Agency Rule List - Fall 2017

Securities and Exchange Commission

Agency Agenda Stage of Rulemaking Title RIN
SEC Proposed Rule Stage Amendments to Financial Disclosures About Acquired Businesses 3235-AL77
SEC Proposed Rule Stage Guide 3 Bank Holding Company Disclosure 3235-AL79
SEC Proposed Rule Stage Amendments to Implement FAST Act Report 3235-AM00
SEC Proposed Rule Stage Disclosure of Payments by Resource Extraction Issuers 3235-AM06
SEC Proposed Rule Stage Amendments to the Financial Disclosures for Registered Debt Security Offerings 3235-AM12
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 Personalized Investment Advice Standard of Conduct 3235-AL27
SEC Proposed Rule Stage Amendments to Securities Act Rules Under the Fair Access to Investment Research Act of 2017 3235-AM24
SEC Proposed Rule Stage Transaction Fee Pilot 3235-AM04
SEC Proposed Rule Stage Prohibitions and Restrictions on Proprietary Trading and Certain Relationships With Hedge Funds and Private Equity Funds 3235-AM10
SEC Proposed Rule Stage Harmonization of Certain Title VII Rules 3235-AM13
SEC Proposed Rule Stage Auditor Independence With Respect to Loans or Debtor-Creditor Relationships 3235-AM01
SEC Proposed Rule Stage Proposed Amendment to Rule for Nationally Recognized Statistical Rating Organizations 3235-AM05
SEC Proposed Rule Stage Amendments to the Commission's Whistleblower Program Rules 3235-AM11
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 Interactive Data (XBRL) Program 3235-AL59
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 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 Amendments to Investment Advisers Act Rules to Conform to the FAST Act 3235-AM02
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 Covered Securities Pursuant to Section 18 of the Securities Act of 1933 3235-AM07
SEC Final Rule Stage Amendments to Municipal Securities Rules 3235-AL97