3235-AK99 202210 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Listing Standards for Recovery of Erroneously Awarded Compensation

The Division is considering recommending that the Commission adopt rules to implement section 954 of the Dodd Frank Act, which requires the Commission to adopt rules to direct national securities exchanges to prohibit the listing of securities of issuers that have not developed and implemented a policy providing for disclosure of the issuer’s policy on incentive-based compensation and mandating the clawback of such compensation in certain circumstances.

]]> Substantive, Nonsignificant Previously Published in The Unified Agenda Final Rule Stage Undetermined No 17 CFR 240.10D-1 17 CFR 229.402 17 CFR 229.404 17 CFR 229.601 17 CFR 240.14a-101 17 CFR 249.220f 17 CFR 249.240f 17 CFR 249.331 17 CFR 274.128 ... Pub. L. 111-203, sec. 954 15 U.S.C. 78j-4 15 U.S.C. 78m 15 U.S.C. 78n 15 U.S.C. 78w(a) 15 U.S.C. 78mm 15 U.S.C. 77f 15 U.S.C. 77g 15 U.S.C. 77j 15 U.S.C. 77s(a) 15 U.S.C. 80a-20 15 U.S.C. 80a-29 15 U.S.C. 80a-37 ... No NPRM 07/14/2015 80 FR 41144 NPRM Comment Period End 09/14/2015 NPRM Comment Period Reopened 10/21/2021 86 FR 58232 NPRM Comment Period End 11/22/2021 86 FR 58232 NPRM Comment Period Reopened 06/14/2022 87 FR 35938 NPRM Comment Period End 07/14/2022 87 FR 35938 Final Action 04/00/2023 Yes Businesses Undetermined Undetermined www.sec.gov/rules/proposed/2015/33-9861.pdf Yes No Anne Krauskopf M. Division of Corporation Finance 3235 Securities and Exchange Commission SEC 202 551-3500 krauskopfa@sec.gov 100 F Street NE, Washington DC 20549