stage Pay for Performance 3235-AL00
SEC Proposed Rule Stage Rules Governing the Offer and Sale of Securities Through Crowdfunding Under Section 4(a)(6) of the Securities Act 3235-AL37
SEC Proposed Rule Stage Implementation of Title I of the Jumpstart Our Business Startups Act 3235-AL38
SEC Proposed Rule Stage Small and Additional Issues Exemptions Under Section 3(b) of the Securities Act 3235-AL39
SEC Proposed Rule Stage Implementation of Titles V and VI of the JOBS Act 3235-AL40
SEC Proposed Rule Stage Treatment of Certain Communications Involving Security-Based Swaps That May be Purchased Only by Eligible Contract Participants 3235-AL41
SEC Proposed Rule Stage Registration of Security-Based Swaps 3235-AL44
SEC Proposed Rule Stage Disclosure of Hedging by Employees, Officers and Directors 3235-AL49
SEC Proposed Rule Stage Enhanced Disclosure for Separate Accounts Registered as Unit Investment Trusts and Offering Variable Annuities 3235-AK60
SEC Proposed Rule Stage Form N-SAR and Portfolio Holdings Reporting Reform 3235-AL42
SEC Proposed Rule Stage Commission Guidance Regarding Definitions of Mortgage Related Security and Small Business Related Security 3235-AL33
SEC Proposed Rule Stage Reporting and Recordkeeping Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants 3235-AL45
SEC Proposed Rule Stage Standards for Covered Clearing Agencies 3235-AL48
SEC Proposed Rule Stage Broker-Dealer Leverage Ratio 3235-AL50
SEC Final Rule Stage Asset-Backed Securities 3235-AK37
SEC Final Rule Stage Amendments to Regulation D, Form D and Rule 156 under the Securities Act 3235-AL46
SEC Final Rule Stage Pay Ratio Disclosure 3235-AL47
SEC Final Rule Stage Exchange-Traded Funds 3235-AJ60
SEC Final Rule Stage Investment Company Advertising: Target Date Retirement Fund Name and Marketing 3235-AK50
SEC Final Rule Stage Money Market Fund Reform; Amendments to Form PF 3235-AK61
SEC Final Rule Stage Reporting of Proxy Votes on Executive Compensation and Other Matters 3235-AK67
SEC Final Rule Stage References to Credit Ratings in Certain Investment Company Act Rules and Forms 3235-AL02
SEC Final Rule Stage Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Exchanges 3235-AK74
SEC Final Rule Stage Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps 3235-AK77
SEC Final Rule Stage Security-Based Swap Data Repository Registration, Duties, and Core Principles 3235-AK79
SEC Final Rule Stage Regulation SBSR--Reporting and Dissemination of Security-Based Swap Information 3235-AK80
SEC Final Rule Stage End-User Exception to Mandatory Clearing of Security-Based Swaps 3235-AK88
SEC Final Rule Stage Trade Acknowledgement and Verification of Security-Based Swap Transactions 3235-AK91
SEC Final Rule Stage Registration and Regulation of Securities-Based Swap Execution Facilities 3235-AK93
SEC Final Rule Stage Prohibition Against Conflicts of Interest Relating to Certain Securitizations 3235-AL04
SEC Final Rule Stage Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants 3235-AL05
SEC Final Rule Stage Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants 3235-AL10
SEC Final Rule Stage Capital, Margin, Segregation, Reporting and Recordkeeping Requirements for Security-Based Swap Dealers 3235-AL12
SEC Final Rule Stage Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 3235-AL14
SEC Final Rule Stage Rules for Nationally Recognized Statistical Rating Organizations 3235-AL15
SEC Final Rule Stage Regulation of Cross-Border Security-Based Swap Activities 3235-AL25
SEC Final Rule Stage Regulation Systems Compliance and Integrity 3235-AL43
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