Agency Rule List - Spring 2013


Securities and Exchange Commission

Agency Agenda Stage of Rulemaking Title RIN
SEC Prerule Stage Beneficial Ownership Reporting 3235-AK42
SEC Prerule Stage Personalized Investment Advice Standard of Conduct 3235-AL27
SEC Proposed Rule Stage Proxy Voting and Shareholder Communications 3235-AK43
SEC Proposed Rule Stage Compensation Clawback 3235-AK99
SEC Proposed Rule Stage Executive Compensation Disclosure 3235-AL00
SEC Proposed Rule Stage Rules Governing the Offer and Sale of Securities Through Crowdfunding Under Section 4(6) of the Securities Act of 1933 3235-AL37
SEC Proposed Rule Stage Implementation of Title I of the Jumpstart Our Business Startups Act 3235-AL38
SEC Proposed Rule Stage Small and Additional Issues Exemptions Under Section 3(b) of the Securities Act of 1933 3235-AL39
SEC Proposed Rule Stage Implementation of Titles V and VI of the JOBS Act 3235-AL40
SEC Proposed Rule Stage Treatment of Certain Communications Involving Security-Based Swaps That May be Purchased Only by Eligible Contract Participants 3235-AL41
SEC Proposed Rule Stage Registration of Security-Based Swaps 3235-AL44
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 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 Treatment of Asset-Backed Issuers Under the Investment Company Act 3235-AL03
SEC Proposed Rule Stage Companies Engaged in the Business of Acquiring Mortgages and Mortgage-Related Securities 3235-AL21
SEC Proposed Rule Stage Use of Derivatives by Investment Companies Under the Investment Company Act of 1940 3235-AL22
SEC Proposed Rule Stage Form N-SAR and Portfolio Holdings Reporting Reform 3235-AL42
SEC Proposed Rule Stage Publication or Submission of Quotations Without Specified Information 3235-AH40
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 Transfer Agent Regulation 3235-AK57
SEC Proposed Rule Stage Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges 3235-AK74
SEC Proposed Rule Stage Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps 3235-AK77
SEC Proposed Rule Stage Security-Based Swap Data Repository Registration, Duties, and Core Principles 3235-AK79
SEC Proposed Rule Stage Regulation SBSR--Reporting and Dissemination of Security-Based Swap Information 3235-AK80
SEC Proposed Rule Stage End-User Exception to Mandatory Clearing of Security-Based Swaps 3235-AK88
SEC Proposed Rule Stage Trade Acknowledgement and Verification of Security-Based Swap Transactions 3235-AK91
SEC Proposed Rule Stage Registration and Regulation of Securities-Based Swap Execution Facilities 3235-AK93
SEC Proposed Rule Stage Exchange Audits of Section 31 Fee Proposals 3235-AK94
SEC Proposed Rule Stage Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants 3235-AL05
SEC Proposed Rule Stage Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants 3235-AL10
SEC Proposed Rule Stage Capital, Margin, Segregation, Reporting and Recordkeeping Requirements for Security-Based Swap Dealers 3235-AL12
SEC Proposed Rule Stage Regulation Systems Compliance and Integrity 3235-AL43
SEC Proposed Rule Stage Reporting and Recordkeeping Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants 3235-AL45
SEC Final Rule Stage Transitional Registration as a Municipal Advisor 3235-AK69
SEC Final Rule Stage Registration of Municipal Advisers 3235-AK86
SEC Final Rule Stage Asset-Backed Securities 3235-AK37
SEC Final Rule Stage Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings 3235-AK97
SEC Final Rule Stage Elimination of Prohibition on General Solicitation in Rule 506 and Rule 144A Offerings 3235-AL34
SEC Final Rule Stage Exchange-Traded Funds 3235-AJ60
SEC Final Rule Stage Investment Company Advertising: Target Date Retirement Fund Name and Marketing 3235-AK50
SEC Final Rule Stage Reporting of Proxy Votes on Executive Compensation and Other Matters 3235-AK67
SEC Final Rule Stage Purchase of Certain Debt Securities by Business and Industrial Development Companies Relying on an Investment Company Act Exemption 3235-AL02
SEC Final Rule Stage Amendments to Financial Responsibility Rules for Broker-Dealers 3235-AJ85
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 Purchases of Certain Equity Securities by the Issuer and Others 3235-AK54
SEC Final Rule Stage Broker-Dealer Reports 3235-AK56
SEC Final Rule Stage Proposed Amendments to Rule 610 of Regulation NMS 3235-AK62
SEC Final Rule Stage Prohibition Against Conflicts of Interest Relating to Certain Securitizations 3235-AL04
SEC Final Rule Stage Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 3235-AL14
SEC Final Rule Stage Rules for Nationally Recognized Statistical Rating Organizations 3235-AL15
SEC Final Rule Stage Retail Foreign Exchange Transactions 3235-AL19
SEC Final Rule Stage Regulation of Cross-Border Security-Based Swap Activities 3235-AL25
SEC Final Rule Stage Commission Guidance Regarding Definitions of Mortgage Related Security and Small Business Related Security 3235-AL33
SEC Final Rule Stage Supervised Investment Bank Holding Company Rules 3235-AL35