SEC Proposed Rules: 2015
We encourage the public to submit comments on the following proposed rules during the comment period. For detailed instructions, please read How to Submit Comments. Proposed rules currently available include:
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| Release No. | Date | Details |
| Fourth Quarter | ||
| 34-76624 | Dec. 11, 2015 | Establishing the Form and Manner with which Security-Based Swap Data Repositories Must Make Security-Based Swap Data Available to the Commission (Corrected to Conform to Federal Register Version)
File No.: S7-26-15 Comments Due: February 22, 2016 Comments received are available for this proposal. |
| IC-31933 | Dec. 11, 2015 | Use of Derivatives by Registered Investment Companies and Business Development Companies (Corrected to Conform to Federal Register Version)
File No.: S7-24-15 Comments Due: March 28, 2016 Comments received are available for this proposal. Federal Register (80 FR 80883): HTML | PDF | XML See also: Final Rule Rel. No. IC-34084 and Proposed Rule 34-87607; DERA Memorandum: Risk Adjustment and Haircut Schedules; DERA White Paper: Use of Derivatives by Registered Investment Companies |
| 34-76620 | Dec. 11, 2015 | Disclosure of Payments by Resource Extraction Issuers (Corrected to Conform to Federal Register Version)
File No.: S7-25-15 Comments Due: Initial comments are due on January 25, 2016. Reply comments, which may respond only to issues raised in the initial comment period, are due on February 16, 2016 Comments received are available for this proposal. |
| 34-76474 | Nov. 18, 2015 | Regulation of NMS Stock Alternative Trading Systems (Corrected to Conform to Federal Register Version)
File No.: S7-23-15 Comments Due: February 26, 2016 Comments received are available for this proposal. |
| 33-9973 | Oct. 30, 2015 | Proposed Rule Amendments to Facilitate Intrastate and Regional Securities Offerings (Corrected to Conform to Federal Register Version)
Other Release No.: 34-76319 File No.: S7-22-15 Comments Due: January 11, 2016 Comments received are available for this proposal. See also: DERA White Paper: Capital Raising in the U.S.: An Analysis of the Market for Unregistered Securities Offerings, 2009-2014 |
| Third Quarter | ||
| 34-75977 | Sep. 24, 2015 | Amendments to the Commission's Rules of Practice
File No.: S7-19-15 Comments Due: December 4, 2015 Comments received are available for this proposal. Federal Register (80 FR 60082): HTML | PDF | Text | XML See also: Final Rule Rel. No. 34-90442 |
| 34-75976 | Sep. 24, 2015 | Amendments to the Commission's Rules of Practice
File No.: S7-18-15 Comments Due: December 4, 2015 Comments received are available for this proposal. Federal Register (80 FR 60091): HTML | PDF | Text | XML See also: Final Rule Rel. No. 34-78319 |
| 33-9922 | Sep. 22, 2015 | Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release (Conformed to Federal Register version)
Other Release No.: IC-31835 File No.: S7-16-15 Comments Due: January 13, 2016 Comments received are available for this proposal. See also: Division of Economic and Risk Analysis White Paper: Liquidity and Flows of U.S. Mutual Funds |
| 34-75845 | Sep. 4, 2015 | Access to Data Obtained by Security-Based Swap Data Repositories and Exemption from Indemnification Requirement File No.: S7-15-15 Comments Due: October 29, 2015 Comments received are available for this proposal. See also: Access to Data Obtained by Security-Based Swap Data Repositories and Exemption from Indemnification Requirement |
| 34-75612 | Aug. 5, 2015 | Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons to Effect or Be Involved in Effecting Security-Based Swaps
File No.: S7-14-15 Comments Due: October 26, 2015 Comments received are available for this proposal. |
| 33-9861 | Jul. 1, 2015 | Listing Standards for Recovery of Erroneously Awarded Compensation
Other Release Nos.: 34-75342; IC-31702 File No.: S7-12-15 Comments Due: September 14, 2015 Comments received are available for this proposal. Federal Register (80 FR 41144): HTML | PDF | text | XML See Also: Final Rule Rel. No. 33-11126; Reopening of Comment Period Rel. No. 33-10998 |
| Second Quarter | ||
| IA-4091 | May 20, 2015 | Amendments to Form ADV and Investment Advisers Act Rules
File No.: S7-09-15 Comments Due: August 11, 2015 Comments received are available for this proposal. Appendix B: Form ADV: Instructions for Part 1A; Appendix C: Form ADV: Glossary of Terms; Appendix D: Form ADV: Part 1A Federal Register (80 FR 33717): HTML | PDF | Text | XML |
| 33-9776 | May 20, 2015 | Investment Company Reporting Modernization (Corrected to Conform to Federal Register Version)
Other Release Nos.: 34-75002; IC-31610; File No.: S7-08-15 Comments Due: January 13, 2016 Comments received are available for this proposal. Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release Federal Register (80 FR 33589): HTML | PDF | Text | XML |
| 34-74835 | Apr. 29, 2015 | Pay Versus Performance
File No.: S7-07-15 Comments received are available for this proposal. See also: Final Rule Rel. No. 34-95607; Administrative Notice Federal Register (80 FR 26329): HTML | PDF | Text | XML |
| 34-74834 | Apr. 29, 2015 | Application of Certain Title VII Requirements to Security-Based Swap Transactions Connected with a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed By Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent
File No.: S7-06-15 Comments Due: July 13, 2015 Comments received are available for this proposal. |
| First Quarter | ||
| 34-74581 | Mar. 25, 2015 | Exemption for Certain Exchange Members
File No.: S7-05-15 Comments Due: June 1, 2015 Comments received are available for this proposal. |
| 34-74245 | Feb. 11, 2015 | Regulation SBSR—Reporting and Dissemination of Security-Based Swap Information (Corrected to Conform to Federal Register Version)
File No.: S7-03-15 Comments Due: May 4, 2015 Comments received are available for this proposal. Federal Register (80 FR 14739): HTML | PDF | text | XML |
| 33-9723 | Feb. 9, 2015 | Disclosure of Hedging by Employees, Officers and Directors
Other Release Nos.: 34-74232; IC-31450 File No.: S7-01-15 Comments Due: April 20, 2015 Comments received are available for this proposal. |