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:
Third Quarter | Second Quarter | First Quarter
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 |
---|---|---|
Third Quarter | ||
33-10892 | Nov. 24, 2020 | Temporary Rules to Include Certain "Platform Workers" in Compensatory Offerings under Rule 701 and Form S-8 (Conformed to Federal Register version)
File No: S7-19-20 Other Release Nos: 34-90948 Comments Due: February 9, 2021 Comments received are available for this proposal. See also: Press Release 2020-293 |
33-10891 | Nov. 24, 2020 | Modernization of Rules and Forms for Compensatory Securities Offerings and Sales (Conformed to Federal Register version)
File No: S7-18-20 Comments Due: February 9, 2021 See also: Press Release 2020-294 |
34-90019 | Sep. 28, 2020 | Regulation ATS for ATSs that Trade U.S. Government Securities, NMS Stock, and Other Securities; Regulation SCI for ATSs that Trade U.S. Treasury Securities and Agency Securities; and Electronic Corporate Bond and Municipal Securities Markets
File No: S7-12-20 Comments Due: 60 days after publication in the Federal Register |
33-10821 | Aug. 21, 2020 | Administration of the Electronic Data Gathering, Analysis, and Retrieval System
File No: S7-11-20 Other Release Nos: 34-89633, 39-2532, IC-33974 Comments Due: October 19, 2020 Comments received are available for this proposal. Federal Register version (85 FR 58018) See Also: Final Rule Rel. No. 33-10902 |
34-89632 | Aug. 21, 2020 | Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail to Enhance Data Security (Conformed to Federal Register version)
File No: S7-10-20 Comments Due: November 30, 2020 Comments received are available for this proposal. |
33-10814 | Aug. 5, 2020 | Tailored Shareholder Reports, Treatment of Annual Prospectus Updates for Existing Investors, and Improved Fee and Risk Disclosure for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements (Conformed to Federal Register version)
File No: S7-09-20 Other Release Nos: 34-89478, IC-33963 Comments Due: Jan. 4, 2021 See also:
|
34-89290 | Jul. 10, 2020 | Reporting Threshold for Institutional Investment Managers
(Conformed to Federal Register version)
File No: S7-08-20 Comments Due: September 29, 2020 Comments received are available for this proposal. |
Second Quarter | ||
IC-33845 | Apr. 21, 2020 | Good Faith Determinations of Fair Value
(Conformed to Federal Register version)
File No: S7-07-20 Comments Due: July 21, 2020 Comments received are available for this proposal. Federal Register version (85 FR 28734) See Also: Final Rule Rel. No. IC-34128 |
First Quarter | ||
33-10763 | Mar. 4, 2020 | Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets
(Conformed to Federal Register version)
Other Release No: 34-88321 File No: S7-05-20 See Also: Staff Report on Regulation A Comments received are available for this proposal. Federal Register version (85 FR 17956) See Also: Final Rule Rel. No. 33-10844 |
34-88216 | Feb. 14, 2020 | Market Data Infrastructure
(Conformed to Federal Register version)
File No: S7-03-20 Comments Due: May 26, 2020 Comments received are available for this proposal. |
BHCA-8 | Jan. 30, 2020 | 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) File No: S7-02-20 See Also: Final Rule Rel. No. BHCA-9 Comments Due: April 1, 2020 Comments received are available for this proposal. Federal Register version (85 FR 12120) |
33-10750 | Jan. 30, 2020 | Management’s Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information
Other Release Nos: 34-88093, IC-33795 File No: S7-01-20 Comments received are available for this proposal. Federal Register version (85 FR 12068) See Also: Final Rule Rel. No. 33-10890 |