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Proposed Rules
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240, 248, and 249 [Release No. 34-44455; File No. S7-13-01] RIN 3235-AI21 Registration of Broker-Dealers Pursuant to Section 15(b)(11) ...
COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 41 RIN 3038-AB77 SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-44288; File No. S7-11-01] RIN 3235-AI13 ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 270 and 275 [Release No. IC-24890; IA-1932; File No. S7-06-01] RIN 3235-AI05 Electronic Recordkeeping by Investment Companies and Investment ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240 and 249 [Release No. 34-43860; File No. S7-03-01] RIN 3235-AI06 Proposed Rule Changes of Self-Regulatory Organizations AGENCY:Securities and ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-43085; File No. S7-17-00]RIN 3235-AH96Firm Quote and Trade-Through Disclosure Rules for OptionsAGENCY:Securities and Exchange Commission.ACTION:Proposed rule.SUMMARY:The Securities ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 210 and 240[Release Nos. 33-7870; 34-42994; 35-27193; IC-24549; IA-1884; File No. S7-13-00]RIN 3235-AH91Revision of the Commission's Auditor Independence RequirementsAGENCY:Securities ...
SECURITIES AND EXCHANGE COMMISSION[Release No. 34-42755; File No. 4-434]RIN 3235-AH92Options Price Reporting AuthorityAGENCY:Securities and Exchange Commission.ACTION:Proposed Amendments to National Market System Plan .SUMMARY:The Securities and ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-42741; File No. S7-12-00] RIN 3235-AH69Electronic Submission of Securities Trading Data by Exchange Members, Brokers and ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200, 275, and 279[Release No. IA-1862; 34-42620; File No. S7-10-00]RIN 3235-AD21Electronic Filing by Investment Advisers; Proposed Amendments to Form ...
Proposed Rule: Rulemaking for EDGAR System SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 228, 229, 230, 232, 239, 240, 249, 250, 259, 260, 269, 270, ...