Agency Rule List - Fall 2019


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 Pay Versus Performance 3235-AL00
SEC Long-Term Actions Universal Proxy 3235-AL84
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 Regulation AB Amendments 3235-AM18
SEC Long-Term Actions Reporting of Proxy Votes on Executive Compensation and Other Matters 3235-AK67
SEC Long-Term Actions Stress Testing for Large Asset Managers and Large Investment Companies 3235-AL63
SEC Long-Term Actions Modernization of Investment Company Disclosure 3235-AM28
SEC Long-Term Actions Modernization of Investment Company Fee Disclosure 3235-AM53
SEC Long-Term Actions Amendments to the Custody Rules for Investment Companies 3235-AM66
SEC Long-Term Actions Amendments to the Family Office Rule 3235-AM67
SEC Long-Term Actions Amendments to Rule 17a-7 Under the Investment Company Act 3235-AM69
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 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 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 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 Exchange-Traded Products 3235-AL57
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 Electronic Filing of Broker-Dealer Reports 3235-AL85
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 of Finders 3235-AM33
SEC Long-Term Actions Short Sale Disclosure Reforms 3235-AM34
SEC Long-Term Actions Regulation of Alternative Trading Systems 3235-AM45
SEC Long-Term Actions Execution Quality 3235-AM57
SEC Long-Term Actions Credit Rating Agencies--Conflicts of Interest 3235-AL54
SEC Long-Term Actions Amendments to Requirements for Filer Validation and Access to the EDGAR Filing System 3235-AM58
SEC Long-Term Actions Amendments to Commission Forms to Permit Simplification of Submitting Commission Required Filings to the EDGAR System 3235-AM59