Agency Rule List - Spring 2020


Securities and Exchange Commission

Agency Agenda Stage of Rulemaking Title RIN
SEC Prerule Stage Portfolio Margining Harmonization 3235-AM64
SEC Proposed Rule Stage Listing Standards for Recovery of Erroneously Awarded Compensation 3235-AK99
SEC Proposed Rule Stage Mandated Electronic Filings 3235-AM15
SEC Proposed Rule Stage Proxy Process Amendments 3235-AM16
SEC Proposed Rule Stage Guide 5 Real Estate Limited Partnerships and Form S-11 3235-AM17
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 Amendments to the Custody Rules for Investment Advisers 3235-AM32
SEC Proposed Rule Stage Investment Company Summary Shareholder Report and Modernization of Certain Investment Company Disclosure 3235-AM52
SEC Proposed Rule Stage Amendments to Form 13F Filer Threshold 3235-AM65
SEC Proposed Rule Stage Amendments to the Family Office Rule 3235-AM67
SEC Proposed Rule Stage Amendments to Rule 17a-7 Under the Investment Company Act 3235-AM69
SEC Proposed Rule Stage Investment Company Fair Value 3235-AM71
SEC Proposed Rule Stage Amendments to Form PF 3235-AM75
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 Electronic Filing of Broker-Dealer Reports 3235-AL85
SEC Proposed Rule Stage Regulation of Alternative Trading Systems (Government Securities) 3235-AM45
SEC Proposed Rule Stage Amendments to NMS Plan for the Consolidated Audit Trail-Data Security 3235-AM62
SEC Proposed Rule Stage Broker-Dealer Reporting, Audit, and Notification Requirements 3235-AM46
SEC Final Rule Stage Amendments to Financial Disclosures About Acquired Businesses 3235-AL77
SEC Final Rule Stage Modernization and Simplification of Disclosures of Regulation S-K Items 101, 103, and 105 3235-AL78
SEC Final Rule Stage Update of Statistical Disclosures for Bank and Savings and Loan Registrants 3235-AL79
SEC Final Rule Stage Universal Proxy 3235-AL84
SEC Final Rule Stage Filing Fee Disclosure and Payment Methods Modernization 3235-AL96
SEC Final Rule Stage Disclosure of Payments by Resource Extraction Issuers 3235-AM06
SEC Final Rule Stage Amending the "Accredited Investor" Definition 3235-AM19
SEC Final Rule Stage Harmonization of Exempt Offerings 3235-AM27
SEC Final Rule Stage Modernization and Simplification of Disclosures Regarding MD&A, Selected Financial Data and Supplementary Financial Information 3235-AM48
SEC Final Rule Stage Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8 3235-AM49
SEC Final Rule Stage Amendments to Exemptions From the Proxy Rules for Proxy Voting Advice 3235-AM50
SEC Final Rule Stage Use of Derivatives by Registered Investment Companies and Business Development Companies 3235-AL60
SEC Final Rule Stage Investment Adviser Advertisements; Compensation for Solicitations 3235-AM08
SEC Final Rule Stage Fund of Funds Arrangements 3235-AM29
SEC Final Rule Stage Amendments to Procedures for Applications under the Investment Company Act 3235-AM51
SEC Final Rule Stage Prohibitions and Restrictions on Proprietary Trading and Certain Relationships With Hedge Funds and Private Equity Funds 3235-AM70
SEC Final Rule Stage Initiation or Resumption of Quotations Without Specified Information 3235-AM54
SEC Final Rule Stage Customer Margin Requirements for Security Futures 3235-AM55
SEC Final Rule Stage Recession of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments 3235-AM56
SEC Final Rule Stage Market Data Infrastructure 3235-AM61
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
SEC Final Rule Stage Amendments to Certain Provisions of the Auditor Independence Rules 3235-AM63