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SEC Proposed Rules
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 | First Quarter
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SEC Proposed Rules RSS Feed
Release No. |
Date |
Details |
Fourth Quarter |
34-68071 |
Oct. 18, 2012 |
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers (Corrected to conform to Federal Register version)
File No.: S7-08-12
Comments Due: January 22, 2013
Comments received are available for this proposal.
Submit comments on S7-08-12
See also: Correction: Release No. 34-68071A.pdf
Federal Register (77 FR 70213): HTML | PDF | text | XML
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IA-3483 |
Oct. 9, 2012 |
Temporary Rule Regarding Principal Trades with Certain Advisory Clients (Corrected to conform to Federal Register version)
File No.: S7-23-07
Comments Due: 30 days after the date of publication in the Federal Register
Comments received are available for this proposal.
Submit comments on S7-23-07
See also: Interim Final Temporary Rule Release No. IA-2653; Proposed Rule Release No. IA-3118; Final Rule Release Nos. IA-3128, IA-2965, IA-2965a; Small Entity Compliance Guide
Federal Register (77 FR 62185): HTML | PDF | text | XML
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Third Quarter |
33-9354 |
Aug. 29, 2012 |
Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings
File No.: S7-07-12
Comments Due: October 5, 2012
Comments received are available for this proposal.
Submit comments on S7-07-12
Federal Register (77 FR 54464): HTML | PDF | text | XML |
Second Quarter |
34-66910 |
May 3, 2012 |
Amendments to Financial Responsibility Rules for Broker-Dealers (Reopening of Comment Period)
File No.: S7-08-07
Comments Due: June 8, 2012
Comments received are available for this proposal.
Submit comments on S7-08-07
See also: Proposed Rule Release No. 34-55431
Federal Register (77 FR 27150): HTML | PDF | text | XML |
33-9309 |
Apr. 3, 2012 |
Investment Company Advertising: Target Date Retirement Fund Names and Marketing (Reopening of Comment Period)
File No.: S7-12-10
Comments Due: May 21, 2012
Comments received are available for this proposal.
Submit comments on S7-02-12
See also: Proposed Rule Release No. 33-9126
Federal Register (77 FR 20749): HTML | PDF | Text | XML |
First Quarter |
IC-29969 |
Feb. 27, 2012 |
Identity Theft Red Flags Rules (Joint Proposed Rules; Guidelines)
File No.: S7-02-12
Comments Due: May 7, 2012
Comments received are available for this proposal.
Submit comments on S7-02-12
Federal Register (77 FR 13450): HTML | PDF | Text | XML
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http://www.sec.gov/rules/proposed/proposedarchive/proposed2012.shtml
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