17 CFR
Proposed Rules
April 15, 2021
Proposed Rule
2021-05928
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Proposed Rule
2021-04360
Regulatory Flexibility Agenda
Proposed Rule
2021-04339
Regulatory Flexibility Agenda
Proposed Rule
2020-28945
Swap Execution Facilities and Trade Execution Requirement
Proposed Rule
2020-28790
Rule 144 Holding Period and Form 144 Filings
Proposed Rule
2020-28700
Notice of Proposed Conditional Exemptive Order Granting a Conditional Exemption From the Information Review Requirement and the Recordkeeping Requirement Under the Securities Exchange Act of 1934 for Certain Publications or Submissions of Broker-Dealer Quotations on an Expert Market
Proposed Rule
2020-26390
Modernization of Rules and Forms for Compensatory Securities Offerings and Sales
Proposed Rule
2020-26374
Temporary Rules to Include Certain “Platform Workers” in Compensatory Offerings Under Rule 701 and Form S-8
Proposed Rule
2020-23928
Portfolio Margining of Uncleared Swaps and Non-Cleared Security-Based Swaps
Proposed Rule
2020-21781
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
Proposed Rule
2020-21005
Bankruptcy Regulations
Proposed Rule
2020-18825
Administration of the Electronic Data Gathering, Analysis, and Retrieval System
Proposed Rule
2020-18303
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Proposed Rule
2020-18222
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Proposed Rule
2020-17449
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
Proposed Rule
2020-16750
Regulatory Flexibility Agenda
Proposed Rule
2020-16748
Regulatory Flexibility Agenda
Proposed Rule
2020-15322
Reporting Threshold for Institutional Investment Managers
Proposed Rule
2020-14383
Regulation Automated Trading; Withdrawal
Proposed Rule
2020-14381
Electronic Trading Risk Principles
Proposed Rule
2020-14254
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
Proposed Rule
2020-13830
Credit Risk Retention-Notification of Commencement of Review; Extension of Review Period
Proposed Rule
2020-12034
Exemption From Registration for Certain Foreign Persons Acting as Commodity Pool Operators of Offshore Commodity Pools
Proposed Rule
2020-08854
Good Faith Determinations of Fair Value
Proposed Rule
2020-08603
Swap Clearing Requirement Exemptions
Proposed Rule
2020-08496
Amendments to Compliance Requirements for Commodity Pool Operators on Form CPO-PQR
Proposed Rule
2020-08482
Bankruptcy Regulations
Proposed Rule
2020-08109
Extension of Currently Open Comment Periods for Rulemakings in Response to the COVID-19 Pandemic
Proposed Rule
2020-04407
Swap Data Recordkeeping and Reporting Requirements
Proposed Rule
2020-04405
Real-Time Public Reporting Requirements
Proposed Rule
2020-04404
Certain Swap Data Repository and Data Reporting Requirements
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