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Agency Rule List - Fall 2013
Securities and Exchange Commission
Agency
Agenda Stage of Rulemaking
Title
RIN
SEC
Proposed Rule Stage
Compensation Clawback
3235-AK99
SEC
Proposed Rule Stage
Pay for Performance
3235-AL00
SEC
Proposed Rule Stage
Rules Governing the Offer and Sale of Securities Through Crowdfunding Under Section 4(a)(6) of the Securities Act
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
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
Disclosure of Hedging by Employees, Officers and Directors
3235-AL49
SEC
Proposed Rule Stage
Enhanced Disclosure for Separate Accounts Registered as Unit Investment Trusts and Offering Variable Annuities
3235-AK60
SEC
Proposed Rule Stage
Form N-SAR and Portfolio Holdings Reporting Reform
3235-AL42
SEC
Proposed Rule Stage
Commission Guidance Regarding Definitions of Mortgage Related Security and Small Business Related Security
3235-AL33
SEC
Proposed Rule Stage
Reporting and Recordkeeping Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants
3235-AL45
SEC
Proposed Rule Stage
Standards for Covered Clearing Agencies
3235-AL48
SEC
Proposed Rule Stage
Broker-Dealer Leverage Ratio
3235-AL50
SEC
Final Rule Stage
Asset-Backed Securities
3235-AK37
SEC
Final Rule Stage
Amendments to Regulation D, Form D and Rule 156 under the Securities Act
3235-AL46
SEC
Final Rule Stage
Pay Ratio Disclosure
3235-AL47
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
Money Market Fund Reform; Amendments to Form PF
3235-AK61
SEC
Final Rule Stage
Reporting of Proxy Votes on Executive Compensation and Other Matters
3235-AK67
SEC
Final Rule Stage
References to Credit Ratings in Certain Investment Company Act Rules and Forms
3235-AL02
SEC
Final Rule Stage
Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Exchanges
3235-AK74
SEC
Final Rule Stage
Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps
3235-AK77
SEC
Final Rule Stage
Security-Based Swap Data Repository Registration, Duties, and Core Principles
3235-AK79
SEC
Final Rule Stage
Regulation SBSR--Reporting and Dissemination of Security-Based Swap Information
3235-AK80
SEC
Final Rule Stage
End-User Exception to Mandatory Clearing of Security-Based Swaps
3235-AK88
SEC
Final Rule Stage
Trade Acknowledgement and Verification of Security-Based Swap Transactions
3235-AK91
SEC
Final Rule Stage
Registration and Regulation of Securities-Based Swap Execution Facilities
3235-AK93
SEC
Final Rule Stage
Prohibition Against Conflicts of Interest Relating to Certain Securitizations
3235-AL04
SEC
Final Rule Stage
Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
3235-AL05
SEC
Final Rule Stage
Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
3235-AL10
SEC
Final Rule Stage
Capital, Margin, Segregation, Reporting and Recordkeeping Requirements for Security-Based Swap Dealers
3235-AL12
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
Regulation of Cross-Border Security-Based Swap Activities
3235-AL25
SEC
Final Rule Stage
Regulation Systems Compliance and Integrity
3235-AL43