id,agency_id,docket_id,title,document_type,subtype,posted_date,posted_year,posted_month,comment_start_date,comment_end_date,last_modified,fr_doc_num,open_for_comment,withdrawn,object_id
SEC-2019-1883-0001,SEC,,"Recordkeeping and Reporting Requirements: Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers",Rule,,2019-12-16T05:00:00Z,2019,12,2019-12-16T05:00:00Z,,2019-12-16T12:48:09Z,2019-20678,0,0,0900006484212930
SEC-2019-1768-0001,SEC,,Staff Accounting Bulletin,Rule,,2019-11-25T05:00:00Z,2019,11,2019-11-25T05:00:00Z,,2019-11-25T13:24:41Z,2019-25450,0,0,09000064841ac826
SEC-2019-1695-0001,SEC,,"Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds",Rule,,2019-11-14T05:00:00Z,2019,11,2019-11-14T05:00:00Z,,2019-11-14T12:54:52Z,2019-22695,0,0,0900006484153989
SEC-2019-1568-0001,SEC,,Adoption of Updated EDGAR Filer Manual,Rule,,2019-10-24T04:00:00Z,2019,10,2019-10-24T04:00:00Z,,2019-10-24T11:43:13Z,2019-23211,0,0,09000064840efae6
SEC-2019-1575-0001,SEC,,Exchange-Traded Funds,Rule,,2019-10-24T04:00:00Z,2019,10,2019-10-24T04:00:00Z,,2019-10-24T11:46:19Z,2019-21250,0,0,09000064840f0324
SEC-2019-1495-0001,SEC,,"Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers; Correction",Rule,,2019-10-15T04:00:00Z,2019,10,2019-10-15T04:00:00Z,,2019-10-15T11:46:34Z,2019-22053,0,0,090000648408de54
SEC-2019-1425-0001,SEC,,Solicitations of Interest Prior to a Registered Public Offering,Rule,,2019-10-04T04:00:00Z,2019,10,2019-10-04T04:00:00Z,,2019-10-04T11:36:12Z,2019-21304,0,0,090000648401faae
SEC-2019-1380-0001,SEC,,Technical Amendments to Update Cross-References to Commission's FOIA Regulations,Rule,,2019-09-26T04:00:00Z,2019,9,2019-09-26T04:00:00Z,,2019-09-26T11:49:32Z,2019-20369,0,0,0900006483fcafdd
SEC-2019-1302-0001,SEC,,Guidance: Commission Interpretation and Guidance Regarding the Applicability of the Proxy Rules to Proxy Voting Advice,Rule,,2019-09-10T04:00:00Z,2019,9,2019-09-10T04:00:00Z,,2019-09-10T11:41:52Z,2019-18355,0,0,0900006483f25121
SEC-2019-1292-0001,SEC,,Guidance: Proxy Voting Responsibilities of Investment Advisers,Rule,,2019-09-10T04:00:00Z,2019,9,2019-09-10T04:00:00Z,,2019-09-10T11:39:11Z,2019-18342,0,0,0900006483f24b97
SEC-2019-1217-0001,SEC,,"Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers",Rule,,2019-08-22T04:00:00Z,2019,8,2019-08-22T04:00:00Z,,2019-08-22T11:50:42Z,2019-13609,0,0,0900006483e8c2bf
SEC-2019-1157-0001,SEC,,Amendments to Rules for Nationally Recognized Statistical Rating Organizations,Rule,,2019-08-14T04:00:00Z,2019,8,2019-08-14T04:00:00Z,,2019-08-14T12:02:09Z,2019-17218,0,0,0900006483e48805
SEC-2019-1152-0001,SEC,,FAST Act Modernization and Simplification of Regulation S-K; Correction,Rule,,2019-08-13T04:00:00Z,2019,8,2019-08-13T04:00:00Z,,2019-08-13T11:47:31Z,2019-17138,0,0,0900006483e3c0ca
SEC-2019-1141-0001,SEC,,Regulation Best Interest: The Broker-Dealer Standard of Conduct,Rule,,2019-08-09T04:00:00Z,2019,8,2019-08-09T04:00:00Z,,2019-08-09T11:47:49Z,C1-2019-12164,0,0,0900006483e1d6d6
SEC-2019-1123-0001,SEC,,"Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds; Correction",Rule,,2019-08-06T04:00:00Z,2019,8,2019-08-06T04:00:00Z,,2019-08-06T11:57:16Z,2019-16634,0,0,0900006483dfbb32
SEC-2019-1039-0001,SEC,,"Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds",Rule,,2019-07-22T04:00:00Z,2019,7,2019-07-22T04:00:00Z,,2019-07-22T11:48:14Z,2019-15019,0,0,0900006483da61df
SEC-2019-0981-0001,SEC,,Commission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion from the Definition of Investment Adviser,Rule,,2019-07-12T04:00:00Z,2019,7,2019-07-12T04:00:00Z,,2019-07-12T11:54:46Z,2019-12209,0,0,0900006483d83979
SEC-2019-0982-0001,SEC,,Regulation Best Interest: The Broker-Dealer Standard of Conduct,Rule,,2019-07-12T04:00:00Z,2019,7,2019-07-12T04:00:00Z,,2019-07-12T11:56:12Z,2019-12164,0,0,0900006483d839f1
SEC-2019-0979-0001,SEC,,Form CRS Relationship Summary; Amendments to Form ADV,Rule,,2019-07-12T04:00:00Z,2019,7,2019-07-12T04:00:00Z,,2019-07-12T11:53:27Z,2019-12376,0,0,0900006483d8390a
SEC-2019-0980-0001,SEC,,Commission Interpretation Regarding Standard of Conduct for Investment Advisers,Rule,,2019-07-12T04:00:00Z,2019,7,2019-07-12T04:00:00Z,,2019-07-12T11:53:55Z,2019-12208,0,0,0900006483d8390d
SEC-2019-0948-0001,SEC,,Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships,Rule,,2019-07-05T04:00:00Z,2019,7,2019-07-05T04:00:00Z,,2019-07-05T11:51:57Z,2019-13429,0,0,0900006483d60769
SEC-2019-0923-0001,SEC,,"Adoption of Updated Electronic Data Gathering, Analysis, and Retrieval System Filer Manual",Rule,,2019-07-01T04:00:00Z,2019,7,2019-07-01T04:00:00Z,,2019-07-01T11:44:46Z,2019-13922,0,0,0900006483d50e0a
SEC-2019-0846-0001,SEC,,Amendment to Single Issuer Exemption for Broker-Dealers,Rule,,2019-06-14T04:00:00Z,2019,6,2019-06-14T04:00:00Z,,2019-06-14T12:30:43Z,2019-12563,0,0,0900006483d118e9
SEC-2019-0579-0001,SEC,,Disclosure of Order Handling Information,Rule,,2019-04-30T04:00:00Z,2019,4,2019-04-30T04:00:00Z,,2019-04-30T12:13:45Z,2019-08675,0,0,0900006483c1c7f6
SEC-2019-0418-0001,SEC,,FAST Act Modernization and Simplification of Regulation S-K,Rule,,2019-04-08T04:00:00Z,2019,4,2019-04-08T04:00:00Z,,2019-04-08T12:32:04Z,C1-2019-05695,0,0,0900006483b71597
SEC-2019-0381-0001,SEC,,Public Company Accounting Oversight Board Hearing Officers,Rule,,2019-04-03T04:00:00Z,2019,4,2019-04-03T04:00:00Z,,2019-04-03T11:45:35Z,2019-06427,0,0,0900006483b5e2de
SEC-2019-0376-0001,SEC,,FAST Act Modernization and Simplification of Regulation S-K,Rule,,2019-04-02T04:00:00Z,2019,4,2019-04-02T04:00:00Z,,2019-04-02T12:11:43Z,2019-05695,0,0,0900006483b5732c
SEC-2019-0363-0001,SEC,,"Adoption of Updated Electronic Data Gathering, Analysis, and Retrieval System Filer Manual",Rule,,2019-04-01T04:00:00Z,2019,4,2019-04-01T04:00:00Z,,2019-04-01T11:56:21Z,2019-06261,0,0,0900006483b511ad
SEC-2019-0246-0001,SEC,,Amendments to the Timing Requirements for Filing Reports on Form N-PORT,Rule,,2019-03-06T05:00:00Z,2019,3,2019-03-06T05:00:00Z,,2019-03-06T13:10:02Z,2019-03958,0,0,0900006483ac2362
SEC-2019-0160-0001,SEC,,Transaction Fee Pilot for National Market System Stocks,Rule,,2019-02-20T05:00:00Z,2019,2,2019-02-20T05:00:00Z,,2019-02-20T12:51:22Z,2018-27982,0,0,0900006483a90680
SEC-2019-0149-0001,SEC,,Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons to Effect or be Involved in Effecting Security-Based Swaps,Rule,,2019-02-19T05:00:00Z,2019,2,2019-02-19T05:00:00Z,,2019-02-19T14:21:59Z,2019-02347,0,0,0900006483a88c39
SEC-2019-0074-0001,SEC,,"Disclosure of Hedging by Employees, Officers and Directors",Rule,,2019-02-06T05:00:00Z,2019,2,2019-02-06T05:00:00Z,,2019-02-06T12:57:40Z,2018-28123,0,0,0900006483a4a04b
SEC-2019-0043-0001,SEC,,Conditional Small Issues Exemption under the Securities Act,Rule,,2019-01-31T05:00:00Z,2019,1,2019-01-31T05:00:00Z,,2019-01-31T13:03:15Z,2018-27980,0,0,0900006483a2eb59