4-717
Jan. 17, 2018
Rulemaking petition to reduce conflicts of interest, market complexity, and costs related to the provision of equity market data View Received Comments Submitted By: Tyler Gellasch, Healthy Markets Association
4-716
Dec. 7, 2017
Rulemaking petition concerning market data fees View Received Comments Submitted By: Ben Brown, Patomak Global Partners
4-713
Nov. 14, 2017
Rulemaking petition to amend Exchange Act Rule 17a-4(f) View Received Comments Addendum Submitted By: Melissa MacGregor
4-712
Nov. 2, 2017
Rulemaking petition to set up a pilot program to require the periodic public disclosure of short-sale positions in securities of biopharmaceutical companies by investment advisers (Revised) Submitted By: Parker H. Petit, MiMedx Group, Inc.
4-711
July 6, 2017
Rulemaking petition to require issuers to disclose information about their human capital management policies, practices and performance View Received Comments Submitted By: Meredith Miller, Human Capital Management Coalition
4-710
March 15, 2017
Rulemaking petition regarding the regulation of digital assets and blockchain technology View Received Comments Submitted By: Vincent Molinari, Ouisa Capital
4-708
March 2, 2017
Rulemaking petition to amend Rule 1092(b)3 of PHLX Stock Exchange View Received Comments Submitted By: Martin Feins
4-706
Dec. 19, 2016
Rulemaking petition to amend Form ADV to update reporting criteria of investment adviser asset ownership Submitted By: Mike Nicholas, Bond Dealers of America
4-704
Sept. 22, 2016
Rulemaking Petition to amend Rule 146(b) to designate securities listed on IEX as covered securities for purposes of Section 18 of the Securities Act Submitted By: Sophia Lee, Investors Exchange LLC
4-703
July 27, 2016
Rulemaking Petition to amend § 242.902(a) of Regulation SBSR to allow security-based swap data repositories to publicly disseminate a transaction report of a security-based swap, or a life cycle event or adjustment due to a life cycle event, upon the deadline specified in § 242.901(j) of Regulation SBSR or as subsequently provided in the Block Rule Submitted By: Tara Kruse, International Swaps and Derivatives Association, Inc.
4-702
July 19, 2016
Rulemaking petition requesting amendments to the self-regulatory organization provisions related to complex securities arbitrations Submitted By: George Brunelle, Brunelle & Hadjikow, P.C.
4-699
June 7, 2016
Rulemaking Petition to Amend Regulation A to make SEC Reporting Companies Eligible Issuers and Permit At the Market Offerings View Received Comments Submitted By: Dan Zinn, OTC Markets Group Inc.
4-696
Feb. 1, 2016
Request for rulemaking to require public companies to disclose gender pay ratios on an annual basis, or in the alternative, to provide guidance to companies regarding voluntary reporting on pay equity to their investors 2020 Submitted By: PAX Ellevate Management LLC
4-695
Jan. 21, 2016
Request for rulemaking to advance from just comparative columnar format, per 17 CFR § 229.301, to also include diagramming of account relationships (DOAR) within financial statements Revised Petition Submitted By: Robert D. Zingher, BS, MBA (Acctg)
4-693
Jan. 4, 2016
Request to Repeal Rule 275.206(4)-5 - Political Contributions Submitted By: New York Republican State Committee and Tennessee Republican Party
4-691
Dec. 7, 2015
Request to require disclosure of short positions in parity with required disclosure of long positions View Received Comments Submitted By: Edward S. Knight, Executive Vice President, General Counsel and Chief Regulatory Officer of Nasdaq
4-690
Oct. 22, 2015
Request for rulemaking to amend rule 15c2-11 of the Securities Exchange Act of 1934 Submitted By: Vincent R. Molinari, Chief Executive Officer, GATE Global Impact Inc.
4-689
Oct. 7, 2015
Request to require the periodic public disclosure of short-sale activities by institutional investment managers View Received Comments Submitted By: Elizabeth King, New York Stock Exchange and James M. Cudahy, National Investor Relations Institute
4-688
July 21, 2015
Request for rule-making to require general partners to make better disclosure of private equity expenses to limited partners Submitted By: Shanua Autiello, Director of Communications, Office of General Treasurer Seth Magaziner on behalf of a bipartisan coalition of State and City Treasurers and Comptrollers compromised of Jeffrey Barnette, Deputy Chief Financial Officer and Treasurer, District of Columbia; Mark Gordon, State Treasurer, Wyoming; Scott M. Stringer, New York City Comptroller; John Chiang, State Treasurer, California; Curtis M. Loftis, Jr., Treasurer, South Carolina; Don Stenberg, State Treasurer, Nebraska; Thomas P. DiNapoli, New York State Comptroller, New York State Common Retirement Fund; Seth Magaziner, General Treasurer, Rhode Island; Ted Wheeler, State Treasurer, Oregon; Manju Ganeriwala, State Treasurer, Virginia; Beth Pearce, State Treasurer, Vermont; and Clint Zweifel, State Treasurer, Missouri
4-687
July 4, 2015
Request to adopt a rule that prevents a brokerage from requiring arbitration as the sole means of dispute resolution as a condition of opening an account Submitted By: Dr. James H. Sutton
4-686
June 12, 2015
Request for interpretive guidance and rulemaking to clarify or enhance certain disclosure requirements in connection with proxy solicitations and other reports filed with the Commission Submitted By: Glenn Davis, Council of Institutional Investors
4-685
May 11, 2015
Request for rulemaking to allow the sale of shares held by Board Members of public companies only after they terminate their position Submitted By: Indrayni (Indira) Amladi, CFA
4-684
May 4, 2015
Petition to require Earnings Reports disseminated by a Press Release to include a simple table at the top of the Report outlining important facts, including month and date of revenues, operating profit, earnings per share, etc. for the current year against the previous year Submitted By: Herman Hammer
4-683
May 6, 2015
Request for rulemaking to amend Exchange Act Rules 17a-3 and/or 17a-4 Submitted By: Peter Frank Di Silvio
4-682
April 28, 2015
Request for rulemaking for an amendment of the proxy rule regarding Board nominee disclosure View Received Comments Submitted By: Meryl Murtagh, North Carolina Department of the State Treasurer
4-680
Jan. 21, 2014
Request for rulemaking to adopt amendments to Rules 600(b)(57) (definition of a protected bid or offer), 605 and 606 (disclosure of order execution and order routing information), and 610(c) (the access fee cap) of Regulation NMS, as well as to exercise the SEC's authority under Rule 608(a)(2) to amend the consolidated tape plans View Received Comments Submitted By: Joe Ratterman, BATS Global Markets, Inc.
4-679
Oct. 21, 2014
Request for rulemaking petition to expand the definition of "qualified securities" under Rule 15c3-3(a)(6) Submitted By: Lee A. Pickard, Esq., Pickard and Djinis LLP on behalf of Federated Investors, Inc.
4-677
July 18, 2014
Request for rulemaking petition and the issuance of a Policy Statement Regarding Certain Aspects of the Dodd-Frank Whistleblower Program Submitted By: Jordan A. Thomas, Labaton Sucharow LLP
4-676
July 18, 2014
Request for rulemaking petition to clarify and strengthen protections for whistleblowers, requesting the Commission hold hearings and create an Advisory Committee on Whistleblower Reporting and Protection View Received Comments Submitted By: Jordan A. Thomas, Labaton Sucharow LLP
4-675
April 9, 2014
Request for rulemaking to amend Rule 14a-8 under the Securities Exchange Act of 1934 regarding resubmission of Shareholder Proposals View Received Comments Exhibits Submitted By: Thomas Quaadman, Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
4-672
Jan. 8, 2014
Request for rulemaking to amend Section 14 of the Securities Exchange Act of 1934 to facilitate the use of universal proxy cards in contested elections View Received Comments Submitted By: Glenn Davis, Director of Research, Council of Institutional Investors
4-671
Dec. 18, 2013
Request for rulemaking to combine Form 144 into Form 4 Example Form 4-144 Submitted By: Jesse M. Brill
4-667
Oct. 7, 2013
Request for rulemaking to modernize the regulations of Business Development Companies Submitted By: Brett Palmer, Small Business Investor Alliance
4-666
Oct. 8, 2013
Request for rulemaking to revise the Commission's guidance to proxy advisory firms View Received Comments Submitted By: Edward S. Knight, Executive Vice President, General Counsel & Chief Regulatory Officer, NASDAQ OMX
4-665
Sept. 16, 2013
Request for rulemaking to revise Rule 501 of Regulation D to afford to persons in civil unions, domestic partnerships, and similar relationships, the same right and opportunity to qualify for accredited investor status as married persons have. Submitted By: David L. Dallas Jr., Williams Mullen
4-664
Sept. 11, 2013
Request for rulemaking to permit, for a temporary period, alternative disclosure in lieu of the disclosure currently required by the Conflict Minerals Rules. Submitted By: W. Brinkley Dickerson, Troutman Sanders LLP
4-662
April 22, 2013
Request for rulemaking regarding Option Floor Crosses Submitted By: John Nagel, Citadel Securities LLC; Jonathan Grodnick, CTC, L.L.C.; Gerald D. O'Connell, Susquehanna International Group, LLP
4-659
Feb. 4, 2013
Request for rulemaking concerning amendment of beneficial ownership reporting rules under Section 13(f) of the Securities Exchange Act of 1934 in order to shorten the reporting deadline under paragraph (a)(1) of Rule 13f-1 View Received Comments Submitted By: Janet McGinness, Executive Vice President & Corporate Secretary, NYSE Euronext; Kenneth A. Bertsch, President & CEO, Society of Corporate Secretaries and Governance Professionals; and Jeffrey D. Morgan, President & CEO, National Investor Relations Institute
4-658
Jan. 2, 2013
Request for rulemaking concerning amending Rule 10b5-1 or further interpretive guidance regarding the circumstances under which Rule 10b5-1 trading plans may be adopted, modified, or cancelled Submitted By: Jeff Mahoney, General Counsel, Council of Institutional Investors
4-656
Nov. 28, 2012
Request for rulemaking to mandate that mutual funds fully disclose through a disclaimer in their prospectuses that shareholders are being financially disadvantaged by new and liquidating shareholders who are not paying their portion of the brokerage trading commissions that were generated to establish the portfolio's holdings, a result of buying the portfolio securities. Additional letter , Supplement to petition , SEM Summary , Long Term Loss Submitted By: Seymour Sacks, President, Sacks Equalization Model, Inc.
4-654
Oct. 1, 2012
Request for rulemaking to amend Industry Guide 7 View Received Comments Submitted By: David L. Kanagy, Executive Director, Society for Mining, Metallurgy & Exploration
4-653
Aug. 24, 2012
Request for rulemaking regarding the definition of Eligible Contract Participant in Commodity Exchange Act Section 1a(18), interpretive letter, exemptive relief, or other guidance Submitted By: Diana L. Preston, Vice President and Senior Counsel, Center for Securities, Trust & Investments, American Bankers Association
4-651
Aug. 17, 2012
Request for rulemaking regarding neutral Internet voting platform View Received Comments Submitted By: Larry S. Eiben, CoFounder Moxy Vote, LLC
4-650
July 4, 2012
Request for rulemaking to require all trades to be executed only at the top of each minute, at the double zero tick Submitted By: James H. Sutton
4-649
April 9, 2012
Request for rulemaking regarding re-statements of financial statements Submitted By: Carl Olson, Chairman, Fund for Stockowners Rights
4-648
April 3, 2012
Request for rulemaking to reestablish the original congressional intent for a clear dichotomy between "Salesperson" and "Investment Adviser" under the Investment Advisers Act of 1940 View Received Comments Submitted By: Susan Seltzer, President, The Derivative Project
4-647
March 12, 2012
Request for interpretive release with guidance, clarifying that broker-dealers and their agents are prohibited from charging issuers for proxy processing, suppression, voting and other fees for wrap fee accounts and separately managed accounts, at the beneficial owner level Submitted By: Karen V. Danielson, President, Shareholder Services Association and Charles V. Rossi, President, The Securities Transfer Association, Inc.
4-646
Feb. 16, 2012
Request for rulemaking to amend Rule 6c-10 under the Investment Company Act of 1940 to prohibit a Company from extending a deferred sales load "holding period" for existing shareholders Submitted By: Ronald Workman, CFP, LPL Registered Principal, Coastview Financial
4-644A
Jan. 13, 2012
Request for rulemaking to amend Rule 238 under the Securities Act to extend the rule's exemption from all provisions of the Securities Act (other than 17(a)) to over-the-counter options that are cleared by a clearing agency registered with the Commission pursuant to Section 17A of the Exchange Act, provided that such options are offered and sold only to "eligible contract participants" as defined in Section 3(a)(65) of the Exchange Act; and to amend Rule 12h-1 under the Exchange Act to extend the rule's exemption from registration to options that are cleared by a clearing agency registered with the Commission pursuant to Section 17A of the Exchange Act, without requiring that such options be "standardized options," as defined in Exchange Act Rule 9b-1, provided that such options are offered and sold only to eligible contract participants. Petition 4-644A Submitted By: James E. Brown, Executive Vice President — Legal, The Options Clearing Corporation
4-644A
March 12, 2013
Request for rulemaking to: adopt new Securities Act Rule 241 to exempt certain over-the counter options from provisions of the Securities Act; provide a temporary exemption with respect to Credit Default Swaps; and to amend Exchange Act Rule 12h-1 to exempt from Exchange Act registration options that are issued and cleared by a registered or exempt clearing agency in its function as a central counterparty. Submitted By: James E. Brown, Executive Vice President — Legal, The Options Clearing Corporation
4-644
Jan. 13, 2012
Request for rulemaking to amend Rule 238 under the Securities Act to extend the rule's exemption from all provisions of the Securities Act (other than 17(a)) to over-the-counter options that are cleared by a clearing agency registered with the Commission pursuant to Section 17A of the Exchange Act, provided that such options are offered and sold only to "eligible contract participants" as defined in Section 3(a)(65) of the Exchange Act; and to amend Rule 12h-1 under the Exchange Act to extend the rule's exemption from registration to options that are cleared by a clearing agency registered with the Commission pursuant to Section 17A of the Exchange Act, without requiring that such options be "standardized options," as defined in Exchange Act Rule 9b-1, provided that such options are offered and sold only to eligible contract participants. Petition 4-644A Submitted By: James E. Brown, Executive Vice President — Legal, The Options Clearing Corporation
4-644
March 12, 2013
Request for rulemaking to: adopt new Securities Act Rule 241 to exempt certain over-the counter options from provisions of the Securities Act; provide a temporary exemption with respect to Credit Default Swaps; and to amend Exchange Act Rule 12h-1 to exempt from Exchange Act registration options that are issued and cleared by a registered or exempt clearing agency in its function as a central counterparty. Submitted By: James E. Brown, Executive Vice President — Legal, The Options Clearing Corporation
4-643
Jan. 9, 2012
Request for rulemaking to amend Rule 502(c) of Regulation D to eliminate the prohibition on offers or sales of securities by general solicitation or general advertising with respect to private funds View Received Comments Submitted By: Richard H. Baker, President and CEO, Managed Funds Association
4-642
July 21, 2009
Request for rulemaking concerning Mandatory Sustainability Reporting and Disclosure Submitted By: Lisa Woll, CEO, US SIF: The Forum for Sustainable and Responsible Investing (formerly the Social Investment Forum)
4-641
Nov. 7, 2011
Request for rulemaking, regulation or order pursuant to Section 36(a)(1) of the Exchange Act to provide exemptive relief from the application of Section 15(c)(3) of the Exchange Act and Rule 15c3-3 thereunder View Received Comments Exhibits Submitted By: Counsel on behalf of ICE Clear Credit LLC
Note:
Exhibits
4-638
Aug. 26, 2011
Request for rulemaking to amend Rule 146(b) of the Securities Act of 1933 to designate securities listed on C2 Options Exchange, Incorporated as covered securities for the purpose of Section 18 of the Securities Act Submitted By: Joanne Moffic-Silver, Secretary, C2 Options Exchange, Incorporated
4-637-2
Aug. 3, 2011
Petition to require public companies to disclose to shareholders the use of corporate resources for political activities View Received Comments Submitted By: Lucian A. Bebchuk, Co-Chair, Bernard S. Black, John C. Coffee Jr., James D. Cox, Jeffrey N. Gordon, Ronald J. Gilson, Henry Hansmann, Robert J. Jackson Jr., Co-Chair, Donald C. Langevoort, Hillary A. Sale, The Committee on Disclosure of Corporate Political Spending
4-637-2
April 15, 2014
Request for rulemaking that would require public companies to disclose to shareholders the use of corporate resources for political activities View Received Comments Exhibits , 4-637-2 Amended Petition Submitted By: Citizens for Responsibility and Ethics in Washington and Stephen M. Silberstein
4-637
Aug. 3, 2011
Petition to require public companies to disclose to shareholders the use of corporate resources for political activities View Received Comments Submitted By: Lucian A. Bebchuk, Co-Chair, Bernard S. Black, John C. Coffee Jr., James D. Cox, Jeffrey N. Gordon, Ronald J. Gilson, Henry Hansmann, Robert J. Jackson Jr., Co-Chair, Donald C. Langevoort, Hillary A. Sale, The Committee on Disclosure of Corporate Political Spending
4-634
May 27, 2011
Request for rulemaking to mandate universal institutional brokerage commission transparency and disclosure View Received Comments additional letter Submitted By: William T. George
4-632
May 26, 2011
Request for rulemaking to amend Rule 146(b) of the Securities Act of 1933 to designate securities listed on BATS Exchange, Inc. as covered securities for the purpose of Section 18 of the Securities Act. Submitted By: Eric Swanson, SVP & General Counsel, BATS Exchange, Inc.
4-630
May 20, 2011
Request for rulemaking to amend Rule 14a-4(b)(2)(Requirements as to proxy) to eliminate the "withhold authority" vote on proxy forms used for the election of corporate directors. View Received Comments Supplement to petition Submitted By: Edward J. Durkin, Director, Corporate Affairs Department, United Br
4-628
April 29, 2011
Request for rulemaking to amend Rule 651 of the Philadelphia Stock Exchange (n/k/a NASDAQ OMX PHLX) View Received Comments Supplement to petition Submitted By: Joseph D. Carapico, G.P., Pennmont Securities
4-624
March 7, 2011
Request for rulemaking regarding the beneficial ownership reporting rules under Section 13 of the Securities Exchange Act of 1934 View Received Comments Submitted By: Theodore N. Mirvis, Esq., Andrew R. Brownstein, Esq., Eric S. Robinson, Esq., Adam O. Emmerich, Esq., David M. Silk, Esq., Trevor S. Norwitz, Esq., David C. Karp, Esq. and William Savitt, Esq. of Wachtell, Lipton, Rosen & Katz
4-623
Jan. 28, 2011
Request for rulemaking concerning Market Data Structure Submitted By: Christopher Nagy, Managing Director Order Strategy and Richard P. Urian, Global Head of Market Data, TD Ameritrade
4-614
Oct. 8, 2010
Request for rulemaking to amend Rule 146(b) to designate securities listed on the Nasdaq Options Market as covered securities for the purpose of Section 18 of the Securities Act of 1933 Submitted By: Edward S. Knight, NASDAQ OMX
4-605
July 1, 2010
Request for rulemaking to exempt securities offerings up to $100,000 with $100maximum per investor from registration View Received Comments Submitted By: Jenny Kassan, Sustainable Economies Law Center
4-604
May 25, 2010
Request for rulemaking to allow the Nasdaq Capital Market to adopt initial listing price requirements identical to NYSE Amex View Received Comments Submitted By: Joan C. Conley, The Nasdaq Stock Market LLC
4-603
May 17, 2010
Request for rulemaking to amend Rule 7-02 of Regulation S-X under the Securities Act of 1933 concerning the use of financial statements prepared in accordance with statutory accounting principles by certain life insurance company issuers Submitted By: Stephen E. Roth and Mary Thornton Payne, Sutherland Asbill and Brennan LLP (on behalf of Aviva USA Corporation)
4-601
March 22, 2010
Request for rulemaking to require mutual fund companies to provide a single day accrual rate/mil rate for every day of every week Submitted By: Park National Bank
4-599
Oct. 19, 2009
Request that the Commission conduct rulemaking to codify a securities licensing/registration exemption for main street business brokers View Received Comments Submitted By: Jonathan M. Miller, President, TABB, Inc.
4-593
Jan. 22, 2010
Request for rulemaking to amend Regulation S-K and/or Form 10-K to add a new section entitled "Political Influence." View Received Comments Submitted By: James Evan Dallas
4-592
Jan. 27, 2010
Request for rulemaking to amend Rule 146(b) under the Securities Act of 1933 to designate securities listed on BATS as covered securities for the purpose of Section 18 of the Securities Act. Submitted By: BATS Exchange, Inc.
4-591
Jan. 4, 2010
Request for rulemaking to require FINRA to propose new rules aimed at improving provisions for investor protection in FINRA rules Submitted By: Manuel P. Asensio, Alliance for Economic Stability, Inc.
4-589
Aug. 27, 2009
Request for rulemaking under the Securities Exchange Act of 1934 to regulate or ban the trading practice known as flash orders and the practice of server co-location. View Received Comments Submitted By: William E. McDonnell, Jr, Atherton Lane Advisers, LLC
4-586
June 11, 2009
Request rulemaking to eliminate the requirement that an arbitrator affiliated with the securities industry sit on all public investor cases arbitrated before FINRA in which the amount in controversy exceeds $100,000 View Received Comments Submitted By: Brian N. Smiley, President, Public Investors Arbitration Bar Association
4-585
May 26, 2009
Request rulemaking to amend Item 402 of Regulation S-K to revise the current Summary Compensation Table to better depict the compensation earned for the year by named executive officers View Received Comments Submitted By: Ira T. Kay and Steven Seelig, Watson Wyatt Worldwide
4-584
May 17, 2009
Request for rulemaking under the Investment Company Act of 1940 to amend Rule 3a-5(b)(1) to include a reference to limited liability companies and business trusts Submitted By: Keith Paul Bishop
4-583
May 15, 2009
Request for rulemaking to amend Rule 14a-4(b)(1) under the Securities Exchange Act of 1934 to prohibit conferring discretionary authority to issuers with respect to non-votes on the voter information form or proxy. View Received Comments Submitted By: James McRitchie, Publisher, Corporate Governance, CorpGov.net on behalf of multiple petitioners
4-580
March 22, 2009
Request for rulemaking under the Securities Act of 1933 to amend the reference to Tier 1 of the Philadelphia Stock Exchange, Inc. in Rule 146(b)(1)(ii) Submitted By: Keith Paul Bishop
4-578
Feb. 15, 2009
Request for rulemaking under the Securities Exchange Act of 1934 to adopt a new identical to Rule 3a12-8 exempting from Commission registration under Section 3(a)(12) of the Act any futures contract on the sovereign debt of a foreign government so that it may lawfully be offered to U.S. persons pursuant to Section 2(a)(1)(C)(iv) of the Commodity Exchange Act Submitted By: Philip McBride Johnson, Skadden, Arps, Slate, Meagher & Flom LLP
4-577
Feb. 3, 2009
Request for rulemaking to amend Rule 15c3-3 under the Exchange Act to treat US government money market mutual fund shares, where the underlying portfolio assets of the fund consist of securities issued or guaranteed by the US government or its agencies or instrumentalities, as "qualified securities" to meet a broker-dealer's deposit requirements under the Special Reserve Bank Account for the Exclusive Benefit of Customers View Received Comments Submitted By: Lee A. Pickard, Esq., Pickard and Djinis LLP on behalf of Federated Investors, Inc.
4-576
Jan. 6, 2009
Request for the removal of the Rule 32a-4 exemption from the Investment Company Act's requirement that shareholders vote on the selection of a fund's independent public accountant if the investment company has an audit committee composed of wholly independent directors Submitted By: George W. Karpus, Karpus Investment Management
4-572
Oct. 1, 2008
Request for rulemaking under the Securities Act of 1933 to amend Rule 144 to remove the prohibition in Rule 144(i) on shareholders who acquired shares when an issue was a "shell company" or former "shell company" from being able to utilize Rule 144 for a sale of unregistered securities if the issuer has not filed its Securities Exchange Act of 1934 reports for the one year prior to the proposed sale, other than in the first year following each date the issuer ceases to be a shell company and releases "Form 10 information" Submitted By: David N. Feldman, Feldman Weinstein & Smith
4-571
May 14, 2008
Request for rulemaking under the Securities Exchange Act of 1934 that when a share owner submits a proposal for voting, the share owner may additionally supply an e mail address and, if available, supply a web site address where material relating to the proposal may be viewed Submitted By: William S. Karn
4-570
Sept. 23, 2008
Request for rulemaking under the Securities Exchange Act of 1934 to amend Rule 10A-3 to require that issuers submit their choice of auditor to a non-binding vote of shareholders for ratification View Received Comments Submitted By: Christopher Ailman, California State Teachers' Retirement System
4-565
Aug. 1, 2008
Request for joint CFTC and SEC rulemaking to amend CFTC Rule 41.45(b) and SEC Rule 403(b) relating to customer margin levels for security futures products Submitted By: Donald L. Horowitz, OneChicago, LLC
4-563
July 21, 2008
Request for rulemaking for interpretive guidance for registrants pursuant to the Securities Exchange Act of 1934 on public statements concerning global warming and other environmental issues View Received Comments Submitted By: Steven J. Milloy and Thomas Borelli, Free Enterprise Action Fund
4-562
July 15, 2008
Request for rulemaking under the Securities Exchange Act of 1934 to limit fees that options exchanges may charge non-members to obtain access to quotations to $.20 per contract View Received Comments Submitted By: John C. Nagel, Citadel
4-558
May 12, 2008
Request for rulemaking requiring companies to disclose in the proxy statement the fees associated with all engagements for a single company and any ownership interest a consultant working for the compensation committee may have in the parent consulting firm View Received Comments Submitted By: Multiple Petitioners
4-557
April 3, 2008
Request for rulemaking to adopt new Rule 15c3-4 to address the practice of market participants redefining securities in customer accounts past T+3 View Received Comments Submitted By: Thomas Vallarino, National Investor Protection Coalition
4-556
Feb. 27, 2008
Request for Review and Repeal of FAS 123R, "Share-Based Payment" Submitted By: B. Kipling Hagopian
4-555
Jan. 25, 2008
Request for rulemaking to amend SEC rules to require public companies to provide a plain English descriptive narrative for all departures or dismissals of their external auditors Submitted By: Jeff Mahoney, General Counsel, Council of Institutional Investors
4-554
Sept. 22, 2008
Additional letter Note: original petition
4-553
Dec. 19, 2007
Request for rulemaking under the Securities Exchange Act of 1934 to exempt issuers of certain types of fixed insurance contracts from the reporting requirements of Sections 13 and 15(d) of the Act Submitted By: Stephen E. Roth, Esq., Sutherland Asbill & Brennan LLP on behalf of Jackson National Life Insurance Company
4-550
Oct. 19, 2007
Joint request for rulemaking to adopt amendments to Regulation S-K that would provide for increased disclosure of certain financial and other relationships between underwriters and registrants Submitted By: California Public Employees' Retirement System California State Teachers' Retirement System Los Angeles County Employees Retirement Association Illinois Universities Retirement System Tennessee Consolidated Retirement System Citigroup Global Markets Inc. J.P. Morgan Securities Inc.
4-549
Oct. 22, 2007
Request for interpretive guidance under the Securities Act of 1933 that would require registrants to disclose to shareholders the business risks of laws and regulations intended to address global warming concerns Submitted By: Steven J. Milloy and Thomas J. Borelli, on behalf of Free Enterprise Action Fund
4-548
Sept. 25, 2007
Request for rulemaking under the Securities Act of 1933 to permit commodity pools to publish and distribute advertisements that disclose certain information about the commodity pool beyond that specified by the safe harbor of Rule 134 Submitted By: James B. Biery, Sidley Austin LLP on behalf of Superfund Capital Management, Inc.
4-547B
Nov. 23, 2009
Supplemental petition: Request for interpretive guidance on Climate Risk Disclosure View Received Comments original petition (Sep. 18, 2007)
4-547A
June 12, 2008
Supplemental petition: Request for interpretive guidance on Climate Risk Disclosure View Received Comments original petition (Sep. 18, 2007) Note:
For attachments, see original petition (Sep. 18, 2007)
