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