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