File Number: 4-711
Date: July 6, 2017
Details: Rulemaking petition to require issuers to disclose information about their human capital management policies, practices and performance View Received Comments Submitted By: Meredith Miller, Human Capital Management Coalition
File Number: 4-710
Date: March 15, 2017
Details: Rulemaking petition regarding the regulation of digital assets and blockchain technology View Received Comments Submitted By: Vincent Molinari, Ouisa Capital
File Number: 4-708
Date: March 2, 2017
Details: Rulemaking petition to amend Rule 1092(b)3 of PHLX Stock Exchange View Received Comments Submitted By: Martin Feins
File Number: 4-706
Date: Dec. 19, 2016
Details: Rulemaking petition to amend Form ADV to update reporting criteria of investment adviser asset ownership Submitted By: Mike Nicholas, Bond Dealers of America
File Number: 4-704
Date: Sept. 22, 2016
Details: Rulemaking Petition to amend Rule 146(b) to designate securities listed on IEX as covered securities for purposes of Section 18 of the Securities Act Submitted By: Sophia Lee, Investors Exchange LLC
File Number: 4-703
Date: July 27, 2016
Details: Rulemaking Petition to amend § 242.902(a) of Regulation SBSR to allow security-based swap data repositories to publicly disseminate a transaction report of a security-based swap, or a life cycle event or adjustment due to a life cycle event, upon the deadline specified in § 242.901(j) of Regulation SBSR or as subsequently provided in the Block Rule Submitted By: Tara Kruse, International Swaps and Derivatives Association, Inc.
File Number: 4-702
Date: July 19, 2016
Details: Rulemaking petition requesting amendments to the self-regulatory organization provisions related to complex securities arbitrations Submitted By: George Brunelle, Brunelle & Hadjikow, P.C.
File Number: 4-699
Date: June 7, 2016
Details: Rulemaking Petition to Amend Regulation A to make SEC Reporting Companies Eligible Issuers and Permit At the Market Offerings View Received Comments Submitted By: Dan Zinn, OTC Markets Group Inc.
File Number: 4-696
Date: Feb. 1, 2016
Details: Request for rulemaking to require public companies to disclose gender pay ratios on an annual basis, or in the alternative, to provide guidance to companies regarding voluntary reporting on pay equity to their investors 2020 Submitted By: PAX Ellevate Management LLC
File Number: 4-695
Date: Jan. 21, 2016
Details: Request for rulemaking to advance from just comparative columnar format, per 17 CFR § 229.301, to also include diagramming of account relationships (DOAR) within financial statements Revised Petition Submitted By: Robert D. Zingher, BS, MBA (Acctg)
File Number: 4-693
Date: Jan. 4, 2016
Details: Request to Repeal Rule 275.206(4)-5 - Political Contributions Submitted By: New York Republican State Committee and Tennessee Republican Party
File Number: 4-691
Date: Dec. 7, 2015
Details: Request to require disclosure of short positions in parity with required disclosure of long positions View Received Comments Submitted By: Edward S. Knight, Executive Vice President, General Counsel and Chief Regulatory Officer of Nasdaq
File Number: 4-690
Date: Oct. 22, 2015
Details: Request for rulemaking to amend rule 15c2-11 of the Securities Exchange Act of 1934 Submitted By: Vincent R. Molinari, Chief Executive Officer, GATE Global Impact Inc.
File Number: 4-689
Date: Oct. 7, 2015
Details: Request to require the periodic public disclosure of short-sale activities by institutional investment managers View Received Comments Submitted By: Elizabeth King, New York Stock Exchange and James M. Cudahy, National Investor Relations Institute
File Number: 4-688
Date: July 21, 2015
Details: Request for rule-making to require general partners to make better disclosure of private equity expenses to limited partners Submitted By: Shanua Autiello, Director of Communications, Office of General Treasurer Seth Magaziner on behalf of a bipartisan coalition of State and City Treasurers and Comptrollers compromised of Jeffrey Barnette, Deputy Chief Financial Officer and Treasurer, District of Columbia; Mark Gordon, State Treasurer, Wyoming; Scott M. Stringer, New York City Comptroller; John Chiang, State Treasurer, California; Curtis M. Loftis, Jr., Treasurer, South Carolina; Don Stenberg, State Treasurer, Nebraska; Thomas P. DiNapoli, New York State Comptroller, New York State Common Retirement Fund; Seth Magaziner, General Treasurer, Rhode Island; Ted Wheeler, State Treasurer, Oregon; Manju Ganeriwala, State Treasurer, Virginia; Beth Pearce, State Treasurer, Vermont; and Clint Zweifel, State Treasurer, Missouri
File Number: 4-687
Date: July 4, 2015
Details: Request to adopt a rule that prevents a brokerage from requiring arbitration as the sole means of dispute resolution as a condition of opening an account Submitted By: Dr. James H. Sutton
File Number: 4-686
Date: June 12, 2015
Details: Request for interpretive guidance and rulemaking to clarify or enhance certain disclosure requirements in connection with proxy solicitations and other reports filed with the Commission Submitted By: Glenn Davis, Council of Institutional Investors
File Number: 4-685
Date: May 11, 2015
Details: Request for rulemaking to allow the sale of shares held by Board Members of public companies only after they terminate their position Submitted By: Indrayni (Indira) Amladi, CFA
File Number: 4-683
Date: May 6, 2015
Details: Request for rulemaking to amend Exchange Act Rules 17a-3 and/or 17a-4 Submitted By: Peter Frank Di Silvio
File Number: 4-684
Date: May 4, 2015
Details: Petition to require Earnings Reports disseminated by a Press Release to include a simple table at the top of the Report outlining important facts, including month and date of revenues, operating profit, earnings per share, etc. for the current year against the previous year Submitted By: Herman Hammer
File Number: 4-682
Date: April 28, 2015
Details: Request for rulemaking for an amendment of the proxy rule regarding Board nominee disclosure View Received Comments Submitted By: Meryl Murtagh, North Carolina Department of the State Treasurer
File Number: 4-679
Date: Oct. 21, 2014
Details: Request for rulemaking petition to expand the definition of "qualified securities" under Rule 15c3-3(a)(6) Submitted By: Lee A. Pickard, Esq., Pickard and Djinis LLP on behalf of Federated Investors, Inc.
File Number: 4-677
Date: July 18, 2014
Details: Request for rulemaking petition and the issuance of a Policy Statement Regarding Certain Aspects of the Dodd-Frank Whistleblower Program Submitted By: Jordan A. Thomas, Labaton Sucharow LLP
File Number: 4-676
Date: July 18, 2014
Details: Request for rulemaking petition to clarify and strengthen protections for whistleblowers, requesting the Commission hold hearings and create an Advisory Committee on Whistleblower Reporting and Protection View Received Comments Submitted By: Jordan A. Thomas, Labaton Sucharow LLP
File Number: 4-637-2
Date: April 15, 2014
Details: Request for rulemaking that would require public companies to disclose to shareholders the use of corporate resources for political activities View Received Comments Exhibits , 4-637-2 Amended Petition Submitted By: Citizens for Responsibility and Ethics in Washington and Stephen M. Silberstein
File Number: 4-675
Date: April 9, 2014
Details: Request for rulemaking to amend Rule 14a-8 under the Securities Exchange Act of 1934 regarding resubmission of Shareholder Proposals View Received Comments Exhibits Submitted By: Thomas Quaadman, Vice President, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
File Number: 4-680
Date: Jan. 21, 2014
Details: Request for rulemaking to adopt amendments to Rules 600(b)(57) (definition of a protected bid or offer), 605 and 606 (disclosure of order execution and order routing information), and 610(c) (the access fee cap) of Regulation NMS, as well as to exercise the SEC's authority under Rule 608(a)(2) to amend the consolidated tape plans View Received Comments Submitted By: Joe Ratterman, BATS Global Markets, Inc.
File Number: 4-672
Date: Jan. 8, 2014
Details: Request for rulemaking to amend Section 14 of the Securities Exchange Act of 1934 to facilitate the use of universal proxy cards in contested elections View Received Comments Submitted By: Glenn Davis, Director of Research, Council of Institutional Investors
File Number: 4-671
Date: Dec. 18, 2013
Details: Request for rulemaking to combine Form 144 into Form 4 Example Form 4-144 Submitted By: Jesse M. Brill
File Number: 4-666
Date: Oct. 8, 2013
Details: Request for rulemaking to revise the Commission's guidance to proxy advisory firms View Received Comments Submitted By: Edward S. Knight, Executive Vice President, General Counsel & Chief Regulatory Officer, NASDAQ OMX
File Number: 4-667
Date: Oct. 7, 2013
Details: Request for rulemaking to modernize the regulations of Business Development Companies Submitted By: Brett Palmer, Small Business Investor Alliance
File Number: 4-665
Date: Sept. 16, 2013
Details: Request for rulemaking to revise Rule 501 of Regulation D to afford to persons in civil unions, domestic partnerships, and similar relationships, the same right and opportunity to qualify for accredited investor status as married persons have. Submitted By: David L. Dallas Jr., Williams Mullen
File Number: 4-664
Date: Sept. 11, 2013
Details: Request for rulemaking to permit, for a temporary period, alternative disclosure in lieu of the disclosure currently required by the Conflict Minerals Rules. Submitted By: W. Brinkley Dickerson, Troutman Sanders LLP
File Number: 4-662
Date: April 22, 2013
Details: Request for rulemaking regarding Option Floor Crosses Submitted By: John Nagel, Citadel Securities LLC; Jonathan Grodnick, CTC, L.L.C.; Gerald D. O'Connell, Susquehanna International Group, LLP
File Number: 4-644A
Date: March 12, 2013
Details: Request for rulemaking to: adopt new Securities Act Rule 241 to exempt certain over-the counter options from provisions of the Securities Act; provide a temporary exemption with respect to Credit Default Swaps; and to amend Exchange Act Rule 12h-1 to exempt from Exchange Act registration options that are issued and cleared by a registered or exempt clearing agency in its function as a central counterparty. Submitted By: James E. Brown, Executive Vice President — Legal, The Options Clearing Corporation
File Number: 4-644
Date: March 12, 2013
Details: Request for rulemaking to: adopt new Securities Act Rule 241 to exempt certain over-the counter options from provisions of the Securities Act; provide a temporary exemption with respect to Credit Default Swaps; and to amend Exchange Act Rule 12h-1 to exempt from Exchange Act registration options that are issued and cleared by a registered or exempt clearing agency in its function as a central counterparty. Submitted By: James E. Brown, Executive Vice President — Legal, The Options Clearing Corporation
File Number: 4-659
Date: Feb. 4, 2013
Details: Request for rulemaking concerning amendment of beneficial ownership reporting rules under Section 13(f) of the Securities Exchange Act of 1934 in order to shorten the reporting deadline under paragraph (a)(1) of Rule 13f-1 View Received Comments Submitted By: Janet McGinness, Executive Vice President & Corporate Secretary, NYSE Euronext; Kenneth A. Bertsch, President & CEO, Society of Corporate Secretaries and Governance Professionals; and Jeffrey D. Morgan, President & CEO, National Investor Relations Institute
File Number: 4-658
Date: Jan. 2, 2013
Details: Request for rulemaking concerning amending Rule 10b5-1 or further interpretive guidance regarding the circumstances under which Rule 10b5-1 trading plans may be adopted, modified, or cancelled Submitted By: Jeff Mahoney, General Counsel, Council of Institutional Investors
File Number: 4-656
Date: Nov. 28, 2012
Details: Request for rulemaking to mandate that mutual funds fully disclose through a disclaimer in their prospectuses that shareholders are being financially disadvantaged by new and liquidating shareholders who are not paying their portion of the brokerage trading commissions that were generated to establish the portfolio's holdings, a result of buying the portfolio securities. Additional letter , Supplement to petition , SEM Summary , Long Term Loss Submitted By: Seymour Sacks, President, Sacks Equalization Model, Inc.
File Number: 4-654
Date: Oct. 1, 2012
Details: Request for rulemaking to amend Industry Guide 7 View Received Comments Submitted By: David L. Kanagy, Executive Director, Society for Mining, Metallurgy & Exploration
File Number: 4-653
Date: Aug. 24, 2012
Details: Request for rulemaking regarding the definition of Eligible Contract Participant in Commodity Exchange Act Section 1a(18), interpretive letter, exemptive relief, or other guidance Submitted By: Diana L. Preston, Vice President and Senior Counsel, Center for Securities, Trust & Investments, American Bankers Association
File Number: 4-651
Date: Aug. 17, 2012
Details: Request for rulemaking regarding neutral Internet voting platform View Received Comments Submitted By: Larry S. Eiben, CoFounder Moxy Vote, LLC
File Number: 4-650
Date: July 4, 2012
Details: Request for rulemaking to require all trades to be executed only at the top of each minute, at the double zero tick Submitted By: James H. Sutton
File Number: 4-649
Date: April 9, 2012
Details: Request for rulemaking regarding re-statements of financial statements Submitted By: Carl Olson, Chairman, Fund for Stockowners Rights
File Number: 4-648
Date: April 3, 2012
Details: Request for rulemaking to reestablish the original congressional intent for a clear dichotomy between "Salesperson" and "Investment Adviser" under the Investment Advisers Act of 1940 View Received Comments Submitted By: Susan Seltzer, President, The Derivative Project
File Number: 4-647
Date: March 12, 2012
Details: Request for interpretive release with guidance, clarifying that broker-dealers and their agents are prohibited from charging issuers for proxy processing, suppression, voting and other fees for wrap fee accounts and separately managed accounts, at the beneficial owner level Submitted By: Karen V. Danielson, President, Shareholder Services Association and Charles V. Rossi, President, The Securities Transfer Association, Inc.
File Number: 4-646
Date: Feb. 16, 2012
Details: Request for rulemaking to amend Rule 6c-10 under the Investment Company Act of 1940 to prohibit a Company from extending a deferred sales load "holding period" for existing shareholders Submitted By: Ronald Workman, CFP, LPL Registered Principal, Coastview Financial
File Number: 4-644
Date: Jan. 13, 2012
Details: Request for rulemaking to amend Rule 238 under the Securities Act to extend the rule's exemption from all provisions of the Securities Act (other than 17(a)) to over-the-counter options that are cleared by a clearing agency registered with the Commission pursuant to Section 17A of the Exchange Act, provided that such options are offered and sold only to "eligible contract participants" as defined in Section 3(a)(65) of the Exchange Act; and to amend Rule 12h-1 under the Exchange Act to extend the rule's exemption from registration to options that are cleared by a clearing agency registered with the Commission pursuant to Section 17A of the Exchange Act, without requiring that such options be "standardized options," as defined in Exchange Act Rule 9b-1, provided that such options are offered and sold only to eligible contract participants. Petition 4-644A Submitted By: James E. Brown, Executive Vice President — Legal, The Options Clearing Corporation
File Number: 4-644A
Date: Jan. 13, 2012
Details: Request for rulemaking to amend Rule 238 under the Securities Act to extend the rule's exemption from all provisions of the Securities Act (other than 17(a)) to over-the-counter options that are cleared by a clearing agency registered with the Commission pursuant to Section 17A of the Exchange Act, provided that such options are offered and sold only to "eligible contract participants" as defined in Section 3(a)(65) of the Exchange Act; and to amend Rule 12h-1 under the Exchange Act to extend the rule's exemption from registration to options that are cleared by a clearing agency registered with the Commission pursuant to Section 17A of the Exchange Act, without requiring that such options be "standardized options," as defined in Exchange Act Rule 9b-1, provided that such options are offered and sold only to eligible contract participants. Petition 4-644A Submitted By: James E. Brown, Executive Vice President — Legal, The Options Clearing Corporation
File Number: 4-643
Date: Jan. 9, 2012
Details: Request for rulemaking to amend Rule 502(c) of Regulation D to eliminate the prohibition on offers or sales of securities by general solicitation or general advertising with respect to private funds View Received Comments Submitted By: Richard H. Baker, President and CEO, Managed Funds Association
File Number: 4-641
Date: Nov. 7, 2011
Details: Request for rulemaking, regulation or order pursuant to Section 36(a)(1) of the Exchange Act to provide exemptive relief from the application of Section 15(c)(3) of the Exchange Act and Rule 15c3-3 thereunder View Received Comments Exhibits Submitted By: Counsel on behalf of ICE Clear Credit LLC
Note:
Exhibits
File Number: 4-638
Date: Aug. 26, 2011
Details: Request for rulemaking to amend Rule 146(b) of the Securities Act of 1933 to designate securities listed on C2 Options Exchange, Incorporated as covered securities for the purpose of Section 18 of the Securities Act Submitted By: Joanne Moffic-Silver, Secretary, C2 Options Exchange, Incorporated
File Number: 4-637
Date: Aug. 3, 2011
Details: Petition to require public companies to disclose to shareholders the use of corporate resources for political activities View Received Comments Submitted By: Lucian A. Bebchuk, Co-Chair, Bernard S. Black, John C. Coffee Jr., James D. Cox, Jeffrey N. Gordon, Ronald J. Gilson, Henry Hansmann, Robert J. Jackson Jr., Co-Chair, Donald C. Langevoort, Hillary A. Sale, The Committee on Disclosure of Corporate Political Spending
File Number: 4-637-2
Date: Aug. 3, 2011
Details: Petition to require public companies to disclose to shareholders the use of corporate resources for political activities View Received Comments Submitted By: Lucian A. Bebchuk, Co-Chair, Bernard S. Black, John C. Coffee Jr., James D. Cox, Jeffrey N. Gordon, Ronald J. Gilson, Henry Hansmann, Robert J. Jackson Jr., Co-Chair, Donald C. Langevoort, Hillary A. Sale, The Committee on Disclosure of Corporate Political Spending
File Number: 4-634
Date: May 27, 2011
Details: Request for rulemaking to mandate universal institutional brokerage commission transparency and disclosure View Received Comments additional letter Submitted By: William T. George
File Number: 4-632
Date: May 26, 2011
Details: Request for rulemaking to amend Rule 146(b) of the Securities Act of 1933 to designate securities listed on BATS Exchange, Inc. as covered securities for the purpose of Section 18 of the Securities Act. Submitted By: Eric Swanson, SVP & General Counsel, BATS Exchange, Inc.
File Number: 4-630
Date: May 20, 2011
Details: Request for rulemaking to amend Rule 14a-4(b)(2)(Requirements as to proxy) to eliminate the "withhold authority" vote on proxy forms used for the election of corporate directors. View Received Comments Supplement to petition Submitted By: Edward J. Durkin, Director, Corporate Affairs Department, United Br
File Number: 4-628
Date: April 29, 2011
Details: Request for rulemaking to amend Rule 651 of the Philadelphia Stock Exchange (n/k/a NASDAQ OMX PHLX) View Received Comments Supplement to petition Submitted By: Joseph D. Carapico, G.P., Pennmont Securities
File Number: 4-624
Date: March 7, 2011
Details: Request for rulemaking regarding the beneficial ownership reporting rules under Section 13 of the Securities Exchange Act of 1934 View Received Comments Submitted By: Theodore N. Mirvis, Esq., Andrew R. Brownstein, Esq., Eric S. Robinson, Esq., Adam O. Emmerich, Esq., David M. Silk, Esq., Trevor S. Norwitz, Esq., David C. Karp, Esq. and William Savitt, Esq. of Wachtell, Lipton, Rosen & Katz
File Number: 4-623
Date: Jan. 28, 2011
Details: Request for rulemaking concerning Market Data Structure Submitted By: Christopher Nagy, Managing Director Order Strategy and Richard P. Urian, Global Head of Market Data, TD Ameritrade
File Number: 4-614
Date: Oct. 8, 2010
Details: Request for rulemaking to amend Rule 146(b) to designate securities listed on the Nasdaq Options Market as covered securities for the purpose of Section 18 of the Securities Act of 1933 Submitted By: Edward S. Knight, NASDAQ OMX
File Number: 4-605
Date: July 1, 2010
Details: Request for rulemaking to exempt securities offerings up to $100,000 with $100maximum per investor from registration View Received Comments Submitted By: Jenny Kassan, Sustainable Economies Law Center
File Number: 4-604
Date: May 25, 2010
Details: Request for rulemaking to allow the Nasdaq Capital Market to adopt initial listing price requirements identical to NYSE Amex View Received Comments Submitted By: Joan C. Conley, The Nasdaq Stock Market LLC
File Number: 4-603
Date: May 17, 2010
Details: Request for rulemaking to amend Rule 7-02 of Regulation S-X under the Securities Act of 1933 concerning the use of financial statements prepared in accordance with statutory accounting principles by certain life insurance company issuers Submitted By: Stephen E. Roth and Mary Thornton Payne, Sutherland Asbill and Brennan LLP (on behalf of Aviva USA Corporation)
File Number: 4-601
Date: March 22, 2010
Details: Request for rulemaking to require mutual fund companies to provide a single day accrual rate/mil rate for every day of every week Submitted By: Park National Bank
File Number: 4-592
Date: Jan. 27, 2010
Details: Request for rulemaking to amend Rule 146(b) under the Securities Act of 1933 to designate securities listed on BATS as covered securities for the purpose of Section 18 of the Securities Act. Submitted By: BATS Exchange, Inc.
File Number: 4-593
Date: Jan. 22, 2010
Details: Request for rulemaking to amend Regulation S-K and/or Form 10-K to add a new section entitled "Political Influence." View Received Comments Submitted By: James Evan Dallas
File Number: 4-591
Date: Jan. 4, 2010
Details: Request for rulemaking to require FINRA to propose new rules aimed at improving provisions for investor protection in FINRA rules Submitted By: Manuel P. Asensio, Alliance for Economic Stability, Inc.
File Number: 4-547B
Date: Nov. 23, 2009
Details: Supplemental petition: Request for interpretive guidance on Climate Risk Disclosure View Received Comments original petition (Sep. 18, 2007)
File Number: 4-547
Date: Nov. 23, 2009
Details: Supplemental petition: Request for interpretive guidance on Climate Risk Disclosure View Received Comments original petition (Sep. 18, 2007)
File Number: 4-599
Date: Oct. 19, 2009
Details: Request that the Commission conduct rulemaking to codify a securities licensing/registration exemption for main street business brokers View Received Comments Submitted By: Jonathan M. Miller, President, TABB, Inc.
File Number: 4-589
Date: Aug. 27, 2009
Details: Request for rulemaking under the Securities Exchange Act of 1934 to regulate or ban the trading practice known as flash orders and the practice of server co-location. View Received Comments Submitted By: William E. McDonnell, Jr, Atherton Lane Advisers, LLC
File Number: 4-642
Date: July 21, 2009
Details: Request for rulemaking concerning Mandatory Sustainability Reporting and Disclosure Submitted By: Lisa Woll, CEO, US SIF: The Forum for Sustainable and Responsible Investing (formerly the Social Investment Forum)
File Number: 4-586
Date: June 11, 2009
Details: Request rulemaking to eliminate the requirement that an arbitrator affiliated with the securities industry sit on all public investor cases arbitrated before FINRA in which the amount in controversy exceeds $100,000 View Received Comments Submitted By: Brian N. Smiley, President, Public Investors Arbitration Bar Association
File Number: 4-585
Date: May 26, 2009
Details: Request rulemaking to amend Item 402 of Regulation S-K to revise the current Summary Compensation Table to better depict the compensation earned for the year by named executive officers View Received Comments Submitted By: Ira T. Kay and Steven Seelig, Watson Wyatt Worldwide
File Number: 4-584
Date: May 17, 2009
Details: Request for rulemaking under the Investment Company Act of 1940 to amend Rule 3a-5(b)(1) to include a reference to limited liability companies and business trusts Submitted By: Keith Paul Bishop
File Number: 4-583
Date: May 15, 2009
Details: Request for rulemaking to amend Rule 14a-4(b)(1) under the Securities Exchange Act of 1934 to prohibit conferring discretionary authority to issuers with respect to non-votes on the voter information form or proxy. View Received Comments Submitted By: James McRitchie, Publisher, Corporate Governance, CorpGov.net on behalf of multiple petitioners
File Number: 4-580
Date: March 22, 2009
Details: Request for rulemaking under the Securities Act of 1933 to amend the reference to Tier 1 of the Philadelphia Stock Exchange, Inc. in Rule 146(b)(1)(ii) Submitted By: Keith Paul Bishop
File Number: 4-483
Date: Feb. 24, 2009
Details: Request for Rulemaking under Section 12(g)(5) of the Securities Exchange Act of 1934 concerning securities held in "Street Name" View Received Comments Supplements to petition Submitted By: Lawrence J. Goldstein
File Number: 4-483
Date: Feb. 24, 2009
Details: Additional Petition — Request for Rulemaking under Section 12(g)(5) of the Securities Exchange Act of 1934 concerning securities held in "Street Name" View Received Comments Supplements to additional petition Submitted By: Lawrence J. Goldstein
File Number: 4-578
Date: Feb. 15, 2009
Details: Request for rulemaking under the Securities Exchange Act of 1934 to adopt a new identical to Rule 3a12-8 exempting from Commission registration under Section 3(a)(12) of the Act any futures contract on the sovereign debt of a foreign government so that it may lawfully be offered to U.S. persons pursuant to Section 2(a)(1)(C)(iv) of the Commodity Exchange Act Submitted By: Philip McBride Johnson, Skadden, Arps, Slate, Meagher & Flom LLP
File Number: 4-577
Date: Feb. 3, 2009
Details: Request for rulemaking to amend Rule 15c3-3 under the Exchange Act to treat US government money market mutual fund shares, where the underlying portfolio assets of the fund consist of securities issued or guaranteed by the US government or its agencies or instrumentalities, as "qualified securities" to meet a broker-dealer's deposit requirements under the Special Reserve Bank Account for the Exclusive Benefit of Customers View Received Comments Submitted By: Lee A. Pickard, Esq., Pickard and Djinis LLP on behalf of Federated Investors, Inc.
File Number: 4-576
Date: Jan. 6, 2009
Details: Request for the removal of the Rule 32a-4 exemption from the Investment Company Act's requirement that shareholders vote on the selection of a fund's independent public accountant if the investment company has an audit committee composed of wholly independent directors Submitted By: George W. Karpus, Karpus Investment Management
File Number: 4-572
Date: Oct. 1, 2008
Details: Request for rulemaking under the Securities Act of 1933 to amend Rule 144 to remove the prohibition in Rule 144(i) on shareholders who acquired shares when an issue was a "shell company" or former "shell company" from being able to utilize Rule 144 for a sale of unregistered securities if the issuer has not filed its Securities Exchange Act of 1934 reports for the one year prior to the proposed sale, other than in the first year following each date the issuer ceases to be a shell company and releases "Form 10 information" Submitted By: David N. Feldman, Feldman Weinstein & Smith
File Number: 4-570
Date: Sept. 23, 2008
Details: Request for rulemaking under the Securities Exchange Act of 1934 to amend Rule 10A-3 to require that issuers submit their choice of auditor to a non-binding vote of shareholders for ratification View Received Comments Submitted By: Christopher Ailman, California State Teachers' Retirement System
File Number: 4-554
Date: Sept. 22, 2008
Details: Additional letter Note: original petition
File Number: 4-565
Date: Aug. 1, 2008
Details: Request for joint CFTC and SEC rulemaking to amend CFTC Rule 41.45(b) and SEC Rule 403(b) relating to customer margin levels for security futures products Submitted By: Donald L. Horowitz, OneChicago, LLC
File Number: 4-563
Date: July 21, 2008
Details: Request for rulemaking for interpretive guidance for registrants pursuant to the Securities Exchange Act of 1934 on public statements concerning global warming and other environmental issues View Received Comments Submitted By: Steven J. Milloy and Thomas Borelli, Free Enterprise Action Fund
File Number: 4-562
Date: July 15, 2008
Details: Request for rulemaking under the Securities Exchange Act of 1934 to limit fees that options exchanges may charge non-members to obtain access to quotations to $.20 per contract View Received Comments Submitted By: John C. Nagel, Citadel
File Number: 4-547
Date: June 12, 2008
Details: Supplemental petition: Request for interpretive guidance on Climate Risk Disclosure View Received Comments original petition (Sep. 18, 2007) Note:
For attachments, see original petition (Sep. 18, 2007)
File Number: 4-547A
Date: June 12, 2008
Details: Supplemental petition: Request for interpretive guidance on Climate Risk Disclosure View Received Comments original petition (Sep. 18, 2007) Note:
For attachments, see original petition (Sep. 18, 2007)
File Number: 4-571
Date: May 14, 2008
Details: Request for rulemaking under the Securities Exchange Act of 1934 that when a share owner submits a proposal for voting, the share owner may additionally supply an e mail address and, if available, supply a web site address where material relating to the proposal may be viewed Submitted By: William S. Karn
File Number: 4-558
Date: May 12, 2008
Details: Request for rulemaking requiring companies to disclose in the proxy statement the fees associated with all engagements for a single company and any ownership interest a consultant working for the compensation committee may have in the parent consulting firm View Received Comments Submitted By: Multiple Petitioners
File Number: 4-557
Date: April 3, 2008
Details: Request for rulemaking to adopt new Rule 15c3-4 to address the practice of market participants redefining securities in customer accounts past T+3 View Received Comments Submitted By: Thomas Vallarino, National Investor Protection Coalition
File Number: 4-556
Date: Feb. 27, 2008
Details: Request for Review and Repeal of FAS 123R, "Share-Based Payment" Submitted By: B. Kipling Hagopian
File Number: 4-541A
Date: Feb. 11, 2008
Details: Supplemental petition View Received Comments Note: For attachments, see original petition Comments received are available
File Number: 4-555
Date: Jan. 25, 2008
Details: Request for rulemaking to amend SEC rules to require public companies to provide a plain English descriptive narrative for all departures or dismissals of their external auditors Submitted By: Jeff Mahoney, General Counsel, Council of Institutional Investors
File Number: 4-553
Date: Dec. 19, 2007
Details: Request for rulemaking under the Securities Exchange Act of 1934 to exempt issuers of certain types of fixed insurance contracts from the reporting requirements of Sections 13 and 15(d) of the Act Submitted By: Stephen E. Roth, Esq., Sutherland Asbill & Brennan LLP on behalf of Jackson National Life Insurance Company
File Number: 4-549
Date: Oct. 22, 2007
Details: Request for interpretive guidance under the Securities Act of 1933 that would require registrants to disclose to shareholders the business risks of laws and regulations intended to address global warming concerns Submitted By: Steven J. Milloy and Thomas J. Borelli, on behalf of Free Enterprise Action Fund
File Number: 4-550
Date: Oct. 19, 2007
Details: Joint request for rulemaking to adopt amendments to Regulation S-K that would provide for increased disclosure of certain financial and other relationships between underwriters and registrants Submitted By: California Public Employees' Retirement System California State Teachers' Retirement System Los Angeles County Employees Retirement Association Illinois Universities Retirement System Tennessee Consolidated Retirement System Citigroup Global Markets Inc. J.P. Morgan Securities Inc.
