Proposed Rules
- Updating EDGAR Filing Requirements
Nov 4, 2021 | 14:30 EST
- 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
Nov 4, 2021 | 14:30 EST
- Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation
Oct 14, 2021 | 13:00 EST
- Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers
Sep 29, 2021 | 15:15 EST
- Rule 144 Holding Period and Form 144 Filings
Dec 22, 2020 | 14:00 EST
- Temporary Rules to Include Certain "Platform Workers" in Compensatory Offerings under Rule 701 and Form S-8
Nov 24, 2020 | 10:45 EST
- Modernization of Rules and Forms for Compensatory Securities Offerings and Sales
Nov 24, 2020 | 10:45 EST
- 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
Sep 28, 2020 | 10:20 EST
- Administration of the Electronic Data Gathering, Analysis, and Retrieval System
Aug 21, 2020 | 16:20 EST
- Amendments to the National Market System Plan Governing the Consolidated Audit Trail to Enhance Data Security
Aug 21, 2020 | 16:00 EST
- 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
Aug 5, 2020 | 15:00 EST
- Reporting Threshold for Institutional Investment Managers
Jul 10, 2020 | 15:00 EST
- Good Faith Determinations of Fair Value
Apr 21, 2020 | 18:00 EST
- Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets
Mar 4, 2020 | 16:00 EST
- Market Data Infrastructure
Feb 14, 2020 | 16:30 EST
- Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Feb 3, 2020 | 13:30 EST
- Management’s Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information
Jan 30, 2020 | 12:30 EST
- Amendments to Rule 2-01, Qualifications of Accountants
Dec 30, 2019 | 12:30 EST
- Amending the “Accredited Investor” Definition
Dec 18, 2019 | 15:00 EST
- Disclosure of Payments by Resource Extraction Issuers
Dec 18, 2019 | 15:00 EST
- Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence by Broker-Dealers and Registered Investment Advisers Regarding Retail Customers’ Transactions in Certain Leveraged/Inverse Investment Vehicles
Nov 25, 2019 | 17:00 EST
- Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8
Nov 05, 2019 | 13:30 EST
- Amendments to Exemptions from the Proxy Rules for Proxy Voting Advice
Nov 05, 2019 | 13:30 EST
- Investment Adviser Advertisements; Compensation for Solicitations
Nov 04, 2019 | 17:30 EST
- Filing Fee Disclosure and Payment Methods Modernization
Oct 24, 2019 | 13:10 EST
- Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940
Oct 18, 2019 | 14:03 EST
- Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments
Oct 01, 2019 | 17:23 EST
- Publication or Submission of Quotations Without Specified Information
Sep 26, 2019 | 09:30 EST
- Update of Statistical Disclosures for Bank and Savings and Loan Registrants
Sep 17, 2019 | 09:30 EST
- Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail
Sep 9, 2019 | 17:00 EST
- Modernization of Regulation S-K Items 101, 103, and 105
Aug 8, 2019 | 16:30 EST
- Customer Margin Rules Relating to Security Futures
Jul 3, 2019 | 17:55 EST
- Proposed Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements
May 10, 2019 | 18:45 EST
- Amendments to the Accelerated Filer and Large Accelerated Filer Definitions
May 09, 2019 | 18:45 EST
- Amendments to Financial Disclosures about Acquired and Disposed Businesses
May 03, 2019 | 18:45 EST
- Securities Offering Reform for Closed-End Investment Companies
Mar 20, 2019 | 18:45 EST
- Solicitations of Interest Prior to a Registered Public Offering
Feb 19, 2019 | 13:39 EST
- Extension of Comment Period for Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
Feb 14, 2019 | 18:20 EST
- Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Dec 21, 2018 | 18:20 EST
- Risk Mitigation Techniques for Uncleared Security-Based Swaps
Dec 19, 2018 | 17:16 EST
- Fund of Funds Arrangements
Dec 19, 2018 | 14:16 EST
- Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
Oct 30, 2018 | 18:40 EST
- Amendments to Rules for Nationally Recognized Statistical Rating Organizations
Sep 26, 2018 | 11:45 EST
- Amendment to Single Issuer Exemption for Broker-Dealers
Sep 20, 2018 | 14:45 EST
- Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Sep 4, 2018 | 14:45 EST
- Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities
Jul 24, 2018 | 16:49 EST