83 FR 2022 - Regulatory Flexibility Agenda
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 83, Issue 9 (January 12, 2018)
Federal Register Volume 83, Issue 9 (January 12, 2018)
| Page Range | 2022-2026 | |
| FR Document | 2017-28247 |
[Federal Register Volume 83, Number 9 (Friday, January 12, 2018)] [Unknown Section] [Pages 2022-2026] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2017-28247] [[Page 2021]] Vol. 83 Friday, No. 9 January 12, 2018 Part XXVI Securities and Exchange Commission ----------------------------------------------------------------------- Semiannual Regulatory Agenda Federal Register / Vol. 83 , No. 9 / Friday, January 12, 2018 / Unified Agenda [[Page 2022]] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION 17 CFR Ch. II [Release Nos. 33-10424, 34-81839, IA-4789, IC-32857, File No. S7-07-17] Regulatory Flexibility Agenda AGENCY: Securities and Exchange Commission. ACTION: Semiannual regulatory agenda. ----------------------------------------------------------------------- SUMMARY: The Securities and Exchange Commission is publishing the Chairman's agenda of rulemaking actions pursuant to the Regulatory Flexibility Act (RFA) (Pub. L. 96-354, 94 Stat. 1164) (Sep. 19, 1980). The items listed in the Regulatory Flexibility Agenda for autumn 2017 reflect only the priorities of the Chairman of the U.S. Securities and Exchange Commission, and do not necessarily reflect the view and priorities of any individual Commissioner. Information in the agenda was accurate on October 6, 2017, the date on which the Commission's staff completed compilation of the data. To the extent possible, rulemaking actions by the Commission since that date have been reflected in the agenda. The Commission invites questions and public comment on the agenda and on the individual agenda entries. The Commission is now printing in the Federal Register, along with our preamble, only those agenda entries for which we have indicated that preparation of an RFA analysis is required. The Commission's complete RFA agenda will be available online at www.reginfo.gov. DATES: Comments should be received on or before February 12, 2018. ADDRESSES: Comments may be submitted by any of the following methods: Electronic CommentsUse the Commission's internet comment form (http://www.sec.gov/rules/other.shtml); or Send an email to rule-comments@sec.gov. Please include File Number S7-07-17 on the subject line; or Use the Federal eRulemaking Portal (http://www.regulations.gov). Follow the instructions for submitting comments. Paper Comments Send paper comments to Brent J. Fields, Secretary, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549-1090. All submissions should refer to File No. S7-07-17. This file number should be included on the subject line if email is used. To help us process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission's internet website (http://www.sec.gov/rules/other.shtml). Comments are also available for website viewing and printing in the Commission's Public Reference Room, 100 F Street NE, Washington, DC 20549, on official business days between the hours of 10:00 a.m. and 3:00 p.m. All comments received will be posted without change; we do not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. FOR FURTHER INFORMATION CONTACT: Mykaila DeLesDernier, Office of the General Counsel, 202-551-5129. SUPPLEMENTARY INFORMATION: The RFA requires each Federal agency, twice each year, to publish in the Federal Register an agenda identifying rules that the agency expects to consider in the next 12 months that are likely to have a significant economic impact on a substantial number of small entities (5 U.S.C. 602(a)). The RFA specifically provides that publication of the agenda does not preclude an agency from considering or acting on any matter not included in the agenda and that an agency is not required to consider or act on any matter that is included in the agenda (5 U.S.C. 602(d)). The Commission may consider or act on any matter earlier or later than the estimated date provided on the agenda. While the agenda reflects the current intent to complete a number of rulemakings in the next year, the precise dates for each rulemaking at this point are uncertain. Actions that do not have an estimated date are placed in the long-term category; the Commission may nevertheless act on items in that category within the next 12 months. The agenda includes new entries, entries carried over from prior publications, and rulemaking actions that have been completed (or withdrawn) since publication of the last agenda. The following abbreviations for the acts administered by the Commission are used in the agenda: ``Securities Act''-- Securities Act of 1933 ``Exchange Act''-- Securities Exchange Act of 1934 ``Investment Company Act''-- Investment Company Act of 1940 ``Investment Advisers Act''-- Investment Advisers Act of 1940 ``Dodd Frank Act''--Dodd-Frank Wall Street Reform and Consumer Protection Act ``JOBS Act''--Jumpstart Our Business Startups Act The Commission invites public comment on the agenda and on the individual agenda entries. By the Commission. Dated: October 6, 2017. Brent J. Fields, Secretary. Division of Corporation Finance--Final Rule Stage ------------------------------------------------------------------------ Regulation Sequence No. Title Identifier No. ------------------------------------------------------------------------ 483....................... Amendments to Interactive 3235-AL59 Data (XBRL) Program. 484....................... Amendments to Smaller 3235-AL90 Reporting Company Definition. 485....................... Modernization of Property 3235-AL81 Disclosures for Mining Registrants. 486....................... Disclosure Update and 3235-AL82 Simplification. ------------------------------------------------------------------------ Division of Corporation Finance--Long-Term Actions ------------------------------------------------------------------------ Regulation Sequence No. Title Identifier No. ------------------------------------------------------------------------ 487....................... Disclosure of Hedging by 3235-AL49 Employees, Officers and Directors. 488....................... Listing Standards for 3235-AK99 Recovery of Erroneously Awarded Compensation. 489....................... Pay Versus Performance.... 3235-AL00 490....................... Universal Proxy........... 3235-AL84 [[Page 2023]] 491....................... Form 10-K Summary......... 3235-AL89 ------------------------------------------------------------------------ Division of Corporation Finance--Completed Actions ------------------------------------------------------------------------ Regulation Sequence No. Title Identifier No. ------------------------------------------------------------------------ 492....................... Amendments to Regulation 3235-AL46 D, Form D and Rule 156 Under the Securities Act. ------------------------------------------------------------------------ Division of Investment Management--Final Rule Stage ------------------------------------------------------------------------ Regulation Sequence No. Title Identifier No. ------------------------------------------------------------------------ 493....................... Investment Company 3235-AL42 Reporting Modernization; Option for Website Transmission of Shareholder Reports. ------------------------------------------------------------------------ Division of Investment Management--Long-Term Actions ------------------------------------------------------------------------ Regulation Sequence No. Title Identifier No. ------------------------------------------------------------------------ 494....................... Reporting of Proxy Votes 3235-AK67 on Executive Compensation and Other Matters. 495....................... Use of Derivatives by 3235-AL60 Registered Investment Companies and Business Development Companies. ------------------------------------------------------------------------ Division of Investment Management--Completed Actions ------------------------------------------------------------------------ Regulation Sequence No. Title Identifier No. ------------------------------------------------------------------------ 496....................... Adviser Business 3235-AL62 Continuity and Transition Plans. ------------------------------------------------------------------------ Division of Trading and Markets--Long-Term Actions ------------------------------------------------------------------------ Regulation Sequence No. Title Identifier No. ------------------------------------------------------------------------ 497....................... Removal of Certain 3235-AL14 References to Credit Ratings Under the Securities Exchange Act of 1934. ------------------------------------------------------------------------ SECURITIES AND EXCHANGE COMMISSION (SEC) Division of Corporation Finance Final Rule Stage 483. Amendments to Interactive Data (XBRL) Program E.O. 13771 Designation: Independent agency. Legal Authority: 15 U.S.C. 77g; 15 U.S.C. 78w(a); 15 U.S.C. 80a-37 Abstract: The Commission proposed amendments to the XBRL rules to provide for companies to use Inline XBRL to file a single combined document. Timetable: ------------------------------------------------------------------------ Action Date FR Cite ------------------------------------------------------------------------ NPRM................................ 03/17/17 82 FR 14282 NPRM Comment Period End............. 05/16/17 Final Action........................ 10/00/18 ------------------------------------------------------------------------ Regulatory Flexibility Analysis Required: Yes. Agency Contact: Mark W. Green, Division of Corporation Finance, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549-0301, Phone: 202 551-3430, Fax: 202 772-9207. RIN: 3235-AL59 484. Amendments to Smaller Reporting Company Definition E.O. 13771 Designation: Independent agency. Legal Authority: Not Yet Determined Abstract: The Commission proposed revisions to the ``smaller reporting company'' definitions and related provisions. Timetable: ------------------------------------------------------------------------ Action Date FR Cite ------------------------------------------------------------------------ NPRM................................ 07/01/16 81 FR 43130 NPRM Comment Period End............. 08/30/16 Final Action........................ 10/00/18 ------------------------------------------------------------------------ Regulatory Flexibility Analysis Required: Yes. Agency Contact: Amy Reischauer, Securities and Exchange Commission, 110 F Street NE, Washington, DC 20549, Phone: 202 551-3460, Email: reischauerp@sec.gov. RIN: 3235-AL90 485. Modernization of Property Disclosures for Mining Registrants E.O. 13771 Designation: Independent agency. Legal Authority: 15 U.S.C. 77c(b); 15 U.S.C. 77g; 15 U.S.C. 77j; 15 U.S.C. 78c(b); 15 U.S.C. 78l; 15 U.S.C. 78m; 15 U.S.C. 78o(d) Abstract: The Commission proposed rules to modernize and clarify the [[Page 2024]] disclosure requirements for companies engaged in mining operations. Timetable: ------------------------------------------------------------------------ Action Date FR Cite ------------------------------------------------------------------------ NPRM................................ 06/27/16 81 FR 41652 NPRM Comment Period End............. 08/26/16 NPRM Comment Period Extended........ 08/26/16 81 FR 58877 NPRM Comment Period Extended End.... 09/26/16 Final Action........................ 10/00/18 ------------------------------------------------------------------------ Regulatory Flexibility Analysis Required: Yes. Agency Contact: Elliot Staffin, Division of Corporation Finance, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549, Phone: 202 551-3450, Email: staffine@sec.gov. RIN: 3235-AL81 486. Disclosure Update and Simplification E.O. 13771 Designation: Independent agency. Legal Authority: 15 U.S.C. 77a et seq.; 15 U.S.C. 78a et seq.; 15 U.S.C. 80a-1 et seq.; Pub. L. 114-94 Abstract: The Commission proposed rules to update certain disclosure requirements in Regulations S-X and S-K that may have become redundant, duplicative, overlapping, outdated or superseded in light of other Commission disclosure requirements, U.S. Generally Accepted Accounting Principles, International Financial Reporting Standards, or changes in the information environment. Timetable: ------------------------------------------------------------------------ Action Date FR Cite ------------------------------------------------------------------------ NPRM................................ 08/04/16 81 FR 51607 NPRM Comment Period Extended........ 09/29/16 81 FR 66898 NPRM Comment Period End............. 10/03/16 NPRM Comment Period Extended End.... 11/02/16 Final Action........................ 10/00/18 ------------------------------------------------------------------------ Regulatory Flexibility Analysis Required: Yes. Agency Contact: Lindsay McCord, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549, Phone: 202 551-3255, Email: mccordl@sec.gov. RIN: 3235-AL82 SECURITIES AND EXCHANGE COMMISSION (SEC) Division of Corporation Finance Long-Term Actions 487. Disclosure of Hedging by Employees, Officers and Directors E.O. 13771 Designation: Independent agency. Legal Authority: Pub. L. 111-203 Abstract: The Commission proposed rules to implement section 955 of the Dodd-Frank Act, which added section 14(j) to the Exchange Act to require annual meeting proxy statement disclosure of whether employees or members of the board of directors are permitted to engage in transactions to hedge or offset any decrease in the market value of equity securities granted to the employee or board member as compensation, or held directly or indirectly by the employee or board member. Timetable: ------------------------------------------------------------------------ Action Date FR Cite ------------------------------------------------------------------------ NPRM................................ 02/17/15 80 FR 8486 NPRM Comment Period End............. 04/20/15 ----------------------------------- Next Action Undetermined............ To Be Determined ------------------------------------------------------------------------ Regulatory Flexibility Analysis Required: Yes. Agency Contact: Carolyn Sherman, Division of Corporation Finance, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549, Phone: 202 551-3500, Email: shermanc@sec.gov. RIN: 3235-AL49 488. Listing Standards for Recovery of Erroneously Awarded Compensation E.O. 13771 Designation: Independent agency. Legal Authority: Pub. L. 111-203, sec. 954; 15 U.S.C. 78j-4 Abstract: The Commission proposed rules to implement section 954 of the Dodd-Frank Act, which requires the Commission to adopt rules to direct national securities exchanges to prohibit the listing of securities of issuers that have not developed and implemented a policy providing for disclosure of the issuer's policy on incentive-based compensation and mandating the clawback of such compensation in certain circumstances. Timetable: ------------------------------------------------------------------------ Action Date FR Cite ------------------------------------------------------------------------ NPRM................................ 07/14/15 80 FR 41144 NPRM Comment Period End............. 09/14/15 ----------------------------------- Next Action Undetermined............ To Be Determined ------------------------------------------------------------------------ Regulatory Flexibility Analysis Required: Yes. Agency Contact: Anne M. Krauskopf, Division of Corporation Finance, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549, Phone: 202 551-3500. RIN: 3235-AK99 489. Pay Versus Performance E.O. 13771 Designation: Independent agency. Legal Authority: Pub. L. 111-203, sec.953(a); 15 U.S.C. 78c(b); 15 U.S.C. 78n; 15 U.S.C. 78w(a); 15 U.S.C. 78mm Abstract: The Commission proposed rules to implement section 953(a) of the Dodd-Frank Act, which added section 14(i) to the Exchange Act to require issuers to disclose information that shows the relationship between executive compensation actually paid and the financial performance of the issuer. Timetable: ------------------------------------------------------------------------ Action Date FR Cite ------------------------------------------------------------------------ NPRM................................ 05/07/15 80 FR 26329 NPRM Comment Period End............. 07/06/15 ----------------------------------- Next Action Undetermined............ To Be Determined ------------------------------------------------------------------------ Regulatory Flexibility Analysis Required: Yes. Agency Contact: Steven G. Hearne, Division of Corporation Finance, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549, Phone: 202 551-3430, Email: hearnes@sec.gov. RIN: 3235-AL00 490. Universal Proxy E.O. 13771 Designation: Independent agency. Legal Authority: 15 U.S.C. 78n; 15 U.S.C. 78w(a) Abstract: The Commission proposed to amend the proxy rules to expand shareholders' ability to vote by proxy to select among duly- nominated candidates in a contested election of directors. Timetable: ------------------------------------------------------------------------ Action Date FR Cite ------------------------------------------------------------------------ NPRM................................ 11/10/16 81 FR 79122 NPRM Comment Period End............. 01/09/17 ----------------------------------- [[Page 2025]] Next Action Undetermined............ To Be Determined ------------------------------------------------------------------------ Regulatory Flexibility Analysis Required: Yes. Agency Contact: Steven G. Hearne, Division of Corporation Finance, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549, Phone: 202 551-3430, Email: hearnes@sec.gov. RIN: 3235-AL84 491. Form 10-K Summary E.O. 13771 Designation: Independent agency. Legal Authority: Pub. L. 114-94; 15 U.S.C. 78c; 15 U.S.C. 78l; 15 U.S.C. 78m; 15 U.S.C. 78o; 15 U.S.C. 78w Abstract: The Commission adopted an interim final amendment to implement Section 72001 of the FAST Act by permitting an issuer to include a summary in its Form l0-K and also requested comment on the interim final amendment. Timetable: ------------------------------------------------------------------------ Action Date FR Cite ------------------------------------------------------------------------ Interim Final Rule.................. 06/09/16 81 FR 37132 Interim Final Rule Effective........ 06/09/16 Interim Final Rule Comment Period 07/11/16 End. ----------------------------------- Next Action Undetermined............ To Be Determined ------------------------------------------------------------------------ Regulatory Flexibility Analysis Required: Yes. Agency Contact: Sean Harrison, Division of Corporation Finance, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549, Phone: 202 551-3430, Fax: 202 772-9207, Email: harrisons@sec.gov. RIN: 3235-AL89 SECURITIES AND EXCHANGE COMMISSION (SEC) Division of Corporation Finance Completed Actions 492. Amendments to Regulation D, Form D and Rule 156 Under the Securities Act E.O. 13771 Designation: Independent agency. Legal Authority: 15 U.S.C. 77a et seq. Abstract: The Commission proposed rule and form amendments to enhance the Commission's ability to evaluate the development of market practices in offerings under Rule 506 of Regulation D and address concerns that may arise in connection with permitting issuers to engage in general solicitation and general advertising under new paragraph (c) of Rule 506. Timetable: ------------------------------------------------------------------------ Action Date FR Cite ------------------------------------------------------------------------ NPRM................................ 07/24/13 78 FR 44806 NPRM Comment Period End............. 09/23/13 NPRM Comment Period Reopened........ 10/03/13 78 FR 61222 NPRM Comment Period Reopened End.... 11/04/13 Withdrawn........................... 09/13/17 ------------------------------------------------------------------------ Regulatory Flexibility Analysis Required: Yes. Agency Contact: Mark Vilardo, Division of Corporation Finance, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549, Phone: 202 551-3500, Email: vilardom@sec.gov. RIN: 3235-AL46 SECURITIES AND EXCHANGE COMMISSION (SEC) Division of Investment Management Final Rule Stage 493. Investment Company Reporting Modernization; Option for Website Transmission of Shareholder Reports E.O. 13771 Designation: Independent Agency. Legal Authority: 15 U.S.C. 77 et seq.; 15 U.S.C. 77aaa et seq.; 15 U.S.C. 78a et seq.; 15 U.S.C. 80a et seq.; 44 U.S.C. 3506; 44 U.S.C. 3507 Abstract: The Commission adopted 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 proposed 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 website and satisfying certain other conditions. The Commission has not finalized proposed rule 30e-3. Timetable: ------------------------------------------------------------------------ Action Date FR Cite ------------------------------------------------------------------------ NPRM................................ 06/12/15 80 FR 33590 NPRM Comment Period End............. 08/11/15 NPRM Comment Period Reopened........ 10/12/15 80 FR 62274 NPRM Comment Period Reopened End.... 01/13/16 Final Action........................ 11/18/16 81 FR 81870 Final Action Effective.............. 01/17/17 Final Action........................ 10/00/18 ------------------------------------------------------------------------ Regulatory Flexibility Analysis Required: Yes. Agency Contact: Brian Johnson, Division of Investment Management, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549, Phone: 202 551-6740, Email: johnsonbm@sec.gov. RIN: 3235-AL42 SECURITIES AND EXCHANGE COMMISSION (SEC) Division of Investment Management Long-Term Actions 494. Reporting of Proxy Votes on Executive Compensation and Other Matters E.O. 13771 Designation: Independent agency. Legal Authority: 15 U.S.C. 78m; 15 U.S.C. 78w(a); 15 U.S.C. 78mm; 15 U.S.C. 78x; 15 U.S.C. 80a-8; 15 U.S.C. 80a-29; 15 U.S.C. 80a-30; 15 U.S.C. 80a-37; 15 U.S.C. 80a-44; Pub. L. 111-203, sec 951 Abstract: The Division is considering recommending that the Commission repropose rule amendments to implement section 951 of the Dodd-Frank Act. The Commission previously proposed amendments to rules and Form N-PX that would require institutional investment managers subject to section 13(f) of the Exchange Act to report how they voted on any shareholder vote on executive compensation or golden parachutes pursuant to sections 14A(a) and (b) of the Exchange Act. Timetable: ------------------------------------------------------------------------ Action Date FR Cite ------------------------------------------------------------------------ NPRM................................ 10/28/10 75 FR 66622 NPRM Comment Period End............. 11/18/10 ----------------------------------- Next Action Undetermined............ To Be Determined ------------------------------------------------------------------------ Regulatory Flexibility Analysis Required: Yes. Agency Contact: Matthew DeLesDernier, Division of Investment Management, Securities and Exchange Commission, 100 F Street NE, [[Page 2026]] Washington, DC 20549, Phone: 202 551-6792, Email: delesdernierj@sec.gov. RIN: 3235-AK67 495. Use of Derivatives by Registered Investment Companies and Business Development Companies E.O. 13771 Designation: Independent agency. Legal Authority: 15 U.S.C. 80a-6(c); 15 U.S.C. 80a-31(a); 15 U.S.C. 80a-12(a); 15 U.S.C. 80a-38(a); 15 U.S.C. 80a-8; 15 U.S.C. 80a-30; 15 U.S.C. 80a-38 Abstract: The Commission proposed a new rule designed to enhance the regulation of the use of derivatives by registered investment companies, including mutual funds, exchange-traded funds, closed-end funds and business development companies. The proposed rule would regulate registered investment companies' use of derivatives and require enhanced risk management measures. Timetable: ------------------------------------------------------------------------ Action Date FR Cite ------------------------------------------------------------------------ NPRM................................ 12/28/15 80 FR 80884 NPRM Comment Period End............. 03/28/16 ----------------------------------- Next Action Undetermined............ To Be Determined ------------------------------------------------------------------------ Regulatory Flexibility Analysis Required: Yes. Agency Contact: Brian Johnson, Division of Investment Management, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549, Phone: 202 551-6740, Email: johnsonbm@sec.gov. RIN: 3235-AL60 SECURITIES AND EXCHANGE COMMISSION (SEC) Division of Investment Management Completed Actions 496. Adviser Business Continuity and Transition Plans E.O. 13771 Designation: Independent agency. Legal Authority: 15 U.S.C. 80b-4; 15 U.S.C. 80b-6(4); 15 U.S.C. 80b-11(a) Abstract: The Commission proposed a new rule that would require investment advisers registered with the Commission to adopt and implement written business continuity and transition plans. Timetable: ------------------------------------------------------------------------ Action Date FR Cite ------------------------------------------------------------------------ NPRM................................ 07/05/16 81 FR 43530 NPRM Comment Period End............. 09/06/16 Withdrawn........................... 09/13/17 ------------------------------------------------------------------------ Regulatory Flexibility Analysis Required: Yes. Agency Contact: Sara Cortes, Division of Investment Management, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549, Phone: 202 551-5137, Email: cortess@sec.gov. RIN: 3235-AL62 SECURITIES AND EXCHANGE COMMISSION (SEC) Division of Trading and Markets Long-Term Actions 497. Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 E.O. 13771 Designation: Independent agency. Legal Authority: Pub. L. 111-203, sec. 939A Abstract: Section 939A of the Dodd-Frank Act requires the Commission to remove certain references to credit ratings from its regulations and to substitute such standards of creditworthiness as the Commission determines to be appropriate. The Commission amended certain rules and one form under the Exchange Act applicable to broker-dealer financial responsibility, and confirmation of transactions. The Commission has not yet finalized amendments to certain rules regarding the distribution of securities. Timetable: ------------------------------------------------------------------------ Action Date FR Cite ------------------------------------------------------------------------ NPRM................................ 05/06/11 76 FR 26550 NPRM Comment Period End............. 07/05/11 Final Action........................ 01/08/14 79 FR 1522 Final Action Effective.............. 07/07/14 ----------------------------------- Next Action Undetermined............ To Be Determined ------------------------------------------------------------------------ Regulatory Flexibility Analysis Required: Yes. Agency Contact: John Guidroz, Division of Trading and Markets, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549, Phone: 202 551-6439, Email: guidrozj@sec.gov. RIN: 3235-AL14 [FR Doc. 2017-28247 Filed 1-11-18; 8:45 am] BILLING CODE 8011-01-P
![2022 Federal Register / Vol. 83, No. 9 / Friday, January 12, 2018 / Unified Agenda
SECURITIES AND EXCHANGE Electronic Comments provides that publication of the agenda
COMMISSION • Use the Commission’s internet does not preclude an agency from
comment form (http://www.sec.gov/ considering or acting on any matter not
17 CFR Ch. II included in the agenda and that an
rules/other.shtml); or
[Release Nos. 33–10424, 34–81839, IA–4789, • Send an email to rule-comments@ agency is not required to consider or act
IC–32857, File No. S7–07–17] sec.gov. Please include File Number S7– on any matter that is included in the
07–17 on the subject line; or agenda (5 U.S.C. 602(d)). The
Regulatory Flexibility Agenda • Use the Federal eRulemaking Portal Commission may consider or act on any
(http://www.regulations.gov). Follow the matter earlier or later than the estimated
AGENCY: Securities and Exchange
instructions for submitting comments. date provided on the agenda. While the
Commission.
agenda reflects the current intent to
ACTION: Semiannual regulatory agenda. Paper Comments complete a number of rulemakings in
SUMMARY: The Securities and Exchange • Send paper comments to Brent J. the next year, the precise dates for each
Commission is publishing the Fields, Secretary, Securities and rulemaking at this point are uncertain.
Chairman’s agenda of rulemaking Exchange Commission, 100 F Street NE, Actions that do not have an estimated
actions pursuant to the Regulatory Washington, DC 20549–1090. date are placed in the long-term
Flexibility Act (RFA) (Pub. L. 96–354, All submissions should refer to File category; the Commission may
94 Stat. 1164) (Sep. 19, 1980). The items No. S7–07–17. This file number should nevertheless act on items in that
listed in the Regulatory Flexibility be included on the subject line if email category within the next 12 months. The
Agenda for autumn 2017 reflect only the is used. To help us process and review agenda includes new entries, entries
priorities of the Chairman of the U.S. your comments more efficiently, please carried over from prior publications,
Securities and Exchange Commission, use only one method. The Commission and rulemaking actions that have been
and do not necessarily reflect the view will post all comments on the completed (or withdrawn) since
and priorities of any individual Commission’s internet website (http:// publication of the last agenda.
Commissioner. www.sec.gov/rules/other.shtml). The following abbreviations for the
Information in the agenda was Comments are also available for website acts administered by the Commission
accurate on October 6, 2017, the date on viewing and printing in the are used in the agenda:
which the Commission’s staff completed Commission’s Public Reference Room, ‘‘Securities Act’’— Securities Act of
compilation of the data. To the extent 100 F Street NE, Washington, DC 20549, 1933
possible, rulemaking actions by the on official business days between the
hours of 10:00 a.m. and 3:00 p.m. All ‘‘Exchange Act’’— Securities Exchange
Commission since that date have been
comments received will be posted Act of 1934
reflected in the agenda. The
Commission invites questions and without change; we do not edit personal ‘‘Investment Company Act’’—
public comment on the agenda and on identifying information from Investment Company Act of 1940
the individual agenda entries. submissions. You should submit only ‘‘Investment Advisers Act’’—
The Commission is now printing in information that you wish to make Investment Advisers Act of 1940
the Federal Register, along with our available publicly. ‘‘Dodd Frank Act’’—Dodd-Frank Wall
preamble, only those agenda entries for FOR FURTHER INFORMATION CONTACT: Street Reform and Consumer
which we have indicated that Mykaila DeLesDernier, Office of the Protection Act
preparation of an RFA analysis is General Counsel, 202–551–5129. ‘‘JOBS Act’’—Jumpstart Our Business
required. SUPPLEMENTARY INFORMATION: The RFA Startups Act
The Commission’s complete RFA requires each Federal agency, twice
agenda will be available online at The Commission invites public
each year, to publish in the Federal comment on the agenda and on the
www.reginfo.gov. Register an agenda identifying rules that individual agenda entries.
DATES: Comments should be received on the agency expects to consider in the
or before February 12, 2018. next 12 months that are likely to have By the Commission.
ADDRESSES: Comments may be a significant economic impact on a Dated: October 6, 2017.
submitted by any of the following substantial number of small entities (5 Brent J. Fields,
methods: U.S.C. 602(a)). The RFA specifically Secretary.
DIVISION OF CORPORATION FINANCE—FINAL RULE STAGE
Regulation
Sequence No. Title Identifier No.
483 .................... Amendments to Interactive Data (XBRL) Program ......................................................................................... 3235–AL59
484 .................... Amendments to Smaller Reporting Company Definition ................................................................................. 3235–AL90
485 .................... Modernization of Property Disclosures for Mining Registrants ....................................................................... 3235–AL81
486 .................... Disclosure Update and Simplification .............................................................................................................. 3235–AL82
sradovich on DSK3GMQ082PROD with PROPOSALS
DIVISION OF CORPORATION FINANCE—LONG-TERM ACTIONS
Regulation
Sequence No. Title Identifier No.
487 .................... Disclosure of Hedging by Employees, Officers and Directors ........................................................................ 3235–AL49
488 .................... Listing Standards for Recovery of Erroneously Awarded Compensation ....................................................... 3235–AK99
489 .................... Pay Versus Performance ................................................................................................................................. 3235–AL00
490 .................... Universal Proxy ................................................................................................................................................ 3235–AL84
VerDate Sep<11>2014 20:29 Jan 11, 2018 Jkt 244001 PO 00000 Frm 00002 Fmt 4701 Sfmt 4702 E:\FR\FM\12JAP26.SGM 12JAP26](https://thefederalregister.org/doc/83_FR_2031/page/1.svg)
![2026 Federal Register / Vol. 83, No. 9 / Friday, January 12, 2018 / Unified Agenda
Washington, DC 20549, Phone: 202 551– SECURITIES AND EXCHANGE Legal Authority: Pub. L. 111–203, sec.
6792, Email: delesdernierj@sec.gov. COMMISSION (SEC) 939A
RIN: 3235–AK67 Division of Investment Management Abstract: Section 939A of the Dodd-
495. Use of Derivatives by Registered Frank Act requires the Commission to
Completed Actions
Investment Companies and Business remove certain references to credit
Development Companies 496. Adviser Business Continuity and ratings from its regulations and to
Transition Plans substitute such standards of
E.O. 13771 Designation: Independent E.O. 13771 Designation: Independent creditworthiness as the Commission
agency. agency. determines to be appropriate. The
Legal Authority: 15 U.S.C. 80a–6(c); Legal Authority: 15 U.S.C. 80b–4; 15 Commission amended certain rules and
15 U.S.C. 80a–31(a); 15 U.S.C. 80a– U.S.C. 80b–6(4); 15 U.S.C. 80b–11(a) one form under the Exchange Act
12(a); 15 U.S.C. 80a–38(a); 15 U.S.C. Abstract: The Commission proposed a applicable to broker-dealer financial
80a–8; 15 U.S.C. 80a–30; 15 U.S.C. 80a– new rule that would require investment responsibility, and confirmation of
38 advisers registered with the Commission transactions. The Commission has not
to adopt and implement written yet finalized amendments to certain
Abstract: The Commission proposed a business continuity and transition
new rule designed to enhance the rules regarding the distribution of
plans. securities.
regulation of the use of derivatives by Timetable:
registered investment companies, Timetable:
including mutual funds, exchange- Action Date FR Cite
traded funds, closed-end funds and Action Date FR Cite
business development companies. The NPRM .................. 07/05/16 81 FR 43530
proposed rule would regulate registered NPRM Comment 09/06/16 NPRM .................. 05/06/11 76 FR 26550
Period End. NPRM Comment 07/05/11
investment companies’ use of
Withdrawn ........... 09/13/17 Period End.
derivatives and require enhanced risk
management measures. Final Action ......... 01/08/14 79 FR 1522
Regulatory Flexibility Analysis Final Action Effec- 07/07/14
Timetable: Required: Yes. tive.
Agency Contact: Sara Cortes, Division
Action Date FR Cite of Investment Management, Securities Next Action Unde- To Be Determined
and Exchange Commission, 100 F Street termined.
NPRM .................. 12/28/15 80 FR 80884 NE, Washington, DC 20549, Phone: 202
NPRM Comment 03/28/16 551–5137, Email: cortess@sec.gov.
Period End. Regulatory Flexibility Analysis
RIN: 3235–AL62
Required: Yes.
Next Action Unde- To Be Determined Agency Contact: John Guidroz,
termined.
Division of Trading and Markets,
SECURITIES AND EXCHANGE Securities and Exchange Commission,
Regulatory Flexibility Analysis COMMISSION (SEC) 100 F Street NE, Washington, DC 20549,
Required: Yes. Division of Trading and Markets Phone: 202 551–6439, Email: guidrozj@
Agency Contact: Brian Johnson, sec.gov.
Long-Term Actions
Division of Investment Management, RIN: 3235–AL14
Securities and Exchange Commission, 497. Removal of Certain References to
[FR Doc. 2017–28247 Filed 1–11–18; 8:45 am]
100 F Street NE, Washington, DC 20549, Credit Ratings Under the Securities
Phone: 202 551–6740, Email: Exchange Act of 1934 BILLING CODE 8011–01–P
johnsonbm@sec.gov. E.O. 13771 Designation: Independent
RIN: 3235–AL60 agency.
sradovich on DSK3GMQ082PROD with PROPOSALS
VerDate Sep<11>2014 20:29 Jan 11, 2018 Jkt 244001 PO 00000 Frm 00006 Fmt 4701 Sfmt 9990 E:\FR\FM\12JAP26.SGM 12JAP26](https://thefederalregister.org/doc/83_FR_2031/page/5.svg)
Document Created: 2018-10-26 09:51:16
Document Modified: 2018-10-26 09:51:16
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
| Publisher | Office of the Federal Register, National Archives and Records Administration | |
| Section | Unknown Section | |
| Action | Semiannual regulatory agenda. | |
| Dates | Comments should be received on or before February 12, 2018. | |
| Contact | Mykaila DeLesDernier, Office of the General Counsel, 202-551-5129. | |
| FR Citation | 83 FR 2022 |
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