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SEC RIN: 3235-AM38 Publication ID: Spring 2021 
Title: Modernization of Rules and Forms for Compensatory Securities Offerings and Sales 

The Division is considering recommending that the Commission adopt rule amendments to Securities Act Rule 701, the exemption from registration for securities issued by non-reporting companies pursuant to compensatory arrangements, and Form S-8, the registration statement for compensatory offerings by reporting companies.  

Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Long-Term Actions 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 230.701    17 CFR 239.16b   
Legal Authority: 15 U.S.C. 77bb   
Legal Deadline:  None
Action Date FR Cite
ANPRM  07/24/2018  83 FR 34958   
ANPRM Comment Period End  09/24/2018 
NPRM  12/11/2020  85 FR 80232   
NPRM Comment Period End  02/09/2021 
Next Action Undetermined  To Be Determined 
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: None 
Small Entities Affected: Businesses  Federalism: No 
Included in the Regulatory Plan: No 
International Impacts: This regulatory action will be likely to have international trade and investment effects, or otherwise be of international interest.
RIN Data Printed in the FR: Yes 
Agency Contact:
Anne M. Krauskopf
Division of Corporation Finance
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-3500