Agency Rule List - Fall 2016

Securities and Exchange Commission

Agency Agenda Stage of Rulemaking Title RIN
SEC Prerule Stage Guide 3 Bank Holding Company Disclosure 3235-AL79
SEC Proposed Rule Stage Implementation of Title I of the JOBS Act 3235-AL38
SEC Proposed Rule Stage Registration of Security-Based Swaps 3235-AL44
SEC Proposed Rule Stage Amendments to Interactive Data (XBRL) Program 3235-AL59
SEC Proposed Rule Stage Amendments to Financial Disclosures About Entities Other Than the Registrant 3235-AL77
SEC Proposed Rule Stage Business and Financial Disclosure Required By Regulation S-K 3235-AL78
SEC Proposed Rule Stage Disclosure Update and Simplification 3235-AL82
SEC Proposed Rule Stage Universal Proxy 3235-AL84
SEC Proposed Rule Stage Corporate Board Diversity 3235-AL91
SEC Proposed Rule Stage Filing Fee Processing 3235-AL96
SEC Proposed Rule Stage Exchange-Traded Funds 3235-AJ60
SEC Proposed Rule Stage Investment Company Advertising, Target Date Retirement Fund Name and Marketing 3235-AK50
SEC Proposed Rule Stage Enhanced Disclosure for Separate Accounts Registered as Unit Investment Trusts and Offering Variable Annuities 3235-AK60
SEC Proposed Rule Stage Reporting of Proxy Votes on Executive Compensation and Other Matters 3235-AK67
SEC Proposed Rule Stage Personalized Investment Advice Standard of Conduct 3235-AL27
SEC Proposed Rule Stage Stress Testing for Large Asset Managers and Large Investment Companies 3235-AL63
SEC Proposed Rule Stage Prohibition Against Conflicts of Interest Relating to Certain Securitizations 3235-AL04
SEC Proposed Rule Stage Commission Guidance Regarding Definitions of Mortgage Related Security and Small Business Related Security 3235-AL33
SEC Proposed Rule Stage Standards for Covered Clearing Agencies; Definition of "Covered Clearing Agency" 3235-AL48
SEC Proposed Rule Stage Broker-Dealer Leverage Ratio 3235-AL50
SEC Proposed Rule Stage Transfer Agents 3235-AL55
SEC Proposed Rule Stage Dealer Status of Active Intraday Proprietary Trading Firms 3235-AL64
SEC Proposed Rule Stage Anti-Disruptive Trading Rule 3235-AL68
SEC Proposed Rule Stage Recordkeeping and Risk Controls Specific to Algorithmic Trading 3235-AL69
SEC Proposed Rule Stage Risk Mitigation Techniques 3235-AL83
SEC Proposed Rule Stage Electronic Filing of Broker-Dealer Reports 3235-AL85
SEC Proposed Rule Stage Amendment to Securities Transaction Settlement Cycle 3235-AL86
SEC Proposed Rule Stage Third Party Compliance Assessment 3235-AL92
SEC Proposed Rule Stage Credit Rating Agencies--Conflicts of Interest 3235-AL54
SEC Proposed Rule Stage Concept Release on Possible Revisions To Audit Committee Disclosures 3235-AL70
SEC Proposed Rule Stage Proposed Amendments to Municipal Securities Rules 3235-AL97
SEC Final Rule Stage Amendments to the Commission's Rules of Practice 3235-AL98
SEC Final Rule Stage Asset-Backed Securities--Disclosure Requirements for Other Asset Classes 3235-AK37
SEC Final Rule Stage Listing Standards for Recovery of Erroneously Awarded Compensation 3235-AK99
SEC Final Rule Stage Pay Versus Performance 3235-AL00
SEC Final Rule Stage Treatment of Certain Communications Involving Security-Based Swaps That May be Purchased Only by Eligible Contract Participants 3235-AL41
SEC Final Rule Stage Amendments to Regulation D, Form D and Rule 156 Under the Securities Act 3235-AL46
SEC Final Rule Stage Disclosure of Hedging by Employees, Officers and Directors 3235-AL49
SEC Final Rule Stage Proposed Rule Amendments To Facilitate Intrastate and Regional Securities Offerings 3235-AL80
SEC Final Rule Stage Modernization of Property Disclosures for Mining Registrants 3235-AL81
SEC Final Rule Stage Simplification of Disclosure Requirements for Emerging Growth Companies and Forward Incorporation by Reference on Form S-1 for Smaller Reporting Companies 3235-AL88
SEC Final Rule Stage Form 10-K Summary 3235-AL89
SEC Final Rule Stage Amendments to Smaller Reporting Company Definition 3235-AL90
SEC Final Rule Stage Exhibit Hyperlinks and HTML Format 3235-AL95
SEC Final Rule Stage Investment Company Reporting Modernization 3235-AL42
SEC Final Rule Stage Use of Derivatives by Registered Investment Companies and Business Development Companies 3235-AL60
SEC Final Rule Stage Investment Company Liquidity Risk Management Programs; Investment Company Swing Pricing 3235-AL61
SEC Final Rule Stage Adviser Business Continuity and Transition Plans 3235-AL62
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 End-User Exception to Mandatory Clearing of Security-Based Swaps 3235-AK88
SEC Final Rule Stage Registration and Regulation of Security-Based Swap Execution Facilities 3235-AK93
SEC Final Rule Stage Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Capital Requirements for Broker-Dealers 3235-AL12
SEC Final Rule Stage Reporting and Recordkeeping Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants 3235-AL45
SEC Final Rule Stage Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act 3235-AL51
SEC Final Rule Stage Exemption for Certain Exchange Members 3235-AL65
SEC Final Rule Stage Regulation of NMS Stock Alternative Trading Systems 3235-AL66
SEC Final Rule Stage Disclosure of Order Handling Information 3235-AL67
SEC Final Rule Stage Establishing the Form and Manner With Which Security-Based Swap Data Repositories Must Make Security-Based Swap Data Available to the Commission 3235-AL72
SEC Final Rule Stage Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons to Effect or Be Involved in Effecting Security-Based Swaps 3235-AL76
SEC Final Rule Stage Certain Natural Gas and Electric Power Contracts 3235-AL93
SEC Final Rule Stage Adjustments in Civil Monetary Penalty Amounts 3235-AL94