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SEC RIN: 3235-AK99 Publication ID: Fall 2022 
Title: 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.

Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 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    ...     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: 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    ...   
Legal Deadline:  None
Action Date FR Cite
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 
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: Undetermined 
Small Entities Affected: Businesses  Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Information URL:  
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