Agency Rule List - Spring 2019


Securities and Exchange Commission

Agency Agenda Stage of Rulemaking Title RIN
SEC Prerule Stage Harmonization of Exempt Offerings 3235-AM27
SEC Proposed Rule Stage Amendments to Financial Disclosures About Acquired Businesses 3235-AL77
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 Amendments to Rule 701/Form S-8 3235-AM38
SEC Proposed Rule Stage Accelerated Filer Definition 3235-AM41
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 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 Fund of Funds Arrangements 3235-AM29
SEC Proposed 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 Proposed Rule Stage Amendments to the Custody Rules for Investment Companies and Investment Advisers 3235-AM32
SEC Proposed Rule Stage Amendments to Procedures for Applications Under the Investment Company Act 3235-AM51
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 Amendments and Guidance Regarding Certain Title VII Cross-Border Rules 3235-AM13
SEC Proposed Rule Stage Initiation or Resumption of Quotations Without Specified Information 3235-AM54
SEC Proposed Rule Stage Customer Margin Requirements for Securities Futures 3235-AM55
SEC Proposed Rule Stage Market Data Distribution and Market Access 3235-AM61
SEC Final Rule Stage Amendments to Implement FAST Act Report 3235-AM00
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 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 Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures to Retail Customers and Restrictions on the Use of Certain Names or Titles 3235-AL27
SEC Final Rule Stage Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation 3235-AM36
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 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 Regulation Best Interest 3235-AM35
SEC Final Rule Stage Volcker Rule Community Bank Relief and Removing Naming Restrictions 3235-AM43
SEC Final Rule Stage Amendment to Single Issuer Exemption for Broker-Dealers 3235-AM47
SEC Final Rule Stage Auditor Independence With Respect to Loans or Debtor-Creditor Relationships 3235-AM01
SEC Final Rule Stage Amendment to Rule for Nationally Recognized Statistical Rating Organizations 3235-AM05
SEC Final Rule Stage Amendments to the Commission's Whistleblower Program Rules 3235-AM11