documents
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455 rows where agency_id = "SEC" and document_type = "Proposed Rule" sorted by posted_date descending
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| 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| posted_year | posted_month | comment_start_date | comment_end_date | last_modified | fr_doc_num | open_for_comment | withdrawn | object_id |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-2026-1097-0001 | SEC | Form N-PORT Reporting | Proposed Rule | 2026-02-23T05:00:00Z | 2026 | 2 | 2026-02-23T05:00:00Z | 2026-04-25T03:59:59Z | 2026-02-23T18:48:53Z | 2026-03460 | 1 | 0 | 09000064b91d032c | ||
| SEC-2026-0200-0001 | SEC | Small Business and Small Organization Definitions for Investment Companies and Investment Advisers | Proposed Rule | 2026-01-12T05:00:00Z | 2026 | 1 | 2026-01-12T05:00:00Z | 2026-03-14T03:59:59Z | 2026-01-13T00:33:38Z | 2026-00316 | 1 | 0 | 09000064b9136543 | ||
| SEC-2025-2943-0001 | SEC | Concept Release on Residential Mortgage-Backed Securities Disclosures and Enhancements to Asset-Backed Securities Registration | Proposed Rule | 2025-10-01T04:00:00Z | 2025 | 10 | 2025-10-01T04:00:00Z | 2025-12-02T04:59:59Z | 2025-10-01T15:49:13Z | 2025-19152 | 0 | 0 | 09000064b8febbfe | ||
| SEC-2025-1075-0001 | SEC | Withdrawal of Proposed Regulatory Actions | Proposed Rule | 2025-06-17T04:00:00Z | 2025 | 6 | 2025-06-17T04:00:00Z | 2025-06-17T16:12:08Z | 2025-11110 | 0 | 0 | 09000064b8e16236 | |||
| SEC-2025-0992-0001 | SEC | Concept Release on Foreign Private Issuer Eligibility | Proposed Rule | 2025-06-09T00:00:00Z | 2025 | 6 | 2025-06-09T00:00:00Z | 2025-09-09T03:59:59Z | 2025-06-09T17:11:07Z | 2025-10428 | 0 | 0 | 09000064b8de4a2c | ||
| SEC-2024-1787-0001 | SEC | List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act | Proposed Rule | 2024-12-10T05:00:00Z | 2024 | 12 | 2024-12-10T05:00:00Z | 2025-01-10T04:59:59Z | 2024-12-10T13:49:09Z | 2024-28353 | 0 | 0 | 090000648685f186 | ||
| SEC-2024-1144-0001 | SEC | Financial Data Transparency Act Joint Data Standards | Proposed Rule | 2024-08-22T04:00:00Z | 2024 | 8 | 2024-08-22T04:00:00Z | 2024-10-22T03:59:59Z | 2024-08-22T13:11:08Z | 2024-18415 | 0 | 0 | 090000648665c44c | ||
| SEC-2024-1111-0001 | SEC | Regulatory Flexibility Agenda | Proposed Rule | 2024-08-16T04:00:00Z | 2024 | 8 | 2024-08-16T04:00:00Z | 2024-09-17T03:59:59Z | 2024-08-16T12:31:23Z | 2024-16470 | 0 | 0 | 090000648664da3d | ||
| SEC-2024-0688-0001 | SEC | Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers | Proposed Rule | 2024-05-21T04:00:00Z | 2024 | 5 | 2024-05-21T04:00:00Z | 2024-07-23T03:59:59Z | 2024-05-21T12:03:09Z | 2024-10738 | 0 | 0 | 0900006486575b25 | ||
| SEC-2024-0362-0001 | SEC | Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers: Correction | Proposed Rule | 2024-03-18T04:00:00Z | 2024 | 3 | 2024-03-18T04:00:00Z | 2024-03-20T12:36:00Z | 2024-05623 | 0 | 0 | 0900006486481133 | |||
| SEC-2024-0359-0001 | SEC | Exemption for Certain Investment Advisers Operating through the Internet: Correction | Proposed Rule | 2024-03-18T04:00:00Z | 2024 | 3 | 2024-03-18T04:00:00Z | 2024-03-20T12:35:59Z | 2024-05624 | 0 | 0 | 0900006486480882 | |||
| SEC-2024-0357-0001 | SEC | EDGAR Filer Access and Account Management: Correction | Proposed Rule | 2024-03-18T04:00:00Z | 2024 | 3 | 2024-03-18T04:00:00Z | 2024-03-20T12:35:58Z | 2024-05625 | 0 | 0 | 0900006486480835 | |||
| SEC-2022-0655-0001 | SEC | None SEC-2022-0655 | Enhancement and Standardization of Climate-Related Disclosures for Investors | Proposed Rule | 2024-03-08T05:00:00Z | 2024 | 3 | 2024-03-08T05:00:00Z | 2022-06-18T03:59:59Z | 2024-03-08T16:47:16Z | 2022-10194 | 0 | 0 | 0900006485072d70 | |
| SEC-2024-0237-0001 | SEC | Qualifying Venture Capital Funds Inflation Adjustment | Proposed Rule | 2024-02-21T05:00:00Z | 2024 | 2 | 2024-02-21T05:00:00Z | 2024-03-23T03:59:59Z | 2024-02-21T15:25:44Z | 2024-03436 | 0 | 0 | 0900006486421a90 | ||
| SEC-2024-0173-0001 | SEC | Regulatory Flexibility Agenda | Proposed Rule | 2024-02-09T05:00:00Z | 2024 | 2 | 2024-02-09T05:00:00Z | 2024-03-12T03:59:59Z | 2024-02-09T14:49:39Z | 2024-00469 | 0 | 0 | 09000064863f7d44 | ||
| SEC-2023-1261-0001 | SEC | Volume-Based Exchange Transaction Pricing for NMS Stocks | Proposed Rule | 2023-11-06T05:00:00Z | 2023 | 11 | 2023-11-06T05:00:00Z | 2024-01-06T04:59:59Z | 2024-01-06T02:00:22Z | 2023-23398 | 0 | 0 | 09000064862086d8 | ||
| SEC-2023-1182-0001 | SEC | Registration for Index-Linked Annuities: Form N–4 for Index-Linked and Variable Annuities | Proposed Rule | 2023-10-13T04:00:00Z | 2023 | 10 | 2023-10-13T04:00:00Z | 2023-11-29T04:59:59Z | 2023-10-13T12:07:50Z | 2023-21986 | 0 | 0 | 09000064860cb3b6 | ||
| SEC-2023-1187-0001 | SEC | List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act | Proposed Rule | 2023-10-13T04:00:00Z | 2023 | 10 | 2023-10-13T04:00:00Z | 2023-10-13T12:10:38Z | 2023-22605 | 0 | 0 | 09000064860cdcf2 | |||
| SEC-2023-1044-0001 | SEC | Electronic Data Gathering, Analysis, and Retrieval System Filer Access and Account Management | Proposed Rule | 2023-09-22T04:00:00Z | 2023 | 9 | 2023-09-22T04:00:00Z | 2023-11-22T04:59:59Z | 2023-09-22T13:43:11Z | 2023-20268 | 0 | 0 | 0900006485fe56e6 | ||
| SEC-2023-0940-0001 | SEC | Safeguarding Advisory Client Assets | Proposed Rule | 2023-08-30T04:00:00Z | 2023 | 8 | 2023-08-30T04:00:00Z | 2023-10-31T03:59:59Z | 2023-08-30T12:05:19Z | 2023-18667 | 0 | 0 | 0900006485f10c84 | ||
| SEC-2023-0850-0001 | SEC | Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers | Proposed Rule | 2023-08-09T04:00:00Z | 2023 | 8 | 2023-08-09T04:00:00Z | 2023-10-11T03:59:59Z | 2023-08-09T12:18:02Z | 2023-16377 | 0 | 0 | 0900006485e0487d | ||
| SEC-2023-0808-0001 | SEC | Exemption for Certain Investment Advisers Operating Through the Internet | Proposed Rule | 2023-08-01T04:00:00Z | 2023 | 8 | 2023-08-01T04:00:00Z | 2023-10-03T03:59:59Z | 2023-08-01T12:23:30Z | 2023-16287 | 0 | 0 | 0900006485d9b843 | ||
| SEC-2023-0783-0001 | SEC | Regulatory Flexibility Agenda | Proposed Rule | 2023-07-27T04:00:00Z | 2023 | 7 | 2023-07-27T04:00:00Z | 2023-08-29T03:59:59Z | 2023-07-27T13:08:56Z | 2023-14566 | 0 | 0 | 0900006485d5e101 | ||
| SEC-2023-0740-0001 | SEC | Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule | Proposed Rule | 2023-07-18T04:00:00Z | 2023 | 7 | 2023-07-18T04:00:00Z | 2023-09-12T03:59:59Z | 2023-07-18T15:57:23Z | 2023-15200 | 0 | 0 | 0900006485cd24b0 | ||
| SEC-2023-0681-0001 | SEC | Position Reporting of Large Security-Based Swap Positions; Reopening of Comment Period | Proposed Rule | 2023-06-26T04:00:00Z | 2023 | 6 | 2023-06-26T04:00:00Z | 2023-08-22T03:59:59Z | 2023-06-26T12:20:44Z | 2023-13447 | 0 | 0 | 0900006485bf38f4 | ||
| SEC-2023-0567-0001 | SEC | Covered Clearing Agency Resilience and Recovery and Wind-Down Plans | Proposed Rule | 2023-05-30T04:00:00Z | 2023 | 5 | 2023-05-30T04:00:00Z | 2023-07-18T03:59:59Z | 2023-05-30T12:28:29Z | 2023-10889 | 0 | 0 | 0900006485a86751 | ||
| SEC-2023-0490-0001 | SEC | Definition of Exchange | Proposed Rule | 2023-05-05T04:00:00Z | 2023 | 5 | 2023-05-05T04:00:00Z | 2023-06-14T03:59:59Z | 2023-05-05T12:12:54Z | 2023-08544 | 0 | 0 | 09000064859d325c | ||
| SEC-2023-0484-0001 | SEC | Modernization of Beneficial Ownership Reporting | Proposed Rule | 2023-05-04T04:00:00Z | 2023 | 5 | 2023-05-04T04:00:00Z | 2023-06-28T03:59:59Z | 2023-05-04T12:14:43Z | 2023-09454 | 0 | 0 | 09000064859c9b64 | ||
| SEC-2023-0425-0001 | SEC | Electronic Submission of Certain Materials Under the Securities Exchange Act: Amendments Regarding the Financial and Operational Combined Uniform Single Report | Proposed Rule | 2023-04-18T04:00:00Z | 2023 | 4 | 2023-04-18T04:00:00Z | 2023-05-23T03:59:59Z | 2023-04-18T12:19:11Z | 2023-06330 | 0 | 0 | 090000648595629a | ||
| SEC-2023-0413-0001 | SEC | Regulation Systems Compliance and Integrity | Proposed Rule | 2023-04-14T04:00:00Z | 2023 | 4 | 2023-04-14T04:00:00Z | 2023-06-14T03:59:59Z | 2023-04-14T12:11:58Z | 2023-05775 | 0 | 0 | 0900006485948e97 | ||
| SEC-2023-0388-0001 | SEC | Privacy of Consumer Financial Information and Safeguarding Customer Information | Proposed Rule | 2023-04-06T04:00:00Z | 2023 | 4 | 2023-04-06T04:00:00Z | 2023-06-06T03:59:59Z | 2023-04-06T13:35:59Z | 2023-05774 | 0 | 0 | 09000064858f226c | ||
| SEC-2023-0380-0001 | SEC | Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, et al. | Proposed Rule | 2023-04-05T04:00:00Z | 2023 | 4 | 2023-04-05T04:00:00Z | 2023-06-06T03:59:59Z | 2023-04-06T00:59:21Z | 2023-05767 | 0 | 0 | 09000064858e5dfd | ||
| SEC-2023-0328-0001 | SEC | Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies | Proposed Rule | 2023-03-21T04:00:00Z | 2023 | 3 | 2023-03-21T04:00:00Z | 2023-05-23T03:59:59Z | 2023-03-21T12:17:49Z | 2023-05766 | 0 | 0 | 090000648580f480 | ||
| SEC-2023-0265-0001 | SEC | Safeguarding Advisory Client Assets | Proposed Rule | 2023-03-09T05:00:00Z | 2023 | 3 | 2023-03-09T05:00:00Z | 2023-05-09T03:59:59Z | 2023-03-09T13:23:16Z | 2023-03681 | 0 | 0 | 0900006485781e90 | ||
| SEC-2023-0208-0001 | SEC | Regulatory Flexibility Agenda | Proposed Rule | 2023-02-22T05:00:00Z | 2023 | 2 | 2023-02-22T05:00:00Z | 2023-02-22T21:42:56Z | 2023-02043 | 0 | 0 | 09000064856ee15c | |||
| SEC-2023-0204-0001 | SEC | Commission's Privacy Act Regulations | Proposed Rule | 2023-02-21T05:00:00Z | 2023 | 2 | 2023-02-21T05:00:00Z | 2023-04-18T03:59:59Z | 2023-02-21T13:12:03Z | 2023-03467 | 0 | 0 | 09000064856dded3 | ||
| SEC-2023-0164-0001 | SEC | Prohibition against Conflicts of Interest in Certain Securitizations | Proposed Rule | 2023-02-14T05:00:00Z | 2023 | 2 | 2023-02-14T05:00:00Z | 2023-03-28T03:59:59Z | 2023-02-14T13:34:22Z | 2023-02003 | 0 | 0 | 09000064856931f0 | ||
| SEC-2023-0131-0001 | SEC | Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission | Proposed Rule | 2023-02-07T05:00:00Z | 2023 | 2 | 2023-02-07T05:00:00Z | 2023-04-01T03:59:59Z | 2023-02-07T12:41:20Z | 2023-02235 | 0 | 0 | 0900006485639c5b | ||
| SEC-2023-0103-0001 | SEC | Regulation Best Execution | Proposed Rule | 2023-01-27T05:00:00Z | 2023 | 1 | 2023-01-27T05:00:00Z | 2023-04-01T03:59:59Z | 2023-01-27T12:40:04Z | 2022-27644 | 0 | 0 | 0900006485610726 | ||
| SEC-2023-0053-0001 | SEC | Disclosure of Order Execution Information | Proposed Rule | 2023-01-20T05:00:00Z | 2023 | 1 | 2023-01-20T05:00:00Z | 2023-04-01T03:59:59Z | 2023-01-20T12:57:53Z | 2022-27614 | 0 | 0 | 09000064855fb48c | ||
| SEC-2023-0001-0001 | SEC | Order Competition Rule | Proposed Rule | 2023-01-03T05:00:00Z | 2023 | 1 | 2023-01-03T05:00:00Z | 2023-04-01T03:59:59Z | 2023-01-03T12:58:50Z | 2022-27617 | 0 | 0 | 090000648557e7b6 | ||
| SEC-2022-1682-0001 | SEC | Regulation National Market System: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders | Proposed Rule | 2022-12-29T05:00:00Z | 2022 | 12 | 2022-12-29T05:00:00Z | 2023-04-01T03:59:59Z | 2022-12-29T14:04:12Z | 2022-27616 | 0 | 0 | 090000648555c833 | ||
| SEC-2022-1613-0001 | SEC | Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting | Proposed Rule | 2022-12-16T05:00:00Z | 2022 | 12 | 2022-12-16T05:00:00Z | 2023-02-15T04:59:59Z | 2022-12-16T12:43:09Z | 2022-24376 | 0 | 0 | 090000648553cb1a | ||
| SEC-2022-1592-0001 | SEC | Share Repurchase Disclosure Modernization | Proposed Rule | 2022-12-12T05:00:00Z | 2022 | 12 | 2022-12-12T05:00:00Z | 2023-01-12T04:59:59Z | 2022-12-12T13:02:02Z | 2022-26898 | 0 | 0 | 090000648552edf1 | ||
| SEC-2022-1564-0001 | SEC | List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act | Proposed Rule | 2022-12-02T05:00:00Z | 2022 | 12 | 2022-12-02T05:00:00Z | 2023-01-04T04:59:59Z | 2022-12-02T12:49:02Z | 2022-26133 | 0 | 0 | 0900006485511af8 | ||
| SEC-2022-1495-0001 | SEC | Outsourcing by Investment Advisers | Proposed Rule | 2022-11-16T05:00:00Z | 2022 | 11 | 2022-11-16T05:00:00Z | 2022-12-28T04:59:59Z | 2022-11-16T12:39:22Z | 2022-23694 | 0 | 0 | 09000064854bb167 | ||
| SEC-2022-1396-0001 | SEC | Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities | Proposed Rule | 2022-10-25T04:00:00Z | 2022 | 10 | 2022-10-25T04:00:00Z | 2022-12-28T04:59:59Z | 2022-10-25T11:42:33Z | 2022-20288 | 0 | 0 | 0900006485456593 | ||
| SEC-2022-1365-0001 | SEC | Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments | Proposed Rule | 2022-10-18T04:00:00Z | 2022 | 10 | 2022-10-18T04:00:00Z | 2022-11-02T03:59:59Z | 2022-10-18T11:45:00Z | 2022-22295 | 0 | 0 | 0900006485415a2c | ||
| SEC-2022-1176-0001 | SEC | Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers | Proposed Rule | 2022-09-07T04:00:00Z | 2022 | 9 | 2022-09-07T04:00:00Z | 2022-09-07T11:45:35Z | C1-2022-17724 | 0 | 0 | 09000064852bf714 | |||
| SEC-2022-1166-0001 | SEC | Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers | Proposed Rule | 2022-09-01T04:00:00Z | 2022 | 9 | 2022-09-01T04:00:00Z | 2022-10-12T03:59:59Z | 2022-09-01T11:42:22Z | 2022-17724 | 0 | 0 | 09000064852a2b5e | ||
| SEC-2022-1134-0001 | SEC | Clearing Agency Governance and Conflicts of Interest; Withdrawal | Proposed Rule | 2022-08-23T04:00:00Z | 2022 | 8 | 2022-08-23T04:00:00Z | 2022-08-23T11:42:06Z | 2022-17316 | 0 | 0 | 0900006485266a70 | |||
| SEC-2022-1084-0001 | SEC | Exemption for Certain Exchange Members | Proposed Rule | 2022-08-12T04:00:00Z | 2022 | 8 | 2022-08-12T04:00:00Z | 2022-09-28T03:59:59Z | 2022-08-12T12:31:11Z | 2022-16711 | 0 | 0 | 0900006485233044 | ||
| SEC-2022-1009-0001 | SEC | Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals under Exchange Act | Proposed Rule | 2022-07-27T04:00:00Z | 2022 | 7 | 2022-07-27T04:00:00Z | 2022-09-13T03:59:59Z | 2022-09-13T01:00:30Z | 2022-15348 | 0 | 0 | 09000064851ecf15 | ||
| SEC-2022-0844-0001 | SEC | List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act | Proposed Rule | 2022-06-24T04:00:00Z | 2022 | 6 | 2022-06-24T04:00:00Z | 2022-08-24T03:59:59Z | 2022-06-24T12:12:11Z | 2022-13410 | 0 | 0 | 090000648518c24b | ||
| SEC-2022-0835-0001 | SEC | Certain Information Providers Acting as Investment Advisers | Proposed Rule | 2022-06-22T04:00:00Z | 2022 | 6 | 2022-06-22T04:00:00Z | 2022-08-17T03:59:59Z | 2022-06-22T12:02:47Z | 2022-13307 | 0 | 0 | 0900006485182083 | ||
| SEC-2022-0824-0001 | SEC | Investment Company Names | Proposed Rule | 2022-06-17T04:00:00Z | 2022 | 6 | 2022-06-17T04:00:00Z | 2022-08-17T03:59:59Z | 2022-06-17T12:02:01Z | 2022-11742 | 0 | 0 | 0900006485178d3f | ||
| SEC-2022-0822-0001 | SEC | Enhanced Disclosures by Certain Investment Advisers and Investment Companies: Environmental, Social, and Governance Investment Practices | Proposed Rule | 2022-06-17T04:00:00Z | 2022 | 6 | 2022-06-17T04:00:00Z | 2022-08-17T03:59:59Z | 2022-06-17T12:01:36Z | 2022-11718 | 0 | 0 | 0900006485178c68 | ||
| SEC-2022-0801-0001 | SEC | Listing Standards for Recovery of Erroneously Awarded Compensation | Proposed Rule | 2022-06-14T04:00:00Z | 2022 | 6 | 2022-06-14T04:00:00Z | 2022-07-15T03:59:59Z | 2022-06-14T12:15:01Z | 2022-12792 | 0 | 0 | 0900006485162094 | ||
| SEC-2022-0667-0001 | SEC | Special Purpose Acquisition Companies, Shell Companies, and Projections | Proposed Rule | 2022-05-13T04:00:00Z | 2022 | 5 | 2022-05-13T04:00:00Z | 2022-06-14T03:59:59Z | 2022-05-13T12:15:05Z | 2022-07189 | 0 | 0 | 0900006485078610 | ||
| SEC-2022-0654-0001 | SEC | Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews: Amendments Regarding the Definition of 'Exchange' and Alternative Trading Systems That Trade U.S. Treasury and Agency Securities, National Market System Stocks, and Other Securities | Proposed Rule | 2022-05-12T04:00:00Z | 2022 | 5 | 2022-05-12T04:00:00Z | 2022-06-14T03:59:59Z | 2022-05-12T11:54:43Z | 2022-10195 | 0 | 0 | 0900006485072d29 | ||
| SEC-2022-0652-0001 | SEC | Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities | Proposed Rule | 2022-05-11T04:00:00Z | 2022 | 5 | 2022-05-11T04:00:00Z | 2022-05-12T03:59:59Z | 2022-05-11T12:11:03Z | 2022-07850 | 0 | 0 | 090000648506eec2 | ||
| SEC-2022-0544-0001 | SEC | Further Definition of "As a Part of a Regular Business" in the Definition of Dealer and Government Securities Dealer | Proposed Rule | 2022-04-18T04:00:00Z | 2022 | 4 | 2022-04-18T04:00:00Z | 2022-05-28T03:59:59Z | 2022-04-18T12:05:37Z | 2022-06960 | 0 | 0 | 090000648501fcdf | ||
| SEC-2022-0494-0001 | SEC | Enhancement and Standardization of Climate-Related Disclosures for Investors | Proposed Rule | 2022-04-11T04:00:00Z | 2022 | 4 | 2022-04-11T04:00:00Z | 2022-05-21T03:59:59Z | 2022-05-21T01:01:07Z | 2022-06342 | 0 | 0 | 090000648500acf8 | ||
| SEC-2022-0444-0001 | SEC | Removal of References to CreditRatings from Regulation M | Proposed Rule | 2022-03-30T04:00:00Z | 2022 | 3 | 2022-03-30T04:00:00Z | 2022-05-24T03:59:59Z | 2022-03-30T12:14:50Z | 2022-06583 | 0 | 0 | 0900006484fedfdf | ||
| SEC-2022-0409-0001 | SEC | Private Fund Advisers: Documentation of Registered Investment Adviser Compliance Reviews | Proposed Rule | 2022-03-24T04:00:00Z | 2022 | 3 | 2022-03-24T04:00:00Z | 2022-04-26T03:59:59Z | 2022-03-24T12:07:10Z | 2022-03212 | 0 | 0 | 0900006484fde584 | ||
| SEC-2022-0389-0001 | SEC | Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure | Proposed Rule | 2022-03-23T04:00:00Z | 2022 | 3 | 2022-03-23T04:00:00Z | 2022-05-10T03:59:59Z | 2022-03-23T12:02:40Z | 2022-05480 | 0 | 0 | 0900006484fdacc9 | ||
| SEC-2022-0361-0001 | SEC | Amendments to the Definition of Exchange; Alternative Trading Systems That Trade U.S. Government Securities, National Market System Stocks, and Other Securities; etc. | Proposed Rule | 2022-03-18T04:00:00Z | 2022 | 3 | 2022-03-18T04:00:00Z | 2022-04-19T03:59:59Z | 2022-03-18T12:29:31Z | 2022-01975 | 0 | 0 | 0900006484fd34a4 | ||
| SEC-2022-0349-0001 | SEC | Short Position and Short Activity Reporting by Institutional Investment Managers | Proposed Rule | 2022-03-16T04:00:00Z | 2022 | 3 | 2022-03-16T04:00:00Z | 2022-04-27T03:59:59Z | 2022-03-16T12:06:14Z | 2022-04670 | 0 | 0 | 0900006484fcc57c | ||
| SEC-2022-0326-0001 | SEC | Modernization of Beneficial Ownership Reporting | Proposed Rule | 2022-03-10T05:00:00Z | 2022 | 3 | 2022-03-10T05:00:00Z | 2022-04-12T03:59:59Z | 2022-03-10T13:08:37Z | 2022-03222 | 0 | 0 | 0900006484fc2849 | ||
| SEC-2022-0319-0001 | SEC | Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies | Proposed Rule | 2022-03-09T05:00:00Z | 2022 | 3 | 2022-03-09T05:00:00Z | 2022-04-12T03:59:59Z | 2022-03-09T13:00:31Z | 2022-03145 | 0 | 0 | 0900006484fc1539 | ||
| SEC-2022-0282-0001 | SEC | Reporting of Securities Loans | Proposed Rule | 2022-03-02T05:00:00Z | 2022 | 3 | 2022-03-02T05:00:00Z | 2022-04-02T03:59:59Z | 2022-03-02T13:07:57Z | 2022-04384 | 0 | 0 | 0900006484fb5b0f | ||
| SEC-2022-0269-0001 | SEC | Shortening the Securities Transaction Settlement Cycle | Proposed Rule | 2022-02-24T05:00:00Z | 2022 | 2 | 2022-02-24T05:00:00Z | 2022-04-12T03:59:59Z | 2022-02-24T13:18:13Z | 2022-03143 | 0 | 0 | 0900006484f9f5b7 | ||
| SEC-2022-0246-0001 | SEC | Whistleblower Program Rules | Proposed Rule | 2022-02-18T05:00:00Z | 2022 | 2 | 2022-02-18T05:00:00Z | 2022-04-12T03:59:59Z | 2022-02-18T12:48:32Z | 2022-03223 | 0 | 0 | 0900006484f8799a | ||
| SEC-2022-0238-0001 | SEC | Amendments to Form PF to Require Current Reporting and Amend Reporting Requirements for Large Private Equity Advisers and Large Liquidity Fund Advisers | Proposed Rule | 2022-02-17T05:00:00Z | 2022 | 2 | 2022-02-17T05:00:00Z | 2022-03-22T03:59:59Z | 2022-02-17T12:45:42Z | 2022-01976 | 0 | 0 | 0900006484f811ec | ||
| SEC-2022-0224-0001 | SEC | Share Repurchase Disclosure Modernization | Proposed Rule | 2022-02-15T05:00:00Z | 2022 | 2 | 2022-02-15T05:00:00Z | 2022-04-02T03:59:59Z | 2022-02-15T12:44:38Z | 2022-01068 | 0 | 0 | 0900006484f7925e | ||
| SEC-2022-0228-0001 | SEC | Rule 10b5-1 and Insider Trading | Proposed Rule | 2022-02-15T05:00:00Z | 2022 | 2 | 2022-02-15T05:00:00Z | 2022-04-02T03:59:59Z | 2022-02-15T12:45:36Z | 2022-01140 | 0 | 0 | 0900006484f793cc | ||
| SEC-2022-0196-0001 | SEC | Money Market Fund Reforms | Proposed Rule | 2022-02-08T05:00:00Z | 2022 | 2 | 2022-02-08T05:00:00Z | 2022-04-12T03:59:59Z | 2022-02-08T12:46:52Z | 2021-27532 | 0 | 0 | 0900006484f5e5ec | ||
| SEC-2022-0178-0001 | SEC | Prohibition against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions | Proposed Rule | 2022-02-04T05:00:00Z | 2022 | 2 | 2022-02-04T05:00:00Z | 2022-03-22T03:59:59Z | 2022-02-04T12:53:47Z | 2021-27531 | 0 | 0 | 0900006484f54a13 | ||
| SEC-2022-0164-0001 | SEC | Pay Versus Performance | Proposed Rule | 2022-02-02T05:00:00Z | 2022 | 2 | 2022-02-02T05:00:00Z | 2022-03-05T04:59:59Z | 2022-02-02T12:55:10Z | 2022-02024 | 0 | 0 | 0900006484f4c89e | ||
| SEC-2021-1722-0001 | SEC | Reporting of Securities Loans | Proposed Rule | 2021-12-08T05:00:00Z | 2021 | 12 | 2021-12-08T05:00:00Z | 2022-01-08T04:59:59Z | 2021-12-08T12:45:19Z | 2021-25739 | 0 | 0 | 0900006484eaee8d | ||
| SEC-2021-1693-0001 | SEC | Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants | Proposed Rule | 2021-12-01T05:00:00Z | 2021 | 12 | 2021-12-01T05:00:00Z | 2022-01-04T04:59:59Z | 2021-12-01T13:51:11Z | 2021-25840 | 0 | 0 | 0900006484e8f358 | ||
| SEC-2021-1651-0001 | SEC | Proxy Voting Advice | Proposed Rule | 2021-11-26T05:00:00Z | 2021 | 11 | 2021-11-26T05:00:00Z | 2021-12-28T04:59:59Z | 2021-11-26T13:25:25Z | 2021-25420 | 0 | 0 | 0900006484e7fe80 | ||
| SEC-2021-1640-0001 | SEC | EDGAR Filing Requirements | Proposed Rule | 2021-11-22T05:00:00Z | 2021 | 11 | 2021-11-22T05:00:00Z | 2021-12-23T04:59:59Z | 2021-11-22T12:55:46Z | 2021-24523 | 0 | 0 | 0900006484e713da | ||
| SEC-2021-1623-0001 | SEC | Electronic Submission of Applications for Orders under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR | Proposed Rule | 2021-11-19T05:00:00Z | 2021 | 11 | 2021-11-19T05:00:00Z | 2021-12-21T04:59:59Z | 2021-11-19T14:29:23Z | 2021-24522 | 0 | 0 | 0900006484e65f9c | ||
| SEC-2021-1469-0001 | SEC | Listing Standards for Recovery of Erroneously Awarded Compensation; Reopening of Comment Period | Proposed Rule | 2021-10-21T04:00:00Z | 2021 | 10 | 2021-10-21T04:00:00Z | 2021-11-23T04:59:59Z | 2021-10-21T11:41:06Z | 2021-22754 | 0 | 0 | 0900006484dd65d7 | ||
| SEC-2021-1424-0001 | SEC | Reporting of Executive Compensation Votes by Institutional Investment Managers: Enhanced Reporting of Proxy Votes by Registered Management Investment Companies | Proposed Rule | 2021-10-15T04:00:00Z | 2021 | 10 | 2021-10-15T04:00:00Z | 2021-12-15T04:59:59Z | 2021-10-15T11:58:32Z | 2021-21549 | 0 | 0 | 0900006484dc7107 | ||
| SEC-2021-1012-0001 | SEC | Credit Risk Retention: Notification of Extension of Review Period | Proposed Rule | 2021-07-22T04:00:00Z | 2021 | 7 | 2021-07-22T04:00:00Z | 2021-07-22T11:50:20Z | 2021-15424 | 0 | 0 | 0900006484c07866 | |||
| SEC-2021-0719-0001 | SEC | Performance Based Investment Advisory Fees | Proposed Rule | 2021-05-17T04:00:00Z | 2021 | 5 | 2021-05-17T04:00:00Z | 2021-05-17T12:34:24Z | 2021-10164 | 0 | 0 | 0900006484b0789a | |||
| SEC-2021-0651-0001 | SEC | Universal Proxy | Proposed Rule | 2021-05-06T04:00:00Z | 2021 | 5 | 2021-05-06T04:00:00Z | 2021-06-08T03:59:59Z | 2021-05-06T11:56:15Z | 2021-08301 | 0 | 0 | 0900006484ad35f3 | ||
| SEC-2021-0424-0001 | SEC | List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act | Proposed Rule | 2021-03-25T04:00:00Z | 2021 | 3 | 2021-03-25T04:00:00Z | 2021-04-27T03:59:59Z | 2021-03-25T11:42:38Z | 2021-05928 | 0 | 0 | 0900006484a7a479 | ||
| SEC-2021-0074-0001 | SEC | Rule 144 Holding Period and Form 144 Filings | Proposed Rule | 2021-01-19T05:00:00Z | 2021 | 1 | 2021-01-19T05:00:00Z | 2021-03-23T03:59:59Z | 2021-01-19T12:47:47Z | 2020-28790 | 0 | 0 | 09000064849f7f49 | ||
| SEC-2021-0046-0001 | SEC | 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 | 2021-01-12T05:00:00Z | 2021 | 1 | 2021-01-12T05:00:00Z | 2021-02-12T04:59:59Z | 2021-01-12T12:47:58Z | 2020-28700 | 0 | 0 | 09000064849ef83a | ||
| SEC-2020-2131-0001 | SEC | Regulation Alternate Trading Systems for ATSs that Trade Government Securities, National Market System 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 | 2020-12-31T05:00:00Z | 2020 | 12 | 2020-12-31T05:00:00Z | 2020-12-31T13:19:20Z | 2020-21781 | 0 | 0 | 09000064849d60bc | |||
| SEC-2020-1963-0001 | SEC | Temporary Rules To Include Certain ``Platform Workers'' in Compensatory Offerings | Proposed Rule | 2020-12-11T05:00:00Z | 2020 | 12 | 2020-12-11T05:00:00Z | 2021-02-10T04:59:59Z | 2020-12-11T13:10:59Z | 2020-26374 | 0 | 0 | 09000064849980e1 | ||
| SEC-2020-1962-0001 | SEC | Modernization of Rules and Forms for Compensatory Securities Offerings and Sales | Proposed Rule | 2020-12-11T05:00:00Z | 2020 | 12 | 2020-12-11T05:00:00Z | 2021-02-10T04:59:59Z | 2020-12-11T13:09:44Z | 2020-26390 | 0 | 0 | 090000648499808e | ||
| SEC-2020-1768-0001 | SEC | 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 | 2020-11-05T05:00:00Z | 2020 | 11 | 2020-11-05T05:00:00Z | 2021-01-05T04:59:59Z | 2020-11-05T13:08:10Z | 2020-17449 | 0 | 0 | 090000648494c987 | ||
| SEC-2020-1761-0001 | SEC | Portfolio Margining of Uncleared Swaps and Non-Cleared Security-Based Swaps | Proposed Rule | 2020-11-05T05:00:00Z | 2020 | 11 | 2020-11-05T05:00:00Z | 2020-12-08T04:59:59Z | 2020-11-05T13:04:37Z | 2020-23928 | 0 | 0 | 090000648494c834 | ||
| SEC-2020-1490-0001 | SEC | Administration of the Electronic Data Gathering, Analysis, and Retrieval System | Proposed Rule | 2020-09-17T04:00:00Z | 2020 | 9 | 2020-09-17T04:00:00Z | 2020-10-20T03:59:59Z | 2020-09-17T11:49:08Z | 2020-18825 | 0 | 0 | 0900006484860924 | ||
| SEC-2020-1213-0001 | SEC | Reporting Threshold for Institutional Investment Managers | Proposed Rule | 2020-07-31T04:00:00Z | 2020 | 7 | 2020-07-31T04:00:00Z | 2020-09-30T03:59:59Z | 2020-07-31T12:00:24Z | 2020-15322 | 0 | 0 | 09000064847c3b18 | ||
| SEC-2020-1022-0001 | SEC | Credit Risk Retention-Commencement of Review; Extension of Review Period | Proposed Rule | 2020-06-30T04:00:00Z | 2020 | 6 | 2020-06-30T04:00:00Z | 2020-06-30T11:59:03Z | 2020-13830 | 0 | 0 | 090000648471b957 |
Advanced export
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CREATE TABLE documents (
id TEXT PRIMARY KEY,
agency_id TEXT,
docket_id TEXT REFERENCES dockets(id),
title TEXT,
document_type TEXT,
subtype TEXT,
posted_date TEXT,
posted_year INTEGER,
posted_month INTEGER,
comment_start_date TEXT,
comment_end_date TEXT,
last_modified TEXT,
fr_doc_num TEXT,
open_for_comment INTEGER,
withdrawn INTEGER,
object_id TEXT
);
CREATE INDEX idx_docs_agency ON documents(agency_id);
CREATE INDEX idx_docs_docket ON documents(docket_id);
CREATE INDEX idx_docs_date ON documents(posted_date);
CREATE INDEX idx_docs_year ON documents(posted_year);
CREATE INDEX idx_docs_type ON documents(document_type);
CREATE INDEX idx_docs_frnum ON documents(fr_doc_num);
CREATE INDEX idx_docs_comment_end ON documents(comment_end_date) WHERE comment_end_date IS NOT NULL AND withdrawn = 0;