Title 17 published on 2015-04-01 .
The following are only the Rules published in the Federal Register after the published date of Title 17.
For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.
2015-11-16; vol. 80 # 220 - Monday, November 16, 2015 80 FR 71388 - Crowdfunding
GPO FDSys: XML | Text Additional Documents SECURITIES AND EXCHANGE COMMISSION Final rule. The final rules and forms are effective May 16, 2016, except that instruction 3 adding part 227 and instruction 15 amending Form ID are effective January 29, 2016. 17 CFR Parts 200, 227, 232, 239, 240, 249, 269, and 274 Summary The Securities and Exchange Commission is adopting new Regulation Crowdfunding under the Securities Act of 1933 and the Securities Exchange Act of 1934 to implement the requirements of Title III of the Jumpstart Our Business Startups Act. Regulation Crowdfunding prescribes rules governing the offer and sale of securities under new Section 4(a)(6) of the Securities Act of 1933. Regulation Crowdfunding also provides a framework for the regulation of registered funding portals and broker-dealers that issuers are required to use as intermediaries in the offer and sale of securities in reliance on Section 4(a)(6). In addition, Regulation Crowdfunding conditionally exempts securities sold pursuant to Section 4(a)(6) from the registration requirements of Section 12(g) of the Securities Exchange Act of 1934.
2015-08-18; vol. 80 # 159 - Tuesday, August 18, 2015 80 FR 50104 - Pay Ratio Disclosure
GPO FDSys: XML | Text Additional Documents SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: October 19, 2015. Compliance Date: Registrants must comply with the final rule for the first fiscal year beginning on or after January 1, 2017. 17 CFR Parts 229, 240, and 249 Summary We are adopting amendments to Item 402 of Regulation S-K to implement Section 953(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Section 953(b) directs the Commission to amend Item 402 of Regulation S-K to require disclosure of the median of the annual total compensation of all employees of a registrant (excluding the chief executive officer), the annual total compensation of that registrant's chief executive officer, and the ratio of the median of the annual total compensation of all employees to the annual total compensation of the chief executive officer. The disclosure is required in any annual report, proxy or information statement, or registration statement that requires executive compensation disclosure pursuant to Item 402 of Regulation S-K. The disclosure requirement does not apply to emerging growth companies, smaller reporting companies, or foreign private issuers.
2015-08-14; vol. 80 # 157 - Friday, August 14, 2015 80 FR 48964 - Registration Process for Security-Based Swap Dealers and Major Security-Based Swap Participants
GPO FDSys: XML | Text Additional Documents SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: October 13, 2015. Compliance Date: The later of: Six months after the date of publication in the Federal Register of a final rule release adopting rules establishing capital, margin and segregation requirements for SBS Entities; the compliance date of final rules establishing recordkeeping and reporting requirements for SBS Entities; the compliance date of final rules establishing business conduct requirements under Exchange Act Sections 15F(h) and 15F(k); or the compliance date for final rules establishing a process for a registered SBS Entity to make an application to the Commission to allow an associated person who is subject to a statutory disqualification to effect or be involved in effecting security-based swaps on the SBS Entity's behalf. Counting Date: For purposes of complying with the registration and other requirements, persons are not required to begin calculating whether their activities meet or exceed the thresholds established in Exchange Act Rules 3a71-2, 3a67-3, and 3a67-5 until two months prior to the Compliance Date of these rules. 17 CFR Parts 240 and 249 Summary The Securities and Exchange Commission (the “Commission”) is adopting new Rules 15Fb1-1 through 15Fb6-2 and Forms SBSE, SBSE-A, SBSE-BD, SBSE-C and SBSE-W in accordance with Section 15F of the Securities Exchange Act of 1934 (the “Exchange Act”). Section 15F, which was added to the Exchange Act by Section 764(a) of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), requires the Commission to issue rules to provide for the registration of security-based swap dealers (“SBS Dealers”) and major security-based swap participants (“Major SBS Participants”) (collectively, “SBS Entities”). These new rules and forms establish a process by which SBS Entities can register (and withdraw from registration) with the Commission.
2015-06-19; vol. 80 # 118 - Friday, June 19, 2015 80 FR 35207 - Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A)
GPO FDSys: XML | Text Additional Documents SECURITIES AND EXCHANGE COMMISSION Final rule; correction. This correction is effective June 19, 2015. 17 CFR Parts 200, 230, 232, 239, 240, 249 and 260 Summary This document corrects the designation of a paragraph in Item 6 of Part I to Form 1-A in a final rule published in the Federal Register of April 20, 2015, regarding the Amendments for Small and Additional Issues Exemptions under the Securities Act (Regulation A).
2015-06-04; vol. 80 # 107 - Thursday, June 4, 2015 80 FR 31836 - Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A)
GPO FDSys: XML | Text Additional Documents SECURITIES AND EXCHANGE COMMISSION Final rule; correction. This correction is effective June 19, 2015. 17 CFR Parts 200, 230, 232, 239, 240, 249, and 260 Summary This document corrects an instruction for the authority to part 200 in a final rule published in the Federal Register of April 20, 2015 regarding the Amendments for Small and Additional Issues Exemptions under the Securities Act (Regulation A).
2015-04-20; vol. 80 # 75 - Monday, April 20, 2015 80 FR 21806 - Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A)
GPO FDSys: XML | Text Additional Documents SECURITIES AND EXCHANGE COMMISSION Final rules. The final rules and form amendments are effective on June 19, 2015. 17 CFR Parts 200, 230, 232, 239, 240, 249, and 260 Summary We are adopting amendments to Regulation A and other rules and forms to implement Section 401 of the Jumpstart Our Business Startups (JOBS) Act. Section 401 of the JOBS Act added Section 3(b)(2) to the Securities Act of 1933, which directs the Commission to adopt rules exempting from the registration requirements of the Securities Act offerings of up to $50 million of securities annually. The final rules include issuer eligibility requirements, content and filing requirements for offering statements, and ongoing reporting requirements for issuers in Regulation A offerings.
Title 17 published on 2015-04-01
The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR Part 249 after this date.
2015-11-16; vol. 80 # 220 - Monday, November 16, 2015 80 FR 71388 - Crowdfunding
GPO FDSys XML | Text Additional Documents SECURITIES AND EXCHANGE COMMISSION Final rule. The final rules and forms are effective May 16, 2016, except that instruction 3 adding part 227 and instruction 15 amending Form ID are effective January 29, 2016. 17 CFR Parts 200, 227, 232, 239, 240, 249, 269, and 274 Summary The Securities and Exchange Commission is adopting new Regulation Crowdfunding under the Securities Act of 1933 and the Securities Exchange Act of 1934 to implement the requirements of Title III of the Jumpstart Our Business Startups Act. Regulation Crowdfunding prescribes rules governing the offer and sale of securities under new Section 4(a)(6) of the Securities Act of 1933. Regulation Crowdfunding also provides a framework for the regulation of registered funding portals and broker-dealers that issuers are required to use as intermediaries in the offer and sale of securities in reliance on Section 4(a)(6). In addition, Regulation Crowdfunding conditionally exempts securities sold pursuant to Section 4(a)(6) from the registration requirements of Section 12(g) of the Securities Exchange Act of 1934.
2015-08-18; vol. 80 # 159 - Tuesday, August 18, 2015 80 FR 50104 - Pay Ratio Disclosure
GPO FDSys XML | Text Additional Documents SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: October 19, 2015. Compliance Date: Registrants must comply with the final rule for the first fiscal year beginning on or after January 1, 2017. 17 CFR Parts 229, 240, and 249 Summary We are adopting amendments to Item 402 of Regulation S-K to implement Section 953(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Section 953(b) directs the Commission to amend Item 402 of Regulation S-K to require disclosure of the median of the annual total compensation of all employees of a registrant (excluding the chief executive officer), the annual total compensation of that registrant's chief executive officer, and the ratio of the median of the annual total compensation of all employees to the annual total compensation of the chief executive officer. The disclosure is required in any annual report, proxy or information statement, or registration statement that requires executive compensation disclosure pursuant to Item 402 of Regulation S-K. The disclosure requirement does not apply to emerging growth companies, smaller reporting companies, or foreign private issuers.
2015-08-14; vol. 80 # 157 - Friday, August 14, 2015 80 FR 48964 - Registration Process for Security-Based Swap Dealers and Major Security-Based Swap Participants
GPO FDSys XML | Text Additional Documents SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: October 13, 2015. Compliance Date: The later of: Six months after the date of publication in the Federal Register of a final rule release adopting rules establishing capital, margin and segregation requirements for SBS Entities; the compliance date of final rules establishing recordkeeping and reporting requirements for SBS Entities; the compliance date of final rules establishing business conduct requirements under Exchange Act Sections 15F(h) and 15F(k); or the compliance date for final rules establishing a process for a registered SBS Entity to make an application to the Commission to allow an associated person who is subject to a statutory disqualification to effect or be involved in effecting security-based swaps on the SBS Entity's behalf. Counting Date: For purposes of complying with the registration and other requirements, persons are not required to begin calculating whether their activities meet or exceed the thresholds established in Exchange Act Rules 3a71-2, 3a67-3, and 3a67-5 until two months prior to the Compliance Date of these rules. 17 CFR Parts 240 and 249 Summary The Securities and Exchange Commission (the “Commission”) is adopting new Rules 15Fb1-1 through 15Fb6-2 and Forms SBSE, SBSE-A, SBSE-BD, SBSE-C and SBSE-W in accordance with Section 15F of the Securities Exchange Act of 1934 (the “Exchange Act”). Section 15F, which was added to the Exchange Act by Section 764(a) of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), requires the Commission to issue rules to provide for the registration of security-based swap dealers (“SBS Dealers”) and major security-based swap participants (“Major SBS Participants”) (collectively, “SBS Entities”). These new rules and forms establish a process by which SBS Entities can register (and withdraw from registration) with the Commission.
2015-07-14; vol. 80 # 134 - Tuesday, July 14, 2015 80 FR 41144 - Listing Standards for Recovery of Erroneously Awarded Compensation
GPO FDSys XML | Text Additional Documents SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before September 14, 2015. 17 CFR Parts 229, 240, 249, and 274 Summary We are proposing a new rule and rule and form amendments to implement the provisions of Section 954 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, which added Section 10D to the Securities Exchange Act of 1934. Section 10D requires the Commission to adopt rules directing the national securities exchanges and national securities associations to prohibit the listing of any security of an issuer that is not in compliance with Section 10D's requirements for disclosure of the issuer's policy on incentive-based compensation and recovery of incentive-based compensation that is received in excess of what would have been received under an accounting restatement. The proposed rule and rule amendments would direct the national securities exchanges and national securities associations to establish listing standards that would require each issuer to develop and implement a policy providing for the recovery, under certain circumstances, of incentive-based compensation based on financial information required to be reported under the securities laws that is received by current or former executive officers, and require the disclosure of the policy. A listed issuer would be required to file the policy as an exhibit to its annual report.
2015-06-19; vol. 80 # 118 - Friday, June 19, 2015 80 FR 35207 - Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A)
GPO FDSys XML | Text Additional Documents SECURITIES AND EXCHANGE COMMISSION Final rule; correction. This correction is effective June 19, 2015. 17 CFR Parts 200, 230, 232, 239, 240, 249 and 260 Summary This document corrects the designation of a paragraph in Item 6 of Part I to Form 1-A in a final rule published in the Federal Register of April 20, 2015, regarding the Amendments for Small and Additional Issues Exemptions under the Securities Act (Regulation A).
2015-06-12; vol. 80 # 113 - Friday, June 12, 2015 80 FR 33590 - Investment Company Reporting Modernization
GPO FDSys XML | Text Additional Documents SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before August 11, 2015. 17 CFR Parts 200, 210, 230, 232, 239, 240, 249, 270, 274 Summary The Securities and Exchange Commission is proposing new rules and forms as well as amendments to its rules and forms to modernize the reporting and disclosure of information by registered investment companies. The Commission is proposing new Form N-PORT, which would require certain registered investment companies to report information about their monthly portfolio holdings to the Commission in a structured data format. In addition, the Commission is proposing amendments to Regulation S-X, which would require standardized, enhanced disclosure about derivatives in investment company financial statements, as well as other amendments. The Commission is also proposing new rule 30e-3, which would permit but not require registered investment companies to transmit periodic reports to their shareholders by making the reports accessible on a Web site and satisfying certain other conditions. The Commission is proposing new Form N-CEN, which would require registered investment companies, other than face amount certificate companies, to annually report certain census-type information to the Commission in a structured data format. Finally, the Commission is proposing to rescind current Forms N-Q and N-SAR and to amend certain other rules and forms. Collectively, these amendments would, among other things, improve the information that the Commission receives from investment companies and assist the Commission, in its role as primary regulator of investment companies, to better fulfill its mission of protecting investors, maintaining fair, orderly and efficient markets, and facilitating capital formation. Investors and other potential users could also utilize this information to help investors make more informed investment decisions.
2015-06-04; vol. 80 # 107 - Thursday, June 4, 2015 80 FR 31836 - Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A)
GPO FDSys XML | Text Additional Documents SECURITIES AND EXCHANGE COMMISSION Final rule; correction. This correction is effective June 19, 2015. 17 CFR Parts 200, 230, 232, 239, 240, 249, and 260 Summary This document corrects an instruction for the authority to part 200 in a final rule published in the Federal Register of April 20, 2015 regarding the Amendments for Small and Additional Issues Exemptions under the Securities Act (Regulation A).
2015-04-20; vol. 80 # 75 - Monday, April 20, 2015 80 FR 21806 - Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A)
GPO FDSys XML | Text Additional Documents SECURITIES AND EXCHANGE COMMISSION Final rules. The final rules and form amendments are effective on June 19, 2015. 17 CFR Parts 200, 230, 232, 239, 240, 249, and 260 Summary We are adopting amendments to Regulation A and other rules and forms to implement Section 401 of the Jumpstart Our Business Startups (JOBS) Act. Section 401 of the JOBS Act added Section 3(b)(2) to the Securities Act of 1933, which directs the Commission to adopt rules exempting from the registration requirements of the Securities Act offerings of up to $50 million of securities annually. The final rules include issuer eligibility requirements, content and filing requirements for offering statements, and ongoing reporting requirements for issuers in Regulation A offerings.
