SEC Proposed Rules: 2018
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| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| BHCA-5 | Dec. 21, 2018 | Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
File No: S7-30-18 Comments Due: Comments must be received on or before March 11, 2019. Comments on the Paperwork Reduction Act burden estimates must be received on or before April 9, 2019. Comments received are available for this proposal. Federal Register version (84 FR 2778) See also: Final Rule Release No. BHCA-6 |
| 34-84861 | Dec. 19, 2018 | Risk Mitigation Techniques for Uncleared Security-Based Swaps (Conformed to Federal Register Version)
File No: S7-28-18 Comments Due: April 14, 2019 Comments received are available for this proposal. Federal Register version (84 FR 4614) See also: Final Rule Release No. 34-87782 |
| 33-10590 | Dec. 19, 2018 | Fund of Funds Arrangements (Conformed to Federal Register Version)
Other Release No.: IC-33329 File No: S7-27-18 Comments Due: May 2, 2019 Comments received are available for this proposal. Federal Register version (84 FR 1286) See also: Final Rule Release No. 33-10871 |
| 33-10569 | Oct. 30, 2018 | Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts (Conformed to Federal Register version)
File No: S7-23-18 Comments Due: February 15, 2019 Comments received are available for this proposal. Federal Register version (83 FR 61730) See Also: Final Rule Rel. No. 33-10765 Appendix A: Hypothetical Initial Summary Prospectus Appendix B: Hypothetical Updating Summary Prospectus Appendix C: Feedback Flier – Variable Annuity Summary Prospectus (PDF) Proposed Form N-3 Proposed Form N-4 Proposed Form N-6 |
| 34-84409 | Oct. 11, 2018 | Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers (Conformed to Federal Register version)
File No: S7-08-12 Comments Due: November 19, 2018 Comments received are available for this proposal. Federal Register version (83 FR 53007) See also: Final Rule Release No. 34-86175 |
| Third Quarter | ||
| 34-84289 | Sep. 26, 2018 | Amendments to Rules for Nationally Recognized Statistical Rating Organizations
File No: S7-22-18 Comments Due: November 5, 2018 Comments received are available for this proposal. Federal Register version (83 FR 50297) See also: Final Rule Release No. 34-86590 |
| 34-84225 | Sep. 20, 2018 | Amendment to Single Issuer Exemption for Broker-Dealers
File No: S7-21-18 Comments Due: October 29, 2018 Comments received are available for this proposal. Federal Register version (83 FR 48733) See also: Final Rule Release No. 34-86073 |
| BHCA-4 | Sep. 4, 2018 | Extension of Comment Period for Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
File No: S7-14-18 Comments Due: October 17, 2018 See also: Proposed Rule Release No. BHCA-3 Comments received are available for this proposal. Federal Register version (83 FR 33432) See also: Final Rule Release No. BHCA-7 |
| 33-10526 | Jul. 24, 2018 | Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant’s Securities (Conformed to Federal Register Version)
Other Release No.: 34-83701 File No.: S7-19-18 Comments Due: December 3, 2018 Comments received are available for this proposal. Federal Register version (83 FR 49630) See also: Final Rule Release No. 33-10762 |
| Second Quarter | ||
| 34-83557 | Jun. 29, 2018 | Amendments to the Commission’s Whistleblower Program Rules (Conformed to Federal Register version)
File No.: S7-16-18 Comments Due: September 18, 2018 Comments received are available for this proposal. Federal Register version (83 FR 34702) See also: Final Rule Release No. 34-89963 |
| 33-10515 | Jun. 28, 2018 | Exchange-Traded Funds (Conformed to Federal Register version)
Other Release No.: IC-33140 File No.: S7-15-18 Comments Due: October 1, 2018 Comments received are available for this proposal. Federal Register version (83 FR 37332) See also: Final Rule Release No. 33-10695 |
| BHCA-3 | Jun. 5, 2018 | Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds (Conformed to Federal Register version)
Comments Due: 60 days after date of publication Comments received are available for this proposal. Federal Register version (83 FR 33432) See also: Final Rule Release No. BHCA-7 |
| 33-10498 | May 23, 2018 | Covered Investment Fund Research Reports (Conformed to Federal Register version)
Other Release Nos.: 34 83307; IC 33106 File No.: S7-11-18 Comments Due: July 9, 2018 Comments received are available for this proposal. Federal Register version (83 FR 26788) See also: Final Rule Release No. 33-10580 |
| 33-10491 | May 2, 2018 | Auditor Independence with Respect to Certain Loans or Debtor-Creditor Relationships (Conformed to Federal Register version)
Other Release Nos.: IC-33091; IA-4904 File No.: S7-10-18 Comments Due: July 9, 2018 Comments received are available for this proposal. Federal Register version (83 FR 20753) See also: Final Rule Release No. 33-10648 |
| 34-83063 | Apr. 18, 2018 | Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures in Retail Communications and Restrictions on the use of Certain Names or Titles (Conformed to Federal Register Version)
Other Release No.: IA-4888 File No.: S7-08-18 Comments Due: August 7, 2018 Comments received are available for this proposal. See Also: Appendix A: Form ADV General Instructions Appendix B: Instructions to Form CRS Appendix C: Dual Registrant Mock-up Appendix D: Broker-Dealer Mock-up Appendix E: Investment Adviser Mock-up Appendix F: Feedback on the Relationship Summary (PDF) (Conformed to Federal Register Version) Federal Register version (83 FR 21416) See also: Final Rule Release No. 34-86032 |
| IA-4889 | Apr. 18, 2018 | Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation
File No.: S7-09-18 Comments Due: August 7, 2018 Comments received are available for this proposal. |
| 34-83062 | Apr. 18, 2018 | Regulation Best Interest (Conformed to Federal Register version)
File No.: S7-07-18 Comments Due: August 7, 2018 Comments received are available for this proposal. Federal Register version (83 FR 21574) See also: Final Rule Release No. 34-86031 |
| First Quarter | ||
| 34-82873 | Mar. 14, 2018 | Transaction Fee Pilot for NMS Stocks
File No.: S7-05-18 Comments Due: May 25, 2018 Comments received are available for this proposal. Federal Register version (83 FR 13008) See also: Final Rule Release No. 34-84875 |
| IC-33046 | Mar. 14, 2018 | Investment Company Liquidity Disclosure (Conformed to Federal Register version)
File No.: S7-04-18 Comments Due: May 18, 2018 Comments received are available for this proposal. Federal Register version (83 FR 11905) See also: Final Rule Release No. 33-10577 |