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Regulatory documents from Regulations.gov including rules, proposed rules, notices, and supporting materials.

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47 rows where agency_id = "SEC", document_type = "Proposed Rule" and posted_year = 2011 sorted by posted_date descending

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posted_year 1

  • 2011 · 47 ✖

document_type 1

  • Proposed Rule · 47 ✖

agency_id 1

  • SEC · 47 ✖
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posted_date ▲ posted_year posted_month comment_start_date comment_end_date last_modified fr_doc_num open_for_comment withdrawn object_id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-2011-1980-0001 SEC   List of Rules to be Reviewed Pursuant to Regulatory Flexibility Act Proposed Rule   2011-12-21T05:00:00Z 2011 12 2011-12-21T05:00:00Z 2012-01-21T04:59:59Z 2011-12-21T14:48:55Z 2011-32537 0 0 0900006480f870ed
SEC-2011-1959-0001 SEC   Prohibition Against Conflicts of Interest in Certain Securitizations Proposed Rule   2011-12-16T05:00:00Z 2011 12 2011-12-16T05:00:00Z 2012-01-14T04:59:59Z 2011-12-16T14:27:47Z 2011-32228 0 0 0900006480f846a6
SEC-2011-1703-0001 SEC   Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships with, Hedge Funds and Private Equity Funds Proposed Rule   2011-11-07T05:00:00Z 2011 11 2011-11-07T05:00:00Z 2012-01-14T04:59:59Z 2011-11-07T13:55:57Z 2011-27184 0 0 0900006480f6706d
SEC-2011-1633-0001 SEC   Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants Proposed Rule   2011-10-24T04:00:00Z 2011 10 2011-10-24T04:00:00Z 2011-12-20T04:59:59Z 2011-10-24T12:54:11Z 2011-26889 0 0 0900006480f59f52
SEC-2011-1561-0001 SEC   Conflict Minerals: Roundtable on Issues Proposed Rule   2011-10-13T04:00:00Z 2011 10 2011-10-13T04:00:00Z 2011-11-02T03:59:59Z 2011-10-13T13:01:35Z 2011-26431 0 0 0900006480f51c22
SEC-2011-1447-0001 SEC   Prohibition against Conflicts of Interest in Certain Securitizations Proposed Rule   2011-09-28T04:00:00Z 2011 9 2011-09-28T04:00:00Z 2011-12-20T04:59:59Z 2011-09-28T12:56:07Z 2011-24404 0 0 0900006480f3fdbf
SEC-2011-1363-0001 SEC   Retrospective Review of Existing Regulations Proposed Rule   2011-09-12T04:00:00Z 2011 9 2011-09-12T04:00:00Z 2011-10-07T03:59:59Z 2011-09-12T12:52:20Z 2011-23179 0 0 0900006480f1688a
SEC-2011-1340-0001 SEC   Treatment of Asset-Backed Issuers under the Investment Company Act Proposed Rule   2011-09-07T04:00:00Z 2011 9 2011-09-07T04:00:00Z 2011-11-08T04:59:59Z 2011-09-07T13:13:27Z 2011-22772 0 0 0900006480f12fe9
SEC-2011-1346-0001 SEC   Companies Engaged in Business of Acquiring Mortgages and Mortgage-Related Instruments Proposed Rule   2011-09-07T04:00:00Z 2011 9 2011-09-07T04:00:00Z 2011-11-08T04:59:59Z 2011-09-07T13:15:08Z 2011-22771 0 0 0900006480f13088
SEC-2011-1161-0001 SEC   Covered Securities Pursuant to Section 18 of Securities Act of 1933 Proposed Rule   2011-08-11T04:00:00Z 2011 8 2011-08-11T04:00:00Z 2011-09-13T03:59:59Z 2011-08-11T13:04:49Z 2011-20445 0 0 0900006480edde78
SEC-2011-1131-0001 SEC   Shelf Eligibility Conditions for Asset-Backed Securities Proposed Rule   2011-08-05T04:00:00Z 2011 8 2011-08-05T04:00:00Z 2011-10-05T03:59:59Z 2011-08-05T12:24:17Z 2011-19300 0 0 0900006480ed7dca
SEC-2011-1118-0001 SEC   Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants Proposed Rule   2011-08-03T04:00:00Z 2011 8 2011-08-03T04:00:00Z   2011-08-03T12:34:54Z C1-2011-16758 0 0 0900006480ed4b57
SEC-2011-1068-0001 SEC   Acceptance of Public Submissions for Study on International Swap Regulation, etc. Proposed Rule   2011-07-26T04:00:00Z 2011 7 2011-07-26T04:00:00Z 2011-09-27T03:59:59Z 2011-07-26T14:43:37Z 2011-18763 0 0 0900006480ecb719
SEC-2011-1069-0001 SEC   Implementation of Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act Proposed Rule   2011-07-26T04:00:00Z 2011 7 2011-07-26T04:00:00Z   2011-07-26T14:44:07Z 2011-18889 0 0 0900006480ecb720
SEC-2011-1022-0001 SEC   Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants Proposed Rule   2011-07-18T04:00:00Z 2011 7 2011-07-18T04:00:00Z 2011-08-30T03:59:59Z 2011-07-18T14:32:30Z 2011-16758 0 0 0900006480ec440f
SEC-2011-0951-0001 SEC   REGULATORY AGENDA Semiannual Regulatory Agenda Proposed Rule   2011-07-07T04:00:00Z 2011 7 2011-07-07T04:00:00Z 2011-07-01T03:59:59Z 2011-07-07T14:07:31Z 2011-15505 0 0 0900006480ebb6ae
SEC-2011-0893-0001 SEC   Broker-Dealer Reports Proposed Rule   2011-06-27T04:00:00Z 2011 6 2011-06-27T04:00:00Z 2011-08-27T03:59:59Z 2011-06-27T12:36:25Z 2011-15341 0 0 0900006480eb4132
SEC-2011-0836-0001 SEC   Exemptions For Security-Based Swaps Issued By Certain Clearing Agencies Proposed Rule   2011-06-15T04:00:00Z 2011 6 2011-06-15T04:00:00Z 2011-07-26T03:59:59Z 2011-06-15T12:54:28Z 2011-14717 0 0 0900006480e50804
SEC-2011-0810-0001 SEC   Credit Risk Retention Proposed Rule   2011-06-10T04:00:00Z 2011 6 2011-06-10T04:00:00Z 2011-08-02T03:59:59Z 2011-06-11T18:00:04Z 2011-14444 0 0 0900006480e44700
SEC-2011-0792-0001 SEC   Nationally Recognized Statistical Rating Organizations Proposed Rule   2011-06-08T04:00:00Z 2011 6 2011-06-08T04:00:00Z 2011-08-09T03:59:59Z 2011-06-11T18:00:04Z 2011-12659 0 0 0900006480e400f2
SEC-2011-0776-0001 SEC   Mixed Swaps; Security-Based Swap Agreement Recordkeeping: Definitions of Swap, Security-Based Swap, and Security-Based Swap Agreement; Correction Proposed Rule   2011-06-07T04:00:00Z 2011 6 2011-06-07T04:00:00Z   2011-06-11T18:00:03Z 2011-13976 0 0 0900006480e3df2e
SEC-2011-0760-0001 SEC   Disqualification of Felons and Other Bad Actors from Rule 506 Offerings Proposed Rule   2011-06-01T04:00:00Z 2011 6 2011-06-01T04:00:00Z 2011-07-15T03:59:59Z 2011-06-11T18:00:03Z 2011-13370 0 0 0900006480e38d5a
SEC-2011-0734-0001 SEC   Privacy Act; Implementation and Amendment of Exemptions Proposed Rule   2011-05-24T04:00:00Z 2011 5 2011-05-24T04:00:00Z 2011-06-24T03:59:59Z 2011-05-24T13:24:50Z 2011-12694 0 0 0900006480e30f1c
SEC-2011-0733-0001 SEC   Further Definition of Swap, Security-Based Swap, and Security-Based Swap Agreement; Mixed Swaps; Security-Based Swap Agreement Recordkeeping Proposed Rule   2011-05-23T04:00:00Z 2011 5 2011-05-23T04:00:00Z 2011-07-23T03:59:59Z 2011-06-11T18:00:03Z 2011-11008 0 0 0900006480e30770
SEC-2011-0690-0001 SEC   Investment Adviser Performance Compensation Proposed Rule   2011-05-13T04:00:00Z 2011 5 2011-05-13T04:00:00Z 2011-07-12T03:59:59Z 2011-06-11T18:00:02Z 2011-11801 0 0 0900006480c79ec1
SEC-2011-0635-0001 SEC   Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 Proposed Rule   2011-05-06T04:00:00Z 2011 5 2011-05-06T04:00:00Z 2011-07-06T03:59:59Z 2011-06-11T18:00:02Z 2011-10619 0 0 0900006480c411c8
SEC-2011-0619-0001 SEC   Listing Standards for Compensation Committees Proposed Rule   2011-05-04T04:00:00Z 2011 5 2011-05-04T04:00:00Z 2011-05-20T03:59:59Z 2011-06-11T18:00:01Z 2011-10868 0 0 0900006480c3eb4d
SEC-2011-0596-0001 SEC   Credit Risk Retention Proposed Rule   2011-04-29T04:00:00Z 2011 4 2011-04-29T04:00:00Z 2011-06-11T03:59:59Z 2011-06-11T18:00:01Z 2011-08364 0 0 0900006480c3beb9
SEC-2011-0585-0001 SEC   Swaps and Security-Based Swaps Under the Dodd-Frank Wall Street Reform and Consumer Protection Act: Joint Public Roundtable on Issues Related to the Schedule for Implementing Final Rules Proposed Rule   2011-04-26T04:00:00Z 2011 4 2011-04-26T04:00:00Z   2011-04-26T14:02:25Z 2011-10158 0 0 0900006480c3979d
SEC-2011-0553-0001 SEC   Incentive-based Compensation Arrangements Proposed Rule   2011-04-14T04:00:00Z 2011 4 2011-04-14T04:00:00Z 2011-06-01T03:59:59Z 2011-06-11T18:00:01Z 2011-07937 0 0 0900006480c2c5d3
SEC-2011-0456-0001 SEC   Listing Standards for Compensation Committees Proposed Rule   2011-04-06T04:00:00Z 2011 4 2011-04-06T04:00:00Z 2011-04-30T03:59:59Z 2011-06-11T18:00:00Z 2011-07948 0 0 0900006480c1d039
SEC-2011-0401-0001 SEC   Transfer Agents', Brokers', and Dealers' Obligation to Search for Lost Securityholders, etc. Proposed Rule   2011-03-25T04:00:00Z 2011 3 2011-03-25T04:00:00Z 2011-05-10T03:59:59Z 2011-06-11T18:00:00Z 2011-06940 0 0 0900006480c10852
SEC-2011-0386-0001 SEC   Beneficial Ownership Reporting Requirements and Security-Based Swaps Proposed Rule   2011-03-22T04:00:00Z 2011 3 2011-03-22T04:00:00Z 2011-04-16T03:59:59Z 2011-06-11T18:00:00Z 2011-06685 0 0 0900006480c0d472
SEC-2011-0360-0001 SEC   Clearing Agency Standards for Operation and Governance Proposed Rule   2011-03-16T04:00:00Z 2011 3 2011-03-16T04:00:00Z 2011-04-30T03:59:59Z 2011-06-11T18:00:00Z 2011-05182 0 0 0900006480c08cfd
SEC-2011-0321-0001 SEC   References to Credit Ratings in Certain Investment Company Act Rules And Forms Proposed Rule   2011-03-09T05:00:00Z 2011 3 2011-03-09T05:00:00Z 2011-04-26T03:59:59Z 2011-06-11T17:59:59Z 2011-05184 0 0 0900006480c03f79
SEC-2011-0311-0001 SEC   Ownership Limitations and Governance Requirements: Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges, etc. Proposed Rule   2011-03-08T05:00:00Z 2011 3 2011-03-08T05:00:00Z 2011-04-30T03:59:59Z 2011-06-11T17:59:59Z 2011-05183 0 0 0900006480c03278
SEC-2011-0251-0001 SEC   Registration and Regulation of Security-Based Swap Execution Facilities Proposed Rule   2011-02-28T05:00:00Z 2011 2 2011-02-28T05:00:00Z 2011-04-05T03:59:59Z 2011-06-11T17:59:59Z 2011-02696 0 0 0900006480bfa5aa
SEC-2011-0221-0001 SEC   Security Ratings Proposed Rule   2011-02-16T05:00:00Z 2011 2 2011-02-16T05:00:00Z 2011-03-29T03:59:59Z 2011-06-11T17:59:58Z 2011-03259 0 0 0900006480bf03e2
SEC-2011-0198-0001 SEC   Reporting by Investment Advisers to Private Funds, et al., on Form PF Proposed Rule   2011-02-11T05:00:00Z 2011 2 2011-02-11T05:00:00Z 2011-04-13T03:59:59Z 2011-06-11T17:59:58Z 2011-02175 0 0 0900006480becd27
SEC-2011-0153-0001 SEC   Mine Safety Disclosure Proposed Rule   2011-02-03T05:00:00Z 2011 2 2011-02-03T05:00:00Z 2011-03-03T04:59:59Z 2011-06-11T17:59:57Z 2011-02373 0 0 0900006480bda2c0
SEC-2011-0162-0001 SEC   Conflict Minerals Proposed Rule   2011-02-03T05:00:00Z 2011 2 2011-02-03T05:00:00Z 2011-03-03T04:59:59Z 2011-06-11T17:59:58Z 2011-02374 0 0 0900006480bda3ee
SEC-2011-0159-0001 SEC   Disclosure of Payments by Resource Extraction Issuers Proposed Rule   2011-02-03T05:00:00Z 2011 2 2011-02-03T05:00:00Z 2011-03-03T04:59:59Z 2011-06-11T17:59:57Z 2011-02359 0 0 0900006480bda38f
SEC-2011-0127-0001 SEC   Net Worth Standard for Accredited Investors Proposed Rule   2011-01-31T05:00:00Z 2011 1 2011-01-31T05:00:00Z 2011-03-12T04:59:59Z 2011-06-11T17:59:57Z 2011-01922 0 0 0900006480bd6758
SEC-2011-0097-0001 SEC   Trade Acknowledgement and Verification of Security-Based Swap Transactions Proposed Rule   2011-01-21T05:00:00Z 2011 1 2011-01-21T05:00:00Z 2011-02-23T04:59:59Z 2011-06-11T17:59:56Z 2011-01218 0 0 0900006480bcfa69
SEC-2011-0065-0001 SEC   Security-Based Swap Data Repository Registration, Duties, and Core Principles; Correction Proposed Rule   2011-01-13T05:00:00Z 2011 1 2011-01-13T05:00:00Z   2011-06-11T17:59:55Z C2-2010-29719 0 0 0900006480bca37e
SEC-2011-0055-0001 SEC   Suspension of Duty to File Reports for Classes of Asset-Backed Securities Proposed Rule   2011-01-12T05:00:00Z 2011 1 2011-01-12T05:00:00Z 2011-02-08T04:59:59Z 2011-06-11T17:59:55Z 2011-00416 0 0 0900006480bc97e0
SEC-2011-0022-0001 SEC   Registration of Municipal Advisors Proposed Rule   2011-01-06T05:00:00Z 2011 1 2011-01-06T05:00:00Z 2011-02-23T04:59:59Z 2011-06-11T17:59:55Z 2010-32445 0 0 0900006480bc5ee6

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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;