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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