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SEC RIN: 3235-AJ37 Publication ID: 2012 
Title: Amendments to Regulation M: Anti-Manipulation Rules Concerning Securities Offerings 
Abstract: The Commission proposed amendments to Regulation M under an earlier RIN 3235-AF54 to prohibit certain activities by underwriters and other distribution participants that can undermine the integrity and fairness of the offering process, particularly with respect to allocation of offered securities. The amendments also sought to enhance the transparency of syndicate covering bids and prohibit the use of penalty bids. The amendments were also intended to update certain definitional and operational provisions in light of market developments since Regulation M's adoption. 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: No  Unfunded Mandates: No 
CFR Citation: 17 CFR 242.100; 17 CFR 242.101; 17 CFR 242.102; 17 CFR 242.103; 17 CFR 242.104; 17 CFR 242.105 
Legal Authority: 15 USC 77g; 15 USC 77a(a); 15 USC 77s(a); 15 USC 78b; 15 USC 78c; 15 USC 78i(a); 15 USC 78j; 15 USC 78k-1(c); 15 USC 78l; 15 USC 78m; 15 USC 78n; 15 USC 78o(b); 15 USC 78o(c); 15 USC 78(g); 15 USC 78q(a); 15 USC 78q(b); 15 USC 78w(a); 15 USC 78dd-1; 15 USC 78mm; 15 USC 80a-23; 15 USC 80a-29; 15 USC 80a-37 
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  12/17/2004  69 FR 75774 
NPRM Comment Period End  02/15/2005   
Second NPRM  12/00/2012   
Regulatory Flexibility Analysis Required: No  Government Levels Affected: Undetermined 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/proposed/33-8511.htm  
RIN Data Printed in the FR: No 
Related RINs: Related to 3235-AJ00, Related to 3235-AF54 
Agency Contact:
Joan Collopy
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5743

 
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