Agency Rule List - Spring 2021


Securities and Exchange Commission

Agency Agenda Stage of Rulemaking Title RIN
SEC Prerule Stage Exempt Offerings 3235-AM85
SEC Prerule Stage Third Party Service Providers 3235-AM95
SEC Prerule Stage Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps 3235-AK77
SEC Prerule Stage Gamification 3235-AN00
SEC Proposed Rule Stage Listing Standards for Recovery of Erroneously Awarded Compensation 3235-AK99
SEC Proposed Rule Stage Corporate Board Diversity 3235-AL91
SEC Proposed Rule Stage Disclosure of Payments by Resource Extraction Issuers 3235-AM06
SEC Proposed Rule Stage Mandated Electronic Filings 3235-AM15
SEC Proposed Rule Stage Rule 10b5-1 3235-AM86
SEC Proposed Rule Stage Climate Change Disclosure 3235-AM87
SEC Proposed Rule Stage Human Capital Management Disclosure 3235-AM88
SEC Proposed Rule Stage Cybersecurity Risk Governance 3235-AM89
SEC Proposed Rule Stage Special Purpose Acquisition Companies 3235-AM90
SEC Proposed Rule Stage Rule 14a-8 Amendments 3235-AM91
SEC Proposed Rule Stage Proxy Voting Advice 3235-AM92
SEC Proposed Rule Stage Disclosure Regarding Beneficial Ownership and Swaps 3235-AM93
SEC Proposed Rule Stage Share Repurchase Disclosure Modernization 3235-AM94
SEC Proposed Rule Stage Reporting of Proxy Votes on Executive Compensation and Other Matters 3235-AK67
SEC Proposed Rule Stage Amendments to the Custody Rules for Investment Advisers 3235-AM32
SEC Proposed Rule Stage Amendments to Rule 17a-7 Under the Investment Company Act 3235-AM69
SEC Proposed Rule Stage Amendments to Form PF 3235-AM75
SEC Proposed Rule Stage Money Market Fund Reforms 3235-AM80
SEC Proposed Rule Stage Rules Related to Investment Companies and Investment Advisers to Address Matters Relating to Environmental, Social and Governance Factors 3235-AM96
SEC Proposed Rule Stage Electronic Submission of Applications for Orders Under the Advisers Act, Confidential Treatment Requests for Filings on Form 13F, and ADV-NR 3235-AM97
SEC Proposed Rule Stage Open-End Fund Liquidity and Dilution Management 3235-AM98
SEC Proposed Rule Stage Registration and Regulation of Security-Based Swap Execution Facilities 3235-AK93
SEC Proposed Rule Stage Prohibition Against Conflicts of Interest Relating to Certain Securitizations 3235-AL04
SEC Proposed Rule Stage Incentive-Based Compensation Arrangements 3235-AL06
SEC Proposed Rule Stage Broker-Dealer Liquidity Stress Testing, Early Warning, and Account Transfer Requirements 3235-AL50
SEC Proposed Rule Stage Transfer Agents 3235-AL55
SEC Proposed Rule Stage Electronic Filing of Broker-Dealer Reports 3235-AL85
SEC Proposed Rule Stage Electronic Filing of Form 1 and Form 1 Amendments; Form 19b-4(e) 3235-AM09
SEC Proposed Rule Stage Short Sale Disclosure Reforms 3235-AM34
SEC Proposed Rule Stage Market Structure Modernization 3235-AM57
SEC Proposed Rule Stage Portfolio Margining of Uncleared Swaps and Non-Cleared Security Based Swaps 3235-AM64
SEC Proposed Rule Stage Records to be Preserved by Certain Exchange Members, Brokers and Dealers 3235-AM76
SEC Proposed Rule Stage Trading Prohibitions Under the Holding Foreign Companies Accountable Act and Enhanced Listing Standards 3235-AM81
SEC Proposed Rule Stage Loan or Borrowing of Securities 3235-AN01
SEC Proposed Rule Stage Amendments to the Securities Transaction Settlement Cycle 3235-AN02
SEC Proposed Rule Stage Amendments to the Commission's Whistleblower Program Rules 3235-AN03
SEC Final Rule Stage Pay Versus Performance 3235-AL00
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 Rule 144 Holding Period and Form 144 Filings 3235-AM78
SEC Final Rule Stage Tailored Shareholder Reports, Treatment of Annual Prospectus Updates for Existing Investors, and Improved Fee and Risk Disclosure for Mutual Funds and ETFs; Fee Information in Investment Company Ads 3235-AM52
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 Establishing the Form and Manner With Which Security-Based Swap Data Repositories Must Make Security-Based Swap Data Available to the Commission 3235-AL72
SEC Final Rule Stage Regulation ATS for ATSs That Trade U.S. Government Securities 3235-AM45
SEC Final Rule Stage Amendments to NMS Plan for the Consolidated Audit Trail-Data Security 3235-AM62