Agency Rule List - Fall 2013


Securities and Exchange Commission

Agency Agenda Stage of Rulemaking Title RIN
SEC Long-Term Actions Credit Risk Retention 3235-AK96
SEC Long-Term Actions Personalized Investment Advice Standard of Conduct 3235-AL27
SEC Long-Term Actions Rules Regarding Incentive Compensation 3235-AL06
SEC Long-Term Actions Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds 3235-AL07
SEC Long-Term Actions Orderly Liquidation of Covered Broker-Dealers 3235-AL51