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Agency Rule List - Spring 2020
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
Corporate Board Diversity
3235-AL91
SEC
Long-Term Actions
Conflict Minerals Amendments
3235-AM14
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
Amendments to the Custody Rules for Investment Companies
3235-AM66
SEC
Long-Term Actions
Request for Comment on Fund Names
3235-AM72
SEC
Long-Term Actions
Amendments to Improve Fund Proxy System
3235-AM73
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
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 Form 1 and Form 1 Amendments; Form 19b-4(e)
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
Short Sale Disclosure Reforms
3235-AM34
SEC
Long-Term Actions
Execution Quality
3235-AM57
SEC
Long-Term Actions
Records to be Preserved by Certain Exchange Members, Brokers and Dealers
3235-AM76
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
Proposed Rule 15 to Regulation S-T, Administration of the Electronic Data Gathering Analysis and Retrieval System
3235-AM74