Agency Rule List - Fall 2018


Securities and Exchange Commission

Agency Agenda Stage of Rulemaking Title RIN
SEC Prerule Stage Harmonization of Exempt Offerings 3235-AM27
SEC Prerule Stage Earnings Releases/Quarterly Reports 3235-AM40
SEC Prerule Stage Modernization of Investment Company Disclosure 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 Extending the Testing the Waters Provision to Non-Emerging Growth Companies 3235-AM23
SEC Proposed Rule Stage Accelerated Filer Definition 3235-AM41
SEC Proposed Rule Stage Regulation A 3235-AM42
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 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 Fund of Funds Arrangements 3235-AM29
SEC Proposed 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 Proposed Rule Stage Transfer Agents 3235-AL55
SEC Proposed Rule Stage Harmonization of Certain Title VII Rules 3235-AM13
SEC Proposed Rule Stage Volcker Rule Community Bank Relief and Removing Naming Restrictions 3235-AM43
SEC Proposed Rule Stage Amendment to Rule for Nationally Recognized Statistical Rating Organizations 3235-AM05
SEC Final Rule Stage Disclosure of Hedging by Employees, Officers and Directors 3235-AL49
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 Implement FAST Act Report 3235-AM00
SEC Final Rule Stage Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures to Retail Communications and Restrictions on the use of Certain Names or Titles 3235-AL27
SEC Final Rule Stage Amendments to Securities Act Rules Under the Fair Access to Investment Research Act of 2017 3235-AM24
SEC Final Rule Stage Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation 3235-AM36
SEC Final Rule Stage Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Capital Requirements for Broker-Dealers 3235-AL12
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 Disclosure of Order Handling Information 3235-AL67
SEC Final Rule Stage Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons to Effect or Be Involved in Effecting Security-Based Swaps 3235-AL76
SEC Final Rule Stage Transaction Fee Pilot 3235-AM04
SEC Final Rule Stage Prohibitions and Restrictions on Proprietary Trading and Certain Relationships With Hedge Funds and Private Equity Funds 3235-AM10
SEC Final Rule Stage Regulation Best Interest 3235-AM35
SEC Final Rule Stage Amendments to Municipal Securities Disclosure 3235-AL97
SEC Final Rule Stage Auditor Independence With Respect to Loans or Debtor-Creditor Relationships 3235-AM01
SEC Final Rule Stage Amendments to the Commission's Whistleblower Program Rules 3235-AM11