Agency Rule List - Spring 2018


Securities and Exchange Commission

Agency Agenda Stage of Rulemaking Title RIN
SEC Prerule Stage Fund Retail Investor Experience and Disclosure Request for Comment 3235-AM28
SEC Proposed Rule Stage Amendments to Financial Disclosures About Acquired Businesses 3235-AL77
SEC Proposed Rule Stage Business, Financial and Management Disclosure Required By Regulation S-K 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 the Financial Disclosures for Registered Debt Security Offerings 3235-AM12
SEC Proposed Rule Stage Extending the Testing the Waters Provision to Non-Emerging Growth Companies 3235-AM23
SEC Proposed Rule Stage Exchange-Traded Funds 3235-AJ60
SEC Proposed Rule Stage Enhanced Disclosure for Separate Accounts Registered as Unit Investment Trusts and Offering Variable Insurance Products 3235-AK60
SEC Proposed Rule Stage Personalized Investment Advice Standard of Conduct 3235-AL27
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 Securities Act Rules Under the Fair Access to Investment Research Act of 2017 3235-AM24
SEC Proposed Rule Stage Fund of Funds Arrangements 3235-AM29
SEC Proposed Rule Stage Investment Company Liquidity Disclosure 3235-AM30
SEC Proposed Rule Stage Transaction Fee Pilot 3235-AM04
SEC Proposed Rule Stage Prohibitions and Restrictions on Proprietary Trading and Certain Relationships With Hedge Funds and Private Equity Funds 3235-AM10
SEC Proposed Rule Stage Harmonization of Certain Title VII Rules 3235-AM13
SEC Proposed Rule Stage Auditor Independence With Respect to Loans or Debtor-Creditor Relationships 3235-AM01
SEC Proposed Rule Stage Amendment to Rule for Nationally Recognized Statistical Rating Organizations 3235-AM05
SEC Proposed Rule Stage Amendments to the Commission's Whistleblower Program Rules 3235-AM11
SEC Final Rule Stage Disclosure of Hedging by Employees, Officers and Directors 3235-AL49
SEC Final Rule Stage Amendments to Interactive Data (XBRL) Program 3235-AL59
SEC Final Rule Stage Modernization of Property Disclosures for Mining Registrants 3235-AL81
SEC Final Rule Stage Disclosure Update and Simplification 3235-AL82
SEC Final Rule Stage Amendments to Smaller Reporting Company Definition 3235-AL90
SEC Final Rule Stage Amendments to Implement FAST Act Report 3235-AM00
SEC Final Rule Stage Investment Company Reporting Modernization; Option for Website Transmission of Shareholder Reports 3235-AL42
SEC Final Rule Stage Regulation of NMS Stock Alternative Trading Systems 3235-AL66
SEC Final Rule Stage Disclosure of Order Handling Information 3235-AL67
SEC Final Rule Stage Amendments to Municipal Securities Disclosure 3235-AL97
SEC Final Rule Stage Amendments to the Commission's Freedom of Information Act Regulations 3235-AM25