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Agency Rule List - Spring 2017
Securities and Exchange Commission
Agency
Agenda Stage of Rulemaking
Title
RIN
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
Guide 3 Bank Holding Company Disclosure
3235-AL79
SEC
Proposed Rule Stage
Filing Fee Processing
3235-AL96
SEC
Proposed Rule Stage
Exchange-Traded Funds
3235-AJ60
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
Broker-Dealer Liquidity Stress Testing, Early Warning, and Account Transfer Requirements
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
Electronic Filing of Broker-Dealer Reports
3235-AL85
SEC
Proposed Rule Stage
Concept Release on Possible Revisions To Audit Committee Disclosures
3235-AL70
SEC
Proposed Rule Stage
Amendments to Municipal Securities Rules
3235-AL97
SEC
Proposed Rule Stage
Implementation of FAST Act Report Recommendations
3235-AM00
SEC
Proposed Rule Stage
Amendments to Investment Advisers Act Rules to Conform to the FAST Act
3235-AM02
SEC
Proposed Rule Stage
Mandatory Electronic Submissions for Orders Under the Advisers Act and Confidential Treatment Requests Made on Form 13F
3235-AM03
SEC
Proposed Rule Stage
Transaction Fee Pilot
3235-AM04
SEC
Proposed Rule Stage
Proposed Amendment to Rule for Nationally Recognized Statistical Rating Organizations
3235-AM05
SEC
Final Rule Stage
Amendments to the Commission's Rules of Practice
3235-AL98
SEC
Final Rule Stage
Modernization of Property Disclosures for Mining Registrants
3235-AL81
SEC
Final Rule Stage
Disclosure Update and Simplification
3235-AL82
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
Investment Company Reporting Modernization; Option for Website Transmission of Shareholder Reports
3235-AL42
SEC
Final Rule Stage
Use of Derivatives by Registered Investment Companies and Business Development Companies
3235-AL60
SEC
Final Rule Stage
Adviser Business Continuity and Transition Plans
3235-AL62
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
Auditor Independence With Respect to Loans or Debtor-Creditor Relationships
3235-AM01