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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

33 rows where agency_id = "SEC", document_type = "Rule" and posted_year = 2019 sorted by posted_date descending

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Suggested facets: title, posted_date, posted_month, comment_start_date, posted_date (date), comment_start_date (date), last_modified (date)

posted_year 1

  • 2019 · 33 ✖

document_type 1

  • Rule · 33 ✖

agency_id 1

  • SEC · 33 ✖
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posted_date ▲ posted_year posted_month comment_start_date comment_end_date last_modified fr_doc_num open_for_comment withdrawn object_id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

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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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