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

Data license: Public Domain (U.S. Government data) · Data source: Federal Register API & Regulations.gov API

26 rows where agency_id = "SEC", document_type = "Proposed Rule" and posted_year = 2023 sorted by posted_date descending

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posted_year 1

  • 2023 · 26 ✖

document_type 1

  • Proposed Rule · 26 ✖

agency_id 1

  • SEC · 26 ✖
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posted_date ▲ posted_year posted_month comment_start_date comment_end_date last_modified fr_doc_num open_for_comment withdrawn object_id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-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

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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;
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