Proposed Rules

This is another Dodd-Frank inspired proposed rule from the SEC in 2011. This one, proposed jointly with the CFTC and other regulators, regarding the definitions ...

This is a Dodd-Frank-related proposal from the SEC made in April 2011 that seeks to remove certain references to credit rating agencies in the Exchange ...

This is a multi-agency proposal, including the SEC, made in April 2011 concerning incentive-based compensation arrangements at certain financial firms. This Dodd-Frank inspired proposal would ...

This SEC proposal made in March 2011 would direct investment advisers and other “paying agents” to search for missing security holders.

This is the SEC's proposed rule released in March 2010 that would remove references to credit rating agencies in Investment Company rules and forms.

An SEC proposal for rules regarding the registration of municipal advisors.

This is a proposed rule issued by the SEC in 2010 related to an exception to mandatory clearing of security-based swaps, one of the reforms ...

This is a jointly proposed rule from the SEC and the CFTC that lays out definitions for swap dealer, security-based swap dealer, major security—based swap ...

This is a Swap proposal from the SEC.

This is the SEC's proposal, released in November 2010, that carries the whistleblower provisions taken from the Dodd-Frank regulatory reform law.