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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