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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