Skip to main content
An official website of the United States government
The .gov means it's official.
Federal government websites often end in .gov or .mil. Before sharing sensitive information, make sure you're on a federal government site.
The site is secure.
The https:// ensures that you are connecting to the official website and that any information you provide is encrypted and transmitted securely.
Search:
Agenda
Reg Review
ICR
Set operation value and submit form.
Agency Rule List - Spring 2017
Securities and Exchange Commission
Agency
Agenda Stage of Rulemaking
Title
RIN
SEC
Long-Term Actions
Asset-Backed Securities--Disclosure Requirements for Other Asset Classes
3235-AK37
SEC
Long-Term Actions
Listing Standards for Recovery of Erroneously Awarded Compensation
3235-AK99
SEC
Long-Term Actions
Pay Versus Performance
3235-AL00
SEC
Long-Term Actions
Treatment of Certain Communications Involving Security-Based Swaps That May be Purchased Only by Eligible Contract Participants
3235-AL41
SEC
Long-Term Actions
Registration of Security-Based Swaps
3235-AL44
SEC
Long-Term Actions
Amendments to Regulation D, Form D and Rule 156 Under the Securities Act
3235-AL46
SEC
Long-Term Actions
Disclosure of Hedging by Employees, Officers and Directors
3235-AL49
SEC
Long-Term Actions
Universal Proxy
3235-AL84
SEC
Long-Term Actions
Corporate Board Diversity
3235-AL91
SEC
Long-Term Actions
Investment Company Advertising, Target Date Retirement Fund Name and Marketing
3235-AK50
SEC
Long-Term Actions
Personalized Investment Advice Standard of Conduct
3235-AL27
SEC
Long-Term Actions
Treatment of Certain CDOs Backed Primarily by Trust Preferred Securities With Regard to Prohibitions and Restrictions on Certain Interests in, and Relationships With, Hedge Funds and Private Eq. Fund
3235-AL52
SEC
Long-Term Actions
Stress Testing for Large Asset Managers and Large Investment Companies
3235-AL63
SEC
Long-Term Actions
Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Exchanges
3235-AK74
SEC
Long-Term Actions
Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps
3235-AK77
SEC
Long-Term Actions
End-User Exception to Mandatory Clearing of Security-Based Swaps
3235-AK88
SEC
Long-Term Actions
Registration and Regulation of Security-Based Swap Execution Facilities
3235-AK93
SEC
Long-Term Actions
Prohibition Against Conflicts of Interest Relating to Certain Securitizations
3235-AL04
SEC
Long-Term Actions
Incentive-Based Compensation Arrangements
3235-AL06
SEC
Long-Term Actions
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Capital Requirements for Broker-Dealers
3235-AL12
SEC
Long-Term Actions
Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934
3235-AL14
SEC
Long-Term Actions
Commission Guidance Regarding Definitions of Mortgage Related Security and Small Business Related Security
3235-AL33
SEC
Long-Term Actions
Reporting and Recordkeeping Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants
3235-AL45
SEC
Long-Term Actions
Standards for Covered Clearing Agencies; Definition of "Covered Clearing Agency"
3235-AL48
SEC
Long-Term Actions
Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
3235-AL51
SEC
Long-Term Actions
Exchange-Traded Products
3235-AL57
SEC
Long-Term Actions
Exemption for Certain Exchange Members
3235-AL65
SEC
Long-Term Actions
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
Long-Term Actions
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
Long-Term Actions
Risk Mitigation Techniques
3235-AL83
SEC
Long-Term Actions
Third Party Compliance Assessment
3235-AL92
SEC
Long-Term Actions
Certain Natural Gas and Electric Power Contracts
3235-AL93
SEC
Long-Term Actions
Credit Rating Agencies--Conflicts of Interest
3235-AL54
SEC
Long-Term Actions
Disclosure of Payments by Resource Extraction Issuers
3235-AM06