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Search: Agenda Reg Review ICR

Agency Rule List - Fall 2015

Securities and Exchange Commission

Agency Agenda Stage of Rulemaking Title RIN
SEC Prerule Stage Request for Comment on the Effectiveness of Financial Disclosures About Entities Other Than the Registrant 3235-AL77
SEC Prerule Stage Regulation S-K 3235-AL78
SEC Prerule Stage Guide 3 Bank Holding Company Disclosure 3235-AL79
SEC Prerule Stage Transfer Agents 3235-AL55
SEC Proposed Rule Stage Implementation of Title I of the Jumpstart Our Business Startups Act 3235-AL38
SEC Proposed Rule Stage Registration of Security-Based Swaps 3235-AL44
SEC Proposed Rule Stage Disclosure of Payments by Resource Extraction Issuers 3235-AL53
SEC Proposed Rule Stage Amendments to Interactive Data (XBRL) Program 3235-AL59
SEC Proposed Rule Stage Proposed Rule Amendments To Facilitate Intrastate and Regional Securities Offerings 3235-AL80
SEC Proposed Rule Stage Guide 7 Mining Disclosure 3235-AL81
SEC Proposed Rule Stage Amendments to Regulation S-K and Regulation S-X 3235-AL82
SEC Proposed Rule Stage Universal Ballot 3235-AL84
SEC Proposed Rule Stage Exchange-Traded Funds 3235-AJ60
SEC Proposed Rule Stage Investment Company Advertising, Target Date Retirement Fund Name and Marketing 3235-AK50
SEC Proposed Rule Stage Enhanced Disclosure for Separate Accounts Registered as Unit Investment Trusts and Offering Variable Annuities 3235-AK60
SEC Proposed Rule Stage Personalized Investment Advice Standard of Conduct 3235-AL27
SEC Proposed Rule Stage Investment Company Reporting Modernization 3235-AL42
SEC Proposed Rule Stage Use of Derivatives by Investment Companies Under the Investment Company Act 3235-AL60
SEC Proposed Rule Stage Open-End Liquidity Risk Management Programs; Swing Pricing 3235-AL61
SEC Proposed Rule Stage Transition Plans for Investment Advisers 3235-AL62
SEC Proposed Rule Stage Stress Testing for Large Asset Managers and Large Investment Companies 3235-AL63
SEC Proposed Rule Stage Prohibition Against Conflicts of Interest Relating to Certain Securitizations 3235-AL04
SEC Proposed Rule Stage Rules Regarding Incentive Compensation 3235-AL06
SEC Proposed Rule Stage Commission Guidance Regarding Definitions of Mortgage Related Security and Small Business Related Security 3235-AL33
SEC Proposed Rule Stage Broker-Dealer Leverage Ratio 3235-AL50
SEC Proposed Rule Stage Orderly Liquidation of Covered Broker-Dealers 3235-AL51
SEC Proposed Rule Stage Dealer Status of Active Intraday Proprietary Trading Firms 3235-AL64
SEC Proposed Rule Stage Regulation of NMS Stock Alternative Trading Systems 3235-AL66
SEC Proposed Rule Stage Amendments to Exchange Act Rules 600 and 606: Order Routing Transparency for Institutional Customers 3235-AL67
SEC Proposed Rule Stage Anti-Disruptive Trading Rule 3235-AL68
SEC Proposed Rule Stage Recordkeeping and Risk Controls Specific to Algorithmic Trading 3235-AL69
SEC Proposed Rule Stage Technical Schema for Security-Based Swap Data Provided by Registered SDRs 3235-AL72
SEC Proposed Rule Stage Risk Mitigation Techniques 3235-AL83
SEC Proposed Rule Stage Electronic Filing of Broker-Dealer Reports 3235-AL85
SEC Proposed Rule Stage Shortening the Settlement Cycle 3235-AL86
SEC Proposed Rule Stage Credit Rating Agencies--Conflicts of Interest 3235-AL54
SEC Proposed Rule Stage Concept Release on Possible Revisions to Audit Committee Disclosures 3235-AL70
SEC Final Rule Stage Asset-Backed Securities 3235-AK37
SEC Final Rule Stage Listing Standards for Recovery of Erroneously Awarded Compensation 3235-AK99
SEC Final Rule Stage Pay Versus Performance 3235-AL00
SEC Final Rule Stage Crowdfunding 3235-AL37
SEC Final Rule Stage Changes to Exchange Act Registration Requirements to Implement Title V and Title VI of the JOBS Act 3235-AL40
SEC Final Rule Stage Treatment of Certain Communications Involving Security-Based Swaps That May be Purchased Only by Eligible Contract Participants 3235-AL41
SEC Final Rule Stage Amendments to Regulation D, Form D and Rule 156 Under the Securities Act 3235-AL46
SEC Final Rule Stage Disclosure of Hedging by Employees, Officers and Directors 3235-AL49
SEC Final Rule Stage Reporting of Proxy Votes on Executive Compensation and Other Matters 3235-AK67
SEC Final Rule Stage Amendments to Form ADV and Investment Advisers Act Rules 3235-AL75
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 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 Security-Based Swap Execution Facilities 3235-AK93
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, and Segregation Requirements for Security-Based Swap Dealers and Capital Requirements for Broker-Dealers 3235-AL12
SEC Final Rule Stage Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities 3235-AL25
SEC Final Rule Stage Reporting and Recordkeeping Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants 3235-AL45
SEC Final Rule Stage Standards for Covered Clearing Agencies 3235-AL48
SEC Final Rule Stage Exemption for Certain Exchange Members 3235-AL65
SEC Final Rule Stage Regulation SBSR -- Reporting and Dissemination of Security-Based Swap Information 3235-AL71
SEC Final Rule Stage Application of Certain Title VII Requirements to Security-Based Swap Transactions Involving Conduct Within the United States, and Certain Other Transactions 3235-AL73
SEC Final Rule Stage Regulatory Access to Security-Based Swap Data Repositories 3235-AL74
SEC Final Rule Stage Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons to Effect or Be Involved in Effecting Security-Based Swaps 3235-AL76
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