Document headings vary by document type but may contain
                    the following: the agency or agencies that issued and signed a document
the number of the CFR title and the number of each part
                      the document amends, proposes to amend, or is directly
                      related to
the agency docket number / agency internal file number
the RIN which identifies each regulatory action listed in
                      the Unified Agenda of Federal Regulatory and Deregulatory
                      Actions See the
                    Document Drafting Handbook
                    for more details.
 Securities and Exchange Commission 17 CFR Ch. II
[Release Nos. 33-10333, 34-80357, IA-4677, IC-32588, File No. S7-04-17]
 AGENCY: Securities and Exchange Commission.
 ACTION: Semiannual regulatory agenda.
 SUMMARY: The Securities and Exchange Commission is publishing the Chairman's agenda of rulemaking actions pursuant to the Regulatory Flexibility Act (RFA) (Pub. L. 96-354, 94 Stat. 1164) (Sep. 19, 1980). The items listed in the Regulatory Flexibility Agenda for spring 2017 reflect only the priorities of the Acting Chairman of the U.S. Securities and Exchange Commission, and do not necessarily reflect the view and priorities of any individual Commissioner. Information in the agenda was accurate on March 29, 2017, the date on which the Commission's staff completed compilation of the data. To the extent possible, rulemaking actions by the Commission since that date have been reflected in the agenda. The Commission invites questions and public comment on the agenda and on the individual agenda entries. The Commission is now printing in the 
                            **Federal Register**
                            , along with our preamble, only those agenda entries for which we have indicated that preparation of an RFA analysis is required. The Commission's complete RFA agenda will be available online at 
                            *www.reginfo.gov.*
 DATES: Comments should be received on or before September 25, 2017.
 ADDRESSES: Comments may be submitted by any of the following methods: Electronic Comments Use the Commission's Internet comment form (*http://www.sec.gov/​rules/​other.shtml*); or
Send an email to*rule-comments@sec.gov.*
                         Please include File Number S7-04-17 on the subject line; or
Use the Federal eRulemaking Portal (*http://www.regulations.gov*). Follow the instructions for submitting comments. Paper Comments Send paper comments to Brent J. Fields, Secretary, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-1090. All submissions should refer to File No. S7-04-17. This file number should be included on the subject line if email is used. To help us process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission's Internet Web site (
                        *http://www.sec.gov/​rules/​other.shtml*). Comments are also available for Web site viewing and printing in the Commission's Public Reference Room, 100 F Street NE., Washington, DC 20549, on official business days between the hours of 10:00 a.m. and 3:00 p.m. All comments received will be posted without change; we do not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly.
 FOR FURTHER INFORMATION CONTACT: Mykaila DeLesDernier, Office of the General Counsel, 202-551-5129.


SUPPLEMENTARY INFORMATION: The RFA requires each Federal agency, twice each year, to publish in the 
                        **Federal Register**
                         an agenda identifying rules that the Agency expects to consider in the next 12 months that are likely to have a significant economic impact on a substantial number of small entities (5 U.S.C. 602(a)). The RFA specifically provides that publication of the agenda does not preclude an agency from considering or acting on any matter not included in the agenda and that an gency is not required to consider or act on any matter that is included in the agenda (5 U.S.C. 602(d)). The Commission may consider or act on any matter earlier or later than the estimated date provided on the agenda. While the agenda reflects the current intent to complete a number of rulemakings in the next year, the precise dates for each rulemaking at this point are uncertain. Actions that do not have an estimated date are placed in the long-term category; the Commission may nevertheless act on items in that category within the next 12 months. The agenda includes new entries, entries carried over from prior publications, and rulemaking actions that have been completed (or withdrawn) since publication of the last agenda. The following abbreviations for the acts administered by the Commission are used in the agenda: “Securities Act”—Securities Act of 1933 “Exchange Act”—Securities Exchange Act of 1934 “Investment Company Act”—Investment Company Act of 1940 “Investment Advisers Act”—Investment Advisers Act of 1940 “Dodd Frank Act”—Dodd-Frank Wall Street Reform and Consumer Protection Act “JOBS Act”—Jumpstart Our Business Startups Act The Commission invites public comment on the agenda and on the individual agenda entries. By the Commission. Dated: March 31, 2017. Brent J. Fields, Secretary.
 Division of Corporation Finance—Proposed Rule Stage
Sequence No.
Title
Regulation
                                 Identifier No.380
Amendments to Interactive Data (XBRL) Program
3235-AL59
 Division of Corporation Finance—Final Rule Stage
Sequence No.
Title
Regulation
                                 Identifier No.381
Amendments to Smaller Reporting Company Definition
3235-AL90382
Modernization of Property Disclosures for Mining Registrants
3235-AL81383
Disclosure Update and Simplification
3235-AL82384
Form 10-K Summary
3235-AL89
 
 
 Division of Corporation Finance—Long-Term Actions
Sequence No.
Title
Regulation
                                 Identifier No.385
Amendments to Regulation D, Form D and Rule 156 Under the Securities Act
3235-AL46386
Disclosure of Hedging by Employees, Officers and Directors
3235-AL49387
Listing Standards for Recovery of Erroneously Awarded Compensation
3235-AK99388
Pay Versus Performance
3235-AL00389
Universal Proxy
3235-AL84
 Division of Corporation Finance—Completed Actions
Sequence No.
Title
Regulation
                                 Identifier No.390
Exhibit Hyperlinks and HTML Format
3235-AL95391
Exemptions To Facilitate Intrastate and Regional Securities Offerings
3235-AL80
 Division of Investment Management—Proposed Rule Stage
Sequence No.
Title
Regulation
                                 Identifier No.392
Reporting of Proxy Votes on Executive Compensation and Other Matters
3235-AK67
 Division of Investment Management—Final Rule Stage
Sequence No.
Title
Regulation
                                 Identifier No.393
Adviser Business Continuity and Transition Plans
3235-AL62394
Investment Company Reporting Modernization; Option for Website Transmission of Shareholder Reports
3235-AL42395
Use of Derivatives by Registered Investment Companies and Business Development Companies
3235-AL60
 Division of Investment Management—Completed Actions
Sequence No.
Title
Regulation
                                 Identifier No.396
Investment Company Liquidity Risk Management Programs; Investment Company Swing Pricing
3235-AL61
 Division of Trading and Markets—Long-Term Actions
Sequence No.
Title
Regulation
                                 Identifier No.397
Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934
3235-AL14
 Division of Trading and Markets—Completed Actions
Sequence No.
Title
Regulation
                                 Identifier No.398
Amendment to Securities Transaction Settlement Cycle
3235-AL86
 SECURITIES AND EXCHANGE COMMISSION (SEC) Division of Corporation Finance Proposed Rule Stage 380. Amendments to Interactive Data (XBRL) Program *Legal Authority:*15 U.S.C. 77g; 15 U.S.C. 78w(a); 15 U.S.C. 80a-37 *Abstract:*
                         The Commission proposed amendments to the XBRL rules to provide for companies to use Inline XBRL to file a single combined document. *Timetable:* Action
Date
FR CiteNPRM
03/17/17
82 FR 14282NPRM Comment Period End
05/16/17Final Action
04/00/18
 *Regulatory Flexibility Analysis Required:*
                         Yes. *Agency Contact:*
                         Mark W. Green, Division of Corporation Finance, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-0301, 
                        *Phone:*
                         202 551-3430, 
                        *Fax:*
                         202 772-9207. *RIN:*
                         3235-AL59 
 
 SECURITIES AND EXCHANGE COMMISSION (SEC) Division of Corporation Finance Final Rule Stage 381. Amendments to Smaller Reporting Company Definition *Legal Authority:*
                         Not Yet Determined *Abstract:*
                         The Commission proposed revisions to the “smaller reporting company” definitions and related provisions. *Timetable:* Action
Date
FR CiteNPRM
07/01/16
81 FR 43130NPRM Comment Period End
08/30/16Final Action
04/00/18
 *Regulatory Flexibility Analysis Required:*
                         Yes. *Agency Contact:*
                         Amy Reischauer, Securities and Exchange Commission, 110 F Street NE., Washington, DC 20549, 
                        *Phone:*
                         202 551-3460, 
                        *Email: reischauerp@sec.gov*. *RIN:*
                         3235-AL90 382. Modernization of Property Disclosures for Mining Registrants *Legal Authority:*15 U.S.C. 77c(b); 15 U.S.C. 77g; 15 U.S.C. 77j; 15 U.S.C. 78c(b); 15 U.S.C. 77l; 15 U.S.C. 78m; 15 U.S.C. 780(d) *Abstract:*
                         The Commission proposed rules to modernize and clarify the disclosure requirements for companies engaged in mining operations. *Timetable:* Action
Date
FR CiteNPRM
06/27/16
81 FR 41652NPRM Comment Period End
08/26/16NPRM Comment Period Extended
08/26/16
81 FR 58877NPRM Comment Period Extended End
09/26/16Final Action
04/00/18
 *Regulatory Flexibility Analysis Required:*
                         Yes. *Agency Contact:*
                         Elliot Staffin, Division of Corporation Finance, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549, 
                        *Phone:*
                         202 551-3450, 
                        *Email: staffine@sec.gov*. *RIN:*
                         3235-AL81 383. Disclosure Update and Simplification *Legal Authority:*15 U.S.C. 77a 
                        *et seq.;*15 U.S.C. 78a 
                        *et seq.;*15 U.S.C. 80a-1 
                        *et seq.;*Pub. L. 114-94 *Abstract:*
                         The Commission proposed rules to update certain disclosure requirements in Regulations S-X and S-K that may have become redundant, duplicative, overlapping, outdated or superseded in light of other Commission disclosure requirements, U.S. Generally Accepted Accounting Principles, International Financial Reporting Standards, or changes in the information environment. *Timetable:* Action
Date
FR CiteNPRM
08/04/16
81 FR 51607NPRM Comment Period Extended
09/29/16
81 FR 66898NPRM Comment Period End
10/03/16NPRM Comment Period Extended End
11/02/16Final Action
04/00/18
 *Regulatory Flexibility Analysis Required:*
                         Yes. *Agency Contact:*
                         Nili Shah, Division of Corporation Finance, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549, 
                        *Phone:*
                         202 551-3255, 
                        *Email: shahn@sec.gov*. *RIN:*
                         3235-AL82 384. Form 10-K Summary *Legal Authority:*Pub. L. 114-94; 15 U.S.C. 78c; 15 U.S.C. 78l; 15 U.S.C. 78m; 15 U.S.C. 78o; 15 U.S.C. 78w *Abstract:*
                         The Commission adopted an interim final amendment to implement Section 72001 of the FAST Act by permitting an issuer to include a summary in its Form l0-K and also requested comment on the interim final amendment. *Timetable:* Action
Date
FR CiteInterim Final Rule
06/09/16
81 FR 37132Interim Final Rule Effective
06/09/16Interim Final Rule Comment Period End
07/11/16Final Action
04/00/18
 *Regulatory Flexibility Analysis Required:*
                         Yes. *Agency Contact:*
                         Sean Harrison, Division of Corporation Finance, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549, 
                        *Phone:*
                         202 551-3430, 
                        *Fax:*
                         202 772-9207, 
                        *Email: harrisons@sec.gov*. *RIN:*
                         3235-AL89 SECURITIES AND EXCHANGE COMMISSION (SEC) Division of Corporation Finance Long-Term Actions 385. Amendments to Regulation D, Form D and Rule 156 Under the Securities Act *Legal Authority:*15 U.S.C. 77a 
                        *et seq.* *Abstract:*
                         The Commission proposed rule and form amendments to enhance the Commission's ability to evaluate the development of market practices in offerings under Rule 506 of Regulation D and address concerns that may arise in connection with permitting issuers to engage in general solicitation and general advertising under new paragraph (c) of Rule 506. *Timetable:* Action
Date
FR CiteNPRM
07/24/13
78 FR 44806NPRM Comment Period End
09/23/13NPRM Comment Period Reopened
10/03/13
78 FR 61222NPRM Comment Period Reopened End
11/04/13Final Action
To Be Determined
 *Regulatory Flexibility Analysis Required:*
                         Yes. *Agency Contact:*
                         Mark Vilardo, Division of Corporation Finance, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549, 
                        *Phone:*
                         202 551-3500, 
                        *Email: vilardom@sec.gov*. *RIN:*
                         3235-AL46 386. Disclosure of Hedging by Employees, Officers and Directors *Legal Authority:*Pub. L. 111-203 *Abstract:*
                         The Commission proposed rules to implement section 955 of the Dodd-Frank Act, which added section 14(j) to the Exchange Act to require annual meeting proxy statement disclosure of whether employees or members of the board of directors are permitted to engage in transactions to hedge or offset any decrease in the market value of equity securities granted to the employee or board member as compensation, or held directly or indirectly by the employee or board member. *Timetable:* 
 
 Action
Date
FR CiteNPRM
02/17/15
80 FR 8486NPRM Comment Period End
04/20/15Final Action
To Be Determined
 *Regulatory Flexibility Analysis Required:*
                         Yes. *Agency Contact:*
                         Carolyn Sherman, Division of Corporation Finance, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549, 
                        *Phone:*
                         202 551-3500, 
                        *Email: shermanc@sec.gov*. *RIN:*
                         3235-AL49 387. Listing Standards for Recovery of Erroneously Awarded Compensation *Legal Authority:*Pub. L. 111-203, sec. 954; 15 U.S.C. 78j-4 *Abstract:*
                         The Commission proposed rules to implement section 954 of the Dodd-Frank Act, which requires the Commission to adopt rules to direct national securities exchanges to prohibit the listing of securities of issuers that have not developed and implemented a policy providing for disclosure of the issuer's policy on incentive-based compensation and mandating the clawback of such compensation in certain circumstances. *Timetable:* Action
Date
FR CiteNPRM
07/14/15
80 FR 41144NPRM Comment Period End
09/14/15Final Action
To Be Determined
 *Regulatory Flexibility Analysis Required:*
                         Yes. *Agency Contact:*
                         Anne M. Krauskopf, Division of Corporation Finance, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549, 
                        *Phone:*
                         202 551-3500. *RIN:*
                         3235-AK99 388. Pay Versus Performance *Legal Authority:*Pub. L. 111-203, sec.953(a); 15 U.S.C. 78c(b); 15 U.S.C. 78cn; 15 U.S.C. 78w(a); 15 U.S.C. 78mm *Abstract:*
                         The Commission proposed rules to implement section 953(a) of the Dodd-Frank Act, which added section 14(i) to the Exchange Act to require issuers to disclose information that shows the relationship between executive compensation actually paid and the financial performance of the issuer. *Timetable:* Action
Date
FR CiteNPRM
05/07/15
80 FR 26329NPRM Comment Period End
07/06/15Final Action
To Be Determined
 *Regulatory Flexibility Analysis Required:*
                         Yes. *Agency Contact:*
                         Steven G. Hearne, Division of Corporation Finance, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549, 
                        *Phone:*
                         202 551-3430, 
                        *Email: hearnes@sec.gov*. *RIN:*
                         3235-AL00 389. Universal Proxy *Legal Authority:*15 U.S.C. 78n; 15 U.S.C. 78w(a) *Abstract:*
                         The Commission proposed to amend the proxy rules to expand shareholders' ability to vote by proxy to select among duly-nominated candidates in a contested election of directors. *Timetable:* Action
Date
FR CiteNPRM
11/10/16
81 FR 79122NPRM Comment Period End
01/09/17Final Action
To Be Determined
 *Regulatory Flexibility Analysis Required:*
                         Yes. *Agency Contact:*
                         Steven G. Hearne, Division of Corporation Finance, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549, 
                        *Phone:*
                         202 551-3430, 
                        *Email: hearnes@sec.gov*. *RIN:*
                         3235-AL84 SECURITIES AND EXCHANGE COMMISSION (SEC) Division of Corporation Finance Completed Actions 390. Exhibit Hyperlinks and HTML Format *Legal Authority:*15 U.S.C. 77f; 15 U.S.C. 77g; 15 U.S.C. 77h; 15 U.S.C. 77j; 15 U.S.C. 77s(a); 15 U.S.C. 78c; 15 U.S.C. 78l; 15 U.S.C. 78m; 15 U.S.C. 78o(d); 15 U.S.C. 78w(a); 15 U.S.C. 78ll *Abstract:*
                         The Commission adopted rules to facilitate access to exhibits identified in the exhibit index of certain filings through the use of hyperlinks. *Timetable:* Action
Date
FR CiteNPRM
09/12/16
81 FR 62689NPRM Comment Period End
10/27/16Final Action
03/17/17
82 FR 14130Final Action Effective
09/01/17
 *Regulatory Flexibility Analysis Required:*
                         Yes. *Agency Contact:*
                         Sean Harrison, Division of Corporation Finance, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549, 
                        *Phone:*
                         202 551-3430. *RIN:*
                         3235-AL95 391. Exemptions To Facilitate Intrastate and Regional Securities Offerings *Legal Authority:*15 U.S.C. 77c; 15 U.S.C. 77s; 15 U.S.C. 77z-3; 15 U.S.C. 78l; 15 U.S.C. 78m; 15 U.S.C. 78o; 15 U.S.C. 78w; 15 U.S.C. 78mm; 15 U.S.C. 80a-37; 15 U.S.C. 80b-11 *Abstract:*
                         The Commission adopted rules to modernize Rules 147 and 504 under the Securities Act to facilitate intrastate and regional securities offerings. *Timetable:* Action
Date
FR CiteNPRM
11/10/15
80 FR 69786NPRM Comment Period End
01/11/16Final Action
11/21/16
81 FR 83494Final Action Effective—(Rule 504) and (Rule 30-1)
01/20/17Final Action Effective—(Rule 147) and (Rule 147A)
04/20/17Final Action Effective—(Rule 505) and all Other Amendments
05/22/17
 *Regulatory Flexibility Analysis Required:*
                         Yes. *Agency Contact:*
                         Anthony G. Barone, Division of Corporation Finance, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549, 
                        *Phone:*
                         202 551-3460, 
                        *Email: baronea@sec.gov.* *RIN:*
                         3235-AL80 
 
 SECURITIES AND EXCHANGE COMMISSION (SEC) Division of Investment Management Proposed Rule Stage 392. Reporting of Proxy Votes on Executive Compensation and Other Matters *Legal Authority:*15 U.S.C. 78m; 15 U.S.C. 78w(a); 15 U.S.C. 78mm; 15 U.S.C. 78x; 15 U.S.C. 80a-8; 15 U.S.C. 80a-29; 15 U.S.C. 80a-30; 15 U.S.C. 80a-37; 15 U.S.C. 80a-44; Pub. L. 111-203, sec 951 *Abstract:*
                         The Division is considering recommending that the Commission repropose rule amendments to implement section 951 of the Dodd-Frank Act. The Commission previously proposed amendments to rules and Form N-PX that would require institutional investment managers subject to section 13(f) of the Exchange Act to report how they voted on any shareholder vote on executive compensation or golden parachutes pursuant to sections 14A(a) and (b) of the Exchange Act. *Timetable:* Action
Date
FR CiteNPRM
10/28/10
75 FR 66622NPRM Comment Period End
11/18/10Second NPRM
04/00/18
 *Regulatory Flexibility Analysis Required:*
                         Yes. *Agency Contact:*
                         Matthew DeLesDernier, Division of Investment Management, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549, 
                        *Phone:*
                         202 551-6792, 
                        *Email:**delesdernierj@sec.gov.* *RIN:*
                         3235-AK67 SECURITIES AND EXCHANGE COMMISSION (SEC) Division of Investment Management Final Rule Stage 393. Adviser Business Continuity and Transition Plans *Legal Authority:*15 U.S.C. 80b-4; 15 U.S.C. 80b-6(4); 15 U.S.C. 80b-11(a) *Abstract:*
                         The Commission proposed a new rule that would require investment advisers registered with the Commission to adopt and implement written business continuity and transition plans. *Timetable:* Action
Date
FR CiteNPRM
07/05/16
81 FR 43530NPRM Comment Period End
09/06/16Final Action
04/00/18
 *Regulatory Flexibility Analysis Required:*
                         Yes. *Agency Contact:*
                         Alpa Patel, Division of Investment Management, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549, 
                        *Phone:*
                         202 551-6797, 
                        *Email:**patelalp@sec.gov.* *RIN:*
                         3235-AL62 394. Investment Company Reporting Modernization; Option for Website Transmission of Shareholder Reports *Legal Authority:*15 U.S.C. 77 
                        *et seq.*; 15 U.S.C. 77aaa 
                        *et seq.*; 15 U.S.C. 78a 
                        *et seq.*; 15 U.S.C. 80a 
                        *et seq.*; 44 U.S.C. 3506; 44 U.S.C. 3507 *Abstract:*
                         The Commission adopted new rules and forms as well as amendments to its rules and forms to modernize the reporting and disclosure of information by registered investment companies. The Commission proposed new rule 30e-3, which would permit, but not require registered investment companies to transmit periodic reports to their shareholders by making the reports accessible on a Web site and satisfying certain other conditions. The Commission has not finalized proposed rule 30e-3. *Timetable:* Action
Date
FR CiteNPRM
06/12/15
80 FR 33590NPRM Comment Period End
08/11/15NPRM Comment Period Reopened
10/12/15
80 FR 62274NPRM Comment Period Reopened End
01/13/16Final Action
11/18/16
81 FR 81870Final Action Effective
01/17/17Final Action
04/00/18
 *Regulatory Flexibility Analysis Required:*
                         Yes. *Agency Contact:*
                         Sara Cortes, Division of Investment Management, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549, 
                        *Phone:*
                         202 551-5137, 
                        *Email:**cortess@sec.gov.* *RIN:*
                         3235-AL42 395. Use of Derivatives by Registered Investment Companies and Business Development Companies *Legal Authority:*15 U.S.C. 80a-6(c); 15 U.S.C. 80a-31(a); 15 U.S.C. 80a-12(a); 15 U.S.C. 80a-38(a); 15 U.S.C. 80a-8; 15 U.S.C. 80a-30; 15 U.S.C. 80a-38 *Abstract:*
                         The Commission proposed a new rule designed to enhance the regulation of the use of derivatives by registered investment companies, including mutual funds, exchange-traded funds, closed-end funds and business development companies. The proposed rule would regulate registered investment companies' use of derivatives and require enhanced risk management measures. *Timetable:* Action
Date
FR CiteNPRM
12/28/15
80 FR 80884NPRM Comment Period End
03/28/16Final Action
04/00/18
 *Regulatory Flexibility Analysis Required:*
                         Yes. *Agency Contact:*
                         Brian Johnson, Division of Investment Management, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549, 
                        *Phone:*
                         202 551-6740, 
                        *Email:**johnsonbm@sec.gov.* *RIN:*
                         3235-AL60 SECURITIES AND EXCHANGE COMMISSION (SEC) Division of Investment Management Completed Actions 396. Investment Company Liquidity Risk Management Programs; Investment Company Swing Pricing *Legal Authority:*15 U.S.C. 80a-37(a); 15 U.S.C. 80a-22(c); 15 U.S.C. 80a-31(a); 15 U.S.C. 77a 
                        *et seq.*; 15 U.S.C. 77aaa 
                        *et seq.*; 15 U.S.C. 78a 
                        *et seq.*; 15 U.S.C. 80a 
                        *et seq.* *Abstract:*
                         The Commission adopted a new rule requiring open-end funds to adopt and implement liquidity management programs. The Commission also adopted rule amendments that permit open-end funds to use “swing pricing” and form amendments that enhance disclosure regarding fund liquidity and redemption practices. *Timetable:* Action
Date
FR CiteNPRM
10/15/15
80 FR 62274NPRM Comment Period End
01/13/16Final Action
11/18/16
81 FR 82142Final Action Effective
01/17/17Final Action Effective—Amendments to Form N-CEN
06/01/18
 
 
 *Regulatory Flexibility Analysis Required:*
                         Yes. *Agency Contact:*
                         Sarah ten Siethoff, Division of Investment Management, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549, 
                        *Phone:*
                         202 551-6729, 
                        *Email:**tensiethoffs@sec.gov*. *RIN:*
                         3235-AL61 SECURITIES AND EXCHANGE COMMISSION (SEC) Division of Trading and Markets Long-Term Actions 397. Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 *Legal Authority:*Pub. L. 111-203, sec. 939A *Abstract:*
                         Section 939A of the Dodd-Frank Act requires the Commission to remove certain references to credit ratings from its regulations and to substitute such standards of creditworthiness as the Commission determines to be appropriate. The Commission amended certain rules and one form under the Exchange Act applicable to broker-dealer financial responsibility, and confirmation of transactions. The Commission has not yet finalized amendments to certain rules regarding the distribution of securities. *Timetable:* Action
Date
FR CiteNPRM
05/06/11
76 FR 26550NPRM Comment Period End
07/05/11Final Action
01/08/14
79 FR 1522Final Action Effective
07/07/14Next Action Undetermined
To Be Determined
 *Regulatory Flexibility Analysis Required:*
                         Yes. *Agency Contact:*
                         John Guidroz, Division of Trading and Markets, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549, 
                        *Phone:*
                         202 551-6439, 
                        *Email:**guidrozj@sec.gov*. *RIN:*
                         3235-AL14 SECURITIES AND EXCHANGE COMMISSION (SEC) Division of Trading and Markets Completed Actions 398. Amendment to Securities Transaction Settlement Cycle *Legal Authority:*15 U.S.C. 78o(c)(6); 15 U.S.C. 78q-1; 15 U.S.C. 78w(a) *Abstract:*
                         The Commission proposed to amend Exchange Act Rule 15c6-1 to shorten the standard settlement period from three days to two days. *Timetable:* Action
Date
FR CiteNPRM
10/05/16
81 FR 69240NPRM Comment Period End
12/05/16Final Action
03/29/17
82 FR 15564Final Action Effective
05/30/17
 *Regulatory Flexibility Analysis Required:*
                         Yes. *Agency Contact:*
                         Jeffrey S. Mooney, Division of Trading and Markets, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549, 
                        *Phone:*
                         202 942-4174, 
                        *Email:**mooneyj@sec.gov*. *RIN:*
                         3235-AL86


[FR Doc. 2017-17017 Filed 8-23-17; 8:45 am] BILLING CODE 8011-01-P