SEC Proposed Rules Archive: 2021
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:
Fourth Quarter | Third Quarter | Second Quarter |
2023 | 2022 | 2021 | 2020 | 2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | 1995 | 1988-1994
Release No. | Date | Details |
---|---|---|
Fourth Quarter | ||
34-93784 | Dec. 15, 2021 | Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions
(Conformed to Federal Register version)
File No: S7-32-10 Comments Due: March 21, 2022 Comments received are available for this proposal. Federal Register version (87 FR 6652) See Also: Final Rule Rel. No. 34-97656; Press Release No. 2021-259; Fact Sheet; Proposed Rule Rel. No. 34-69491; Proposed Rule Rel. No. 34-63236 |
IC-34441 | Dec. 15, 2021 | Money Market Fund Reforms
(Conformed to Federal Register version)
File No: S7-22-21 Comments Due: April 11, 2022 Comments received are available for this proposal. Federal Register version (87 FR 7248) See Also: Final Rule Rel. No. 33-11211; Press Release No. 2021-258; Fact Sheet |
34-93783 | Dec. 15, 2021 | Share Repurchase Disclosure Modernization
(Conformed to Federal Register version)
Other Rel. No: IC-34440 File No: S7-21-21 Comments Due: April 1, 2022 Comments received are available for this proposal. Federal Register version (87 FR 8443) See Also: Final Rule 34-97424; Press Release No. 2021-257; Fact Sheet |
34-93614 | Nov. 18, 2021 | Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
(Conformed to Federal Register version)
File No: S7-19-21 Comments Due: January 3, 2022 Comments received are available for this proposal. Federal Register version (86 FR 68300) See Also: Final Rule Rel. No. 34-96034; Press Release No. 2021-240; Fact Sheet |
34-93613 | Nov. 18, 2021 | Reporting of Securities Loans
(Conformed to Federal Register version)
File No: S7-18-21 Comments Due: January 7, 2022 Comments received are available for this proposal. See Also: Press Release No. 2021-239; Fact Sheet |
34-93595 | Nov. 17, 2021 | Proxy Voting Advice (Conformed to Federal Register version)
File No: S7-17-21 Comments Due: December 27, 2021 Comments received are available for this proposal. Federal Register version (86 FR 67383) See Also: Final Rule Release No. 34-95266; Press Release No. 2021-236; Fact Sheet |
33-11005 | Nov. 4, 2021 | Updating EDGAR Filing Requirements
(Conformed to Federal Register version)
File No: S7-16-21 Other Release Nos: 34-93519 Comments Due: December 22, 2021 Comments received are available for this proposal. Federal Register version (86 FR 66231) See Also: Final Rule Release No. 33-11070; Press Release No. 2021-236; Fact Sheet |
34-93518 | Nov. 4, 2021 | Electronic Submission of Applications for Orders under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F
(Conformed to Federal Register version)
File No: S7-15-21 Other Release Nos: IA-5903; IC-34415 Comments Due: December 20, 2021 Comments received are available for this proposal. See Also: Final Rule 34-95148; Press Release No. 2021-223; Fact Sheet |
33-10998 | Oct. 14, 2021 | Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation (Conformed to Federal Register version)
File No: S7-12-15 Other Release Nos: 34-93311; IC-34399 Comments Due: November 22, 2021 Comments received are available for this proposal. Federal Register version (86 FR 58232) See also: Final Rule Rel. No. 33-11126; Press Release 2021-210; Fact Sheet; Proposed Rule 33-9861 |
Third Quarter | ||
34-93169 | Sep. 29, 2021 | Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers
(Conformed to Federal Register version)
File No: S7-11-21 Other Release Nos: IC-34389 Comments Due: December 14, 2021 Comments received are available for this proposal. Federal Register version (86 FR 57478) See Also: Final Rule 33-11131; Press Release No. 2022-198; Fact Sheet |
Second Quarter | ||
34-91603 | Apr. 16, 2021 | Reopening of Comment Period for Universal Proxy
(Conformed to Federal Register version)
File No: S7-24-16 Other Release Nos: IC-34246 Comments Due: June 7, 2021 Comments received are available for this proposal. Federal Register version (86 FR 24364) See also: Final Rule 34-93596; Press Release 2021-64; Proposed Rule 34-79164 |