SEC Rulemakings Back to Regulatory Research Home SEC Rulemakings list Jun 27, 2016 Final Rule: Disclosure of Payments by Resource Extraction Issuers Jun 27, 2016 Jun 27, 2016 Jun 17, 2016 Final Rule: Trade Acknowledgment and Verification of Security-Based Swap Transactions Jun 17, 2016 Jun 17, 2016 May 13, 2016 Final Rule: Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants May 13, 2016 May 13, 2016 Aug 18, 2015 Final Rule: Pay Ratio Disclosure Aug 18, 2015 Aug 18, 2015 Aug 14, 2015 Final Rule: Registration Process for Security-Based Swap Dealers and Major Security-Based Swap Participants Aug 14, 2015 Aug 14, 2015 May 18, 2015 Final Rule: Regulation SBSR—Reporting and Dissemination of Security-Based Swap Information May 18, 2015 May 18, 2015 Mar 19, 2015 Final Rule: Security-Based Swap Data Repository Registration, Duties, and Core Principles Mar 19, 2015 Mar 19, 2015 Nov 10, 2014 Final Rule: Asset-Backed Securities Disclosure and Registration Nov 10, 2014 Nov 10, 2014 Oct 14, 2014 Final Rule: Nationally Recognized Statistical Rating Organizations Oct 14, 2014 Oct 14, 2014 Jul 9, 2014 Final Rule: Application of “Security-Based Swap Dealer” and “Major Security-Based Swap Participant” Definitions to Cross-Border Security-Based Swap Activities Jul 9, 2014 Jul 9, 2014 Nov 12, 2013 Final Rule: Registration of Municipal Advisors Nov 12, 2013 Nov 12, 2013 Jul 7, 2013 Final Rule: Disqualification of Felons and Other “Bad Actors” from Rule 506 Offerings Jul 7, 2013 Jul 7, 2013 Jan 23, 2013 Final Rule: Lost Securityholders and Unresponsive Payees Jan 23, 2013 Jan 23, 2013 Nov 2, 2012 Final Rule: Clearing Agency Standards Nov 2, 2012 Nov 2, 2012 Sep 12, 2012 Final Rule: Disclosure of Payments by Resource Extraction Issuers Sep 12, 2012 Sep 12, 2012 Sep 12, 2012 Final Rule: Conflict Minerals Sep 12, 2012 Sep 12, 2012 Jul 13, 2012 Final Rule: Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 … Jul 13, 2012 Jul 13, 2012 Jun 27, 2012 Final Rule: Listing Standards for Compensation Committees Jun 27, 2012 Jun 27, 2012 Apr 5, 2012 Final Rule: Exemptions For Security-Based Swaps Issued By Certain Clearing Agencies Apr 5, 2012 Apr 5, 2012 Feb 22, 2012 Final Rule: Investment Adviser Performance Compensation Feb 22, 2012 Feb 22, 2012 Dec 29, 2011 Final Rule: Net Worth Standard for Accredited Investors Dec 29, 2011 Dec 29, 2011 Aug 23, 2011 Final Rule: Suspension of the Duty To File Reports for Classes of Asset-Backed Securities Under Section 15(D) of the Securities Exchange Act of 1934 Aug 23, 2011 Aug 23, 2011 Jul 19, 2011 Final Rule: Rules Implementing Amendments to the Investment Advisers Act of 1940 Jul 19, 2011 Jul 19, 2011 Jul 11, 2011 Interim Final Rule: Exemptions for Security-Based Swaps Jul 11, 2011 Jul 11, 2011 Jul 6, 2011 Final Rule: Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers Jul 6, 2011 Jul 6, 2011 Jun 29, 2011 Final Rule: Family Offices Jun 29, 2011 Jun 29, 2011 Jun 14, 2011 Final Rule: Beneficial Ownership Reporting Requirements and Security-Based Swaps Jun 14, 2011 Jun 14, 2011 Jun 13, 2011 Final Rule: Implementation of the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934 Jun 13, 2011 Jun 13, 2011 Feb 2, 2011 Final Rule: Shareholder Approval of Executive Compensation and Golden Parachute Compensation Feb 2, 2011 Feb 2, 2011 Jan 26, 2011 Final Rule: Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act Jan 26, 2011 Jan 26, 2011 Archive 2016 3 2015 4 2014 3 2013 3 2012 7 2011 11 2010 3
