Agency Rule List - Fall 2019


Securities and Exchange Commission

Agency Agenda Stage of Rulemaking Title RIN
SEC Prerule Stage Portfolio Margining Harmonization 3235-AM64
SEC Proposed Rule Stage Amendments to Certain Provisions of the Auditor Independence Rules 3235-AM63
SEC Proposed Rule Stage Listing Standards for Recovery of Erroneously Awarded Compensation 3235-AK99
SEC Proposed Rule Stage Modernization and Simplification of Disclosures Regarding Description of Business, Legal Proceedings and Risk Factors 3235-AL78
SEC Proposed Rule Stage Guide 3 Bank Holding Company Disclosure 3235-AL79
SEC Proposed Rule Stage Filing Fee Processing 3235-AL96
SEC Proposed Rule Stage Disclosure of Payments by Resource Extraction Issuers 3235-AM06
SEC Proposed Rule Stage Guide 5 Real Estate Limited Partnerships and Form S-11 3235-AM17
SEC Proposed Rule Stage Accredited Investor Definition 3235-AM19
SEC Proposed Rule Stage Regulation Crowdfunding Amendments 3235-AM20
SEC Proposed Rule Stage Regulation A Amendments 3235-AM21
SEC Proposed Rule Stage Harmonization of Exempt Offerings 3235-AM27
SEC Proposed Rule Stage Amendments to Rule 701/Form S-8 3235-AM38
SEC Proposed Rule Stage Earnings Releases/Quarterly Reports 3235-AM40
SEC Proposed Rule Stage Modernization and Simplification of Disclosures Regarding MD&A, Selected Financial Data and Supplementary Financial Information 3235-AM48
SEC Proposed Rule Stage Rule 14a-8 Amendments 3235-AM49
SEC Proposed Rule Stage Rule 14a-2(b) 3235-AM50
SEC Proposed Rule Stage Amendments to Form 13F Filer Threshold 3235-AM65
SEC Proposed Rule Stage Use of Derivatives by Registered Investment Companies and Business Development Companies 3235-AL60
SEC Proposed Rule Stage Amendments to the Marketing Rules Under the Advisers Act 3235-AM08
SEC Proposed Rule Stage Amendments to the Custody Rules for Investment Advisers 3235-AM32
SEC Proposed Rule Stage Amendments to Procedures for Applications Under the Investment Company Act 3235-AM51
SEC Proposed Rule Stage Investment Company Summary Shareholder Report 3235-AM52
SEC Proposed Rule Stage Registration of Investment Advisers to Rural Business Investment Companies 3235-AM68
SEC Proposed Rule Stage Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps 3235-AK77
SEC Proposed Rule Stage Transfer Agents 3235-AL55
SEC Proposed Rule Stage Broker-Dealer Reporting, Audit, and Notification Requirements 3235-AM46
SEC Proposed Rule Stage Initiation or Resumption of Quotations Without Specified Information 3235-AM54
SEC Proposed Rule Stage Recession of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments 3235-AM56
SEC Proposed Rule Stage Amendments to NMS Plan for the Consolidated Audit Trail--Operational Transparency and Financial Accountability 3235-AM60
SEC Proposed Rule Stage Market Data Distribution and Market Access 3235-AM61
SEC Proposed Rule Stage Amendments to NMS Plan for the Consolidated Audit Trail-Data Security 3235-AM62
SEC Final Rule Stage Amendments to Financial Disclosures About Acquired Businesses 3235-AL77
SEC Final Rule Stage Amendments to the Financial Disclosures for Registered Debt Security Offerings 3235-AM12
SEC Final Rule Stage Extending the Testing the Waters Provision to Non-Emerging Growth Companies 3235-AM23
SEC Final Rule Stage Accelerated Filer Definition 3235-AM41
SEC Final Rule Stage Exchange-Traded Funds 3235-AJ60
SEC Final Rule Stage Enhanced Disclosure for Separate Accounts Registered as Unit Investment Trusts and Offering Variable Insurance Products 3235-AK60
SEC Final Rule Stage Fund of Funds Arrangements 3235-AM29
SEC Final Rule Stage Offering Reform for Business Development Companies Under the Small Business Credit Availability Act and Closed-End Funds Under the Economic Growth, Regulatory Relief, and Consumer Protection Act 3235-AM31
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 Definition of "Covered Clearing Agency" 3235-AL48
SEC Final Rule Stage Risk Mitigation Techniques 3235-AL83
SEC Final Rule Stage Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, And Relationships With Hedge Funds and Private Equity Funds 3235-AM10
SEC Final Rule Stage Amendments and Guidance Regarding Certain Title VII Cross-Border Rules 3235-AM13
SEC Final Rule Stage Customer Margin Requirements for Security Futures 3235-AM55
SEC Final Rule Stage Amendments to the Commission's Rules of Practice 3235-AL98
SEC Final Rule Stage Amendments to the Commission's Whistleblower Program Rules 3235-AM11