Securities and Exchange Commission

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2018-07-31Securities and Exchange Commission Proposed Rule on Exchange-Traded Funds
2018-07-24Exempt Offerings Pursuant to Compensatory Arrangements
2018-07-24Concept Release on Compensatory Securities Offerings and Sales
2018-07-20SEC Proposed Whistleblower Program Rules
2018-07-17Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
2018-07-17Adoption of Updated EDGAR Filer Manual
2018-07-10Smaller Reporting Company Definition
2018-07-10Investment Company Liquidity Disclosure
2018-06-28Amendments to the Commission’s Freedom of Information Act Regulations
2018-06-22Optional Internet Availability of Investment Company Shareholder Reports
2018-06-11Request for Comment on Fund Retail Investor Experience and Disclosure
2018-06-11Securities and Exchange Commission Regulatory Flexibility Agenda
2018-06-08Covered Investment Fund Research Reports
2018-06-01Technical Amendments to Rules of Practice and Rules of Organization; Conduct and Ethics; and Information and Requests
2018-05-23Correction to Form CRS Relationship Summary and Amendments to Form ADV Proposed Rule
2018-05-14Amendments to Forms and Schedules To Remove Provision of Certain Personally Identifiable Information
2018-05-09Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures in Retail Communications and Restrictions on the Use of Certain Names or Titles
2018-05-09Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation
2018-05-09Regulation Best Interest
2018-05-08Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships
2018-03-26Transaction Fee Pilot for NMS Stocks
2018-03-19Investment Company Liquidity Disclosure
2018-03-16Adoption of Updated EDGAR Filer Manual
2018-02-27Investment Company Liquidity Risk Management Programs; Commission Guidance for In-Kind ETFs
2018-02-26Commission Statement and Guidance on Public Company Cybersecurity Disclosures
2018-01-30Amendments to Forms and Schedules To Remove Voluntary Provision of Social Security Numbers
2018-01-17Adoption of Updated EDGAR Filer Manual
2018-01-16Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
2018-01-12Securities and Exchange Commission Regulatory Flexibility Agenda
2018-01-11Exemptions From Investment Adviser Registration for Advisers to Small Business Investment Companies
2018-01-11Staff Accounting Bulletin No. 117
2018-01-03Freedom of Information Act Regulations
2017-12-14Investment Company Reporting Modernization
2017-12-14Compliance Date for Form 10-D Hyperlink Requirements
2017-11-02FAST Act Modernization and Simplification of Regulation S-K
2017-10-30Covered Securities Pursuant to Section 18 of the Securities Act of 1933
2017-10-02Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Harvey, Hurricane Irma, and Hurricane Maria
2017-09-29Adoption of Updated EDGAR Filer Manual
2017-09-27Commission Guidance on Pay Ratio Disclosure
2017-08-29Commission Guidance Regarding Revenue Recognition for Bill-and-Hold Arrangements
2017-08-29Staff Accounting Bulletin No. 116
2017-08-29Updates to Commission Guidance Regarding Accounting for Sales of Vaccines and Bioterror Countermeasures to the Federal Government for Placement Into the Pediatric Vaccine Stockpile or the Strategic National Stockpile
2017-08-24Securities and Exchange Commission Semiannual Regulatory Flexibility Agenda
2017-07-28Adoption of Updated EDGAR Filer Manual
2017-07-21Covered Securities Pursuant to Section 18 of the Securities Act of 1933
2017-05-09Amendments to Investment Advisers Act Rules To Reflect Changes Made by the FAST Act
2017-05-09Technical Amendments to Form ADV and Form ADV-W
2017-04-24Request for Comment on Possible Changes to Industry Guide 3 (Statistical Disclosure by Bank Holding Companies); Extension of Comment Period
2017-04-12Inflation Adjustments and Other Technical Amendments Under Titles I and III of the Jobs Act
2017-03-31Adoption of Updated EDGAR Filer Manual
2017-03-29Securities Transaction Settlement Cycle
2017-03-17Exhibit Hyperlinks and HTML Format
2017-03-17Inline XBRL Filing of Tagged Data
2017-03-15Proposed Amendments to Municipal Securities Disclosure
2017-03-07Request for Comment on Possible Changes to Industry Guide 3 (Statistical Disclosure by Bank Holding Companies)
2017-02-28Exemptions To Facilitate Intrastate and Regional Securities Offerings
2017-02-15Exemptions for Security-Based Swaps
2017-02-08Adoption of Updated EDGAR Filer Manual
2017-01-23Adoption of Updated EDGAR Filer Manual
2017-01-18Securities and Exchange Commission Adjustments to Civil Monetary Penalty Amounts
2016-12-28Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act; Correction
2016-12-23Consolidated Audit Trail
2016-12-23Securities and Exchange Commission Semiannual Regulatory Flexibility Agenda
2016-11-21Exemptions To Facilitate Intrastate and Regional Securities Offerings
2016-11-18Investment Company Reporting Modernization
2016-11-18Investment Company Swing Pricing
2016-11-18Investment Company Liquidity Risk Management Programs
2016-11-10Universal Proxy
2016-10-13Standards for Covered Clearing Agencies
2016-10-13Definition of Covered Clearing Agency
2016-10-05Amendment to Securities Transaction Settlement Cycle
2016-09-30Adoption of Updated EDGAR Filer Manual
2016-09-29Extension of Comment Period for Disclosure Update and Simplification
2016-09-28Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Order With Respect to MSRB Rule G-37
2016-09-28SEC Order on FINRA Rule 2030 and MSRB Rule G-37 Pay-to-Play Restrictions
2016-09-20Securities and Exchange Commission List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
2016-09-12Exhibit Hyperlinks and HTML Format
2016-09-02SEC Notice of Intent to Issue Order Regarding FINRA Rule 2030 Pay-to-Play Restrictions
2016-09-02SEC Notice of Intent to Issue Order Regarding MSRB Rule G-37 and FINRA Rule 2030
2016-09-02Access to Data Obtained by Security-Based Swap Data Repositories
2016-09-01Form ADV and Investment Advisers Act Rules
2016-08-31Request for Comment on Subpart 400 of Regulation S-K Disclosure Requirements Relating to Management, Certain Security Holders and Corporate Governance Matters
2016-08-26Extension of Comment Period for Modernization of Property Disclosures for Mining Registrants
2016-08-12Regulation SBSR—Reporting and Dissemination of Security-Based Swap Information
2016-08-04Disclosure Update and Simplification
2016-07-29Amendments to the Commission's Rules of Practice
2016-07-27Disclosure of Payments by Resource Extraction Issuers
2016-07-27Disclosure of Order Handling Information
2016-07-27Order Recognizing Substantial Similarity of EU, Canadian, and USEITI Resource Extraction Payment Disclosure Requirements to Rule 13q-1
2016-07-05Adviser Business Continuity and Transition Plans
2016-07-01Adoption of Updated EDGAR Filer Manual
2016-07-01Amendments to Smaller Reporting Company Definition
2016-07-01Adjustments to Civil Monetary Penalty Amounts
2016-06-27Modernization of Property Disclosures for Mining Registrants
2016-06-23Commission Interpretation Regarding Automated Quotations Under Regulation NMS
2016-06-22Asset-Backed Securities Disclosure and Registration
2016-06-17Trade Acknowledgment and Verification of Security-Based Swap Transactions
2016-06-10Incentive-Based Compensation Arrangements
2016-06-09Securities and Exchange Commission Regulatory Flexibility Agenda
2016-06-09SEC Interim Final Rule: Form 10-K Summary
2016-05-26Retail Foreign Exchange Transactions
2016-05-24Performance-Based Investment Advisory Fees
2016-05-24Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants; Correction
2016-05-19Adoption of Updated EDGAR Filer Manual
2016-05-13Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
2016-05-10Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act
2016-04-22Business and Financial Disclosure Required by Regulation S-K
2016-04-08Certain Natural Gas and Electric Power Contracts
2016-04-01Commodity Futures Trading Commission Final Rule on Fingerprinting Exemptions and SEC CFR Correction
2016-03-24Notice of Proposed Commission Interpretation Regarding Automated Quotations Under Regulation NMS
2016-03-17Securities Investor Protection Corporation
2016-03-11CFR Corrections: CFTC Registration Rules and SEC Security-Based Swap Dealer De Minimis Exception
2016-03-02Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
2016-02-23Transfer Agent Regulations; Extension of Comment Period
2016-01-27Extension of Comment Period for Disclosure of Payments by Resource Extraction Issuers
2016-01-21Securities and Exchange Commission; Reopening of Comment Period for Proposed Amendments to Rule 13n-4
2016-01-07Establishing the Form and Manner With Which Security-Based Swap Data Repositories Must Make Security-Based Swap Data Available to the Commission; Correction
2015-12-31Transfer Agent Regulations
2015-12-28Use of Derivatives by Registered Investment Companies and Business Development Companies
2015-12-28Regulation of NMS Stock Alternative Trading Systems
2015-12-23Disclosure of Payments by Resource Extraction Issuers
2015-12-23Establishing the Form and Manner with which Security-Based Swap Data Repositories Must Make Security-Based Swap Data Available to the Commission
2015-12-15Securities and Exchange Commission Regulatory Flexibility Agenda
2015-11-10Exemptions To Facilitate Intrastate and Regional Securities Offerings
2015-11-04Securities Investor Protection Corporation Proposed Rules on Supplemental Reports
2015-10-28Securities and Exchange Commission List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
2015-10-15Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release
2015-10-13Request for Comment on the Effectiveness of Financial Disclosures About Entities Other Than the Registrant
2015-10-05Amendments to the Commission's Rules of Practice
2015-10-05Amendments to the Commission's Rules of Practice
2015-10-01Request for Comment on the Effectiveness of Financial Disclosures About Entities Other Than the Registrant
2015-09-14Access to Data Obtained by Security-Based Swap Data Repositories and Exemption From Indemnification Requirement
2015-08-25Applications 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
2015-07-14Listing Standards for Recovery of Erroneously Awarded Compensation
2015-07-08Possible Revisions To Audit Committee Disclosures
2015-07-02Securities and Exchange Commission: Amendments to Form ADV and Investment Advisers Act Rules
2015-06-18Nuclear Regulatory Commission Semiannual Regulatory Agenda
2015-06-18Securities and Exchange Commission Regulatory Flexibility Agenda
2015-06-12Investment Company Reporting Modernization
2015-06-12Amendments to Form ADV and Investment Advisers Act Rules
2015-05-13Application of Certain Title VII Requirements to Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity Arranged, Negotiated, or Executed in the U.S.
2015-05-07Pay Versus Performance
2015-04-02Exemption for Certain Exchange Members
2015-03-19Regulation SBSR—Reporting and Dissemination of Security-Based Swap Information
2015-02-17Disclosure of Hedging by Employees, Officers and Directors
2014-12-30Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the Jobs Act
2014-12-29List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
2014-12-22Nuclear Regulatory Commission Semiannual Regulatory Agenda
2014-12-22Securities and Exchange Commission Regulatory Flexibility Agenda
2014-11-20Forward Contracts With Embedded Volumetric Optionality
2014-09-11Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
2014-09-02Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule; Correction
2014-08-18Temporary Rule Regarding Principal Trades With Certain Advisory Clients
2014-08-14Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule
2014-06-27Freedom of Information Act Regulations: Fee Schedule, Addition of Appeal Time Frame, and Miscellaneous Administrative Changes
2014-06-13Securities and Exchange Commission Regulatory Flexibility Agenda
2014-06-13Nuclear Regulatory Commission Semiannual Regulatory Agenda
2014-05-22Standards for Covered Clearing Agencies
2014-05-02Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Capital Rule for Certain Security-Based Swap Dealers
2014-04-09Investment Company Advertising: Target Date Retirement Fund Names and Marketing
2014-04-02Extension of Comment Period for Asset-Backed Securities Release
2014-03-26Standards for Covered Clearing Agencies
2014-02-28Re-Opening of Comment Period for Asset-Backed Securities Release
2014-01-29List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
2014-01-23Proposed Rule Amendments for Small and Additional Issues Exemptions Under Section 3(b) of the Securities Act
2014-01-07Securities and Exchange Commission Regulatory Flexibility Agenda
2014-01-07Nuclear Regulatory Commission Semiannual Regulatory Agenda
2013-11-05Securities and Exchange Commission Proposed Rules on Crowdfunding
2013-11-05Securities Investor Protection Corporation: Proposed Rule Change to Amend Rule 400
2013-10-03Amendments to Regulation D, Form D and Rule 156; Re-Opening of Comment Period
2013-10-01SEC Proposed Rule on Pay Ratio Disclosure
2013-09-20Credit Risk Retention
2013-07-24Amendments to Regulation D, Form D and Rule 156
2013-07-23Securities and Exchange Commission Regulatory Flexibility Agenda
2013-06-19Money Market Fund Reform; Amendments to Form PF
2013-05-23Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps
2013-05-23Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and Forms Relating to the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
2013-05-23Regulation Systems Compliance and Integrity
2013-03-25Regulation Systems Compliance and Integrity
2013-01-22Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
2013-01-08Securities and Exchange Commission Regulatory Flexibility Agenda
2013-01-08Nuclear Regulatory Commission Semiannual Regulatory Agenda
2012-12-04List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
2012-12-03Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers; Correction
2012-11-30Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
2012-11-23Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
2012-10-12Temporary Rule Regarding Principal Trades With Certain Advisory Clients
2012-09-05Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings
2012-06-14Statement of General Policy on the Sequencing of the Compliance Dates for Final Rules Applicable to Security-Based Swaps
2012-05-09Amendments to Financial Responsibility Rules for Broker-Dealers
2012-04-06Investment Company Advertising: Target Date Retirement Fund Names and Marketing
2012-03-06Identity Theft Red Flags Rules
2012-02-13Nuclear Regulatory Commission Semiannual Regulatory Agenda
2012-02-13Securities and Exchange Commission Semiannual Regulatory Flexibility Agenda
2012-01-03Extension of Comment Period for Proposed Rules on Proprietary Trading and Hedge Fund Restrictions
2012-01-03Prohibition Against Conflicts of Interest in Certain Securitizations
2011-12-21List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
2011-12-16Prohibition Against Conflicts of Interest in Certain Securitizations
2011-11-07Proposed Rule on Prohibitions and Restrictions on Proprietary Trading and Certain Interests in Hedge Funds and Private Equity Funds
2011-10-24Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants