Agency Rule List - Fall 2010


Securities and Exchange Commission

Agency Agenda Stage of Rulemaking Title RIN
SEC Proposed Rule Stage Financial Reporting 3235-AJ99
SEC Proposed Rule Stage Short Sales 3235-AK30
SEC Proposed Rule Stage Beneficial Ownership Reporting 3235-AK42
SEC Proposed Rule Stage Proxy Voting and Shareholder Communications 3235-AK43
SEC Proposed Rule Stage Risk Disclosures 3235-AK58
SEC Proposed Rule Stage Voluntary Filers 3235-AK59
SEC Proposed Rule Stage Frequency of Distribution of Capital Gains 3235-AJ53
SEC Proposed Rule Stage Employees' Securities Companies 3235-AJ82
SEC Proposed Rule Stage Fund of Funds Investments 3235-AJ83
SEC Proposed Rule Stage Valuation of Portfolio Securities and Other Assets by Investment Companies Under the Investment Company Act 3235-AK09
SEC Proposed Rule Stage Investment Adviser and Broker-Dealer Harmonization 3235-AK36
SEC Proposed Rule Stage Enhanced Disclosure for Separate Accounts Registered as Unit Investment Trusts and Offering Variable Annuities 3235-AK60
SEC Proposed Rule Stage Money Market Fund Reform 3235-AK61
SEC Proposed Rule Stage Investment Adviser Performance or Incentive Fees 3235-AK71
SEC Proposed Rule Stage Risk Assessment Recordkeeping and Reporting Requirement 3235-AH06
SEC Proposed Rule Stage Publication or Submission of Quotations Without Specified Information 3235-AH40
SEC Proposed Rule Stage Fair Administration and Governance of Self-Regulatory Organizations 3235-AJ33
SEC Proposed Rule Stage Amendments to Regulation M: Anti-Manipulation Rules Concerning Securities Offerings 3235-AJ37
SEC Proposed Rule Stage Form BD and Form BDW 3235-AJ52
SEC Proposed Rule Stage Amendments to Rule 15c3-1 and Rule 17a-11 Applicable to Broker-Dealers Also Registered as Futures Commission Merchants 3235-AJ72
SEC Proposed Rule Stage Amendments to Rule 17a-5 3235-AK56
SEC Proposed Rule Stage Transfer Agent Regulation 3235-AK57
SEC Proposed Rule Stage Definitions Contained in Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act 3235-AK65
SEC Proposed Rule Stage Proposed Rules Under the Dodd-Frank Wall Street Reform and Consumer Protection Act 3235-AK63
SEC Final Rule Stage Security Ratings 3235-AK18
SEC Final Rule Stage Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps 3235-AK26
SEC Final Rule Stage Proxy Solicitation Enhancements 3235-AK28
SEC Final Rule Stage Communications By or On Behalf of Well-Known Seasoned Issuers 3235-AK29
SEC Final Rule Stage Asset-Backed Securities 3235-AK37
SEC Final Rule Stage Credit Ratings Disclosure 3235-AK41
SEC Final Rule Stage Shareholder Approval of Executive Compensation and Golden Parachute Compensation 3235-AK68
SEC Final Rule Stage Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities 3235-AK70
SEC Final Rule Stage Exchange-Traded Funds 3235-AJ60
SEC Final Rule Stage Investment Company Distribution Fees 3235-AJ94
SEC Final Rule Stage Temporary Rule Regarding Principal Trades With Certain Advisory Clients 3235-AJ96
SEC Final Rule Stage Interpretive Rule Under the Advisers Act Affecting Broker-Dealers 3235-AJ97
SEC Final Rule Stage Proposed Amendments to Regulation S-P 3235-AK08
SEC Final Rule Stage References to Ratings of Nationally Recognized Statistical Rating Organizations 3235-AK19
SEC Final Rule Stage Investment Company Advertising: Target Date Retirement Fund Name and Marketing 3235-AK50
SEC Final Rule Stage Family Offices 3235-AK66
SEC Final Rule Stage Reporting of Proxy Votes on Executive Compensation and Other Matters 3235-AK67
SEC Final Rule Stage Amendments to Financial Responsibility Rules for Broker-Dealers 3235-AJ85
SEC Final Rule Stage Proposed Rules for Nationally Recognized Statistical Rating Organizations 3235-AK14
SEC Final Rule Stage References to Ratings of Nationally Recognized Statistical Rating Organizations 3235-AK17
SEC Final Rule Stage Elimination of Flash Order Exception From Rule 602 of Regulation NMS 3235-AK40
SEC Final Rule Stage Regulation of Non-Public Trading Interest 3235-AK46
SEC Final Rule Stage Consolidated Audit Trail 3235-AK51
SEC Final Rule Stage Risk Management Controls for Brokers or Dealers With Market Access 3235-AK53
SEC Final Rule Stage Purchases of Certain Equity Securities by the Issuer and Others 3235-AK54
SEC Final Rule Stage Large Trader Reporting 3235-AK55
SEC Final Rule Stage Proposed Amendments to Rule 610 of Regulation NMS 3235-AK62
SEC Final Rule Stage Transitional Registration as a Municipal Advisor 3235-AK69
SEC Final Rule Stage Final Rules under the Dodd-Frank Wall Street Reform and Consumer Protection Act 3235-AK64