Agency Rule List - Spring 2018


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 Registration of Security-Based Swaps 3235-AL44
SEC Long-Term Actions Universal Proxy 3235-AL84
SEC Long-Term Actions Simplification of Disclosure Requirements for Emerging Growth Companies and Forward Incorporation by Reference on Form S-1 for Smaller Reporting Companies 3235-AL88
SEC Long-Term Actions Form 10-K Summary 3235-AL89
SEC Long-Term Actions Corporate Board Diversity 3235-AL91
SEC Long-Term Actions Conflict Minerals Amendments 3235-AM14
SEC Long-Term Actions Mandated Electronic Filings 3235-AM15
SEC Long-Term Actions Proxy Process Amendments 3235-AM16
SEC Long-Term Actions Guide 5 Real Estate Limited Partnerships and Form S-11 3235-AM17
SEC Long-Term Actions Regulation AB Amendments 3235-AM18
SEC Long-Term Actions Accredited Investor Definition 3235-AM19
SEC Long-Term Actions Regulation Crowdfunding Amendments 3235-AM20
SEC Long-Term Actions Regulation A Amendments 3235-AM21
SEC Long-Term Actions Harmonization of Private Placement Rules 3235-AM27
SEC Long-Term Actions Investment Company Advertising, Target Date Retirement Fund Name and Marketing 3235-AK50
SEC Long-Term Actions Reporting of Proxy Votes on Executive Compensation and Other Matters 3235-AK67
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 Mandatory Electronic Submissions for Orders Under the Advisers Act and Confidential Treatment Requests Made on Form 13F 3235-AM03
SEC Long-Term Actions Investment Company Liquidity Risk Management Programs; Commission Guidance for In-Kind ETFs 3235-AM26
SEC Long-Term Actions Business Development Company Modernization 3235-AM31
SEC Long-Term Actions Amendments to the Custody Rules for Investment Companies and Investment Advisers 3235-AM32
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 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 Broker-Dealer Liquidity Stress Testing, Early Warning, and Account Transfer Requirements 3235-AL50
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 Transfer Agents 3235-AL55
SEC Long-Term Actions Exchange-Traded Products 3235-AL57
SEC Long-Term Actions Registration of Certain Exchange Members 3235-AL65
SEC Long-Term Actions Recordkeeping and Risk Controls Specific to Algorithmic Trading 3235-AL69
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 Electronic Filing of Broker-Dealer Reports 3235-AL85
SEC Long-Term Actions Certain Natural Gas and Electric Power Contracts 3235-AL93
SEC Long-Term Actions Electronic Filing of Form 1 and Form 1 Amendments; Form 19b-4(e); and Forms ATS and ATS-R 3235-AM09
SEC Long-Term Actions Amendments to Rules 17a-25 and 13h-1 Following Creation of the Consolidated Audit Trail 3235-AM22
SEC Long-Term Actions Regulation Finders 3235-AM33
SEC Long-Term Actions Short Sale Disclosure Reforms 3235-AM34
SEC Long-Term Actions Credit Rating Agencies--Conflicts of Interest 3235-AL54
SEC Long-Term Actions Revisions To Audit Committee Disclosures 3235-AL70
SEC Long-Term Actions Amendments to the Commission's Rules of Practice 3235-AL98