Agency Rule List - Fall 2020


Securities and Exchange Commission

Agency Agenda Stage of Rulemaking Title RIN
SEC Prerule Stage Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps 3235-AK77
SEC Prerule Stage Portfolio Margining Harmonization 3235-AM64
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 Rule 144 Holding Period and Form 144 Filings 3235-AM78
SEC Proposed Rule Stage Temporary Rules to Include Certain "Platform Workers" in Compensatory Offerings Under Rule 701 and Form S-8 3235-AM79
SEC Proposed Rule Stage Investment Company Shareholder Report and Modernization of Certain Investment Company Disclosure 3235-AM52
SEC Proposed Rule Stage Amendments to the Family Office Rule 3235-AM67
SEC Proposed Rule Stage Amendments to Form PF 3235-AM75
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 Execution Quality 3235-AM57
SEC Proposed Rule Stage Records to be Preserved by Certain Exchange Members, Brokers and Dealers 3235-AM76
SEC Proposed Rule Stage Enhanced Listing Standards for Access to Audit Work Papers; Access to Audit Work Papers and Co-Audit Standards 3235-AM81
SEC Proposed Rule Stage Broker-Dealer Reporting, Audit, and Notification Requirements 3235-AM46
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 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 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 Investment Company Fair Value 3235-AM71
SEC Final Rule Stage Exemption from the Definition of "Clearing Agency" for certain activities of Security-Based Swap Dealers and Security-Based Swap Execution Facilities 3235-AK74
SEC Final Rule Stage Market Data Infrastructure 3235-AM61
SEC Final Rule Stage Amendments to NMS Plan for the Consolidated Audit Trail-Data Security 3235-AM62
SEC Final Rule Stage Amendments to the Commission's Rules of Practice 3235-AL98
SEC Final Rule Stage Amendments to Certain Provisions of the Auditor Independence Rules 3235-AM63
SEC Final Rule Stage Administration of the Electronic Data Gathering, Analysis, and Retrieval System 3235-AM77