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U.S. Securities and Exchange Commission

Implementing Dodd-Frank Wall Street Reform and Consumer Protection Act — Pending Action

Information about this Chart

Asset-Backed Securities

  • 621: Adopt rules prohibiting material conflicts of interests between certain parties involved in asset-backed securities and investors in the transaction
  • 941: Adopt rules (jointly with others) regarding risk retention by securitizers of asset-backed securities, and implementing the exemption of qualified residential mortgages from this prohibition
  • 942: Adopt rules requiring each issuer of an ABS to disclose, for each tranche or class of security, information regarding the assets backing that security

Clearing and Settlement

  • 763(b) and 805(a): Adopt rules to enhance the oversight of systemically-important clearing agencies or those that engage in complex transactions, such as security-based swaps.

Corporate Governance & Disclosure

  • 952: Report to Congress on study and review of the use of compensation consultants and the effects of such use
  • 953: Adopt rules regarding disclosure of pay ratios
  • 953: Propose and adopt rules regarding disclosure of pay-for-performance
  • 954: Propose and adopt rules regarding recovery of executive compensation
  • 955: Propose and adopt rules regarding disclosure of hedging by employees and directors

Credit Ratings

  • 932: Adopt rules regarding NRSRO reports of internal controls over the ratings process, preventing sales and marketing activities from influencing the production of ratings, providing for a report to the Commission and "look-back" when an entity subject to a rating employs a person who previously worked for the NRSRO
  • 932: Adopt rules establishing technical amendments to NRSRO Rules to conform text, terms and definitions in the Rules to amendments to text, terms, and definitions in the Securities Exchange Act of 1934 (e.g., changing "furnishing" information to the Commission to "filing" information with the Commission)
  • 932: Adopt rules regarding transparency of NRSRO ratings performance
  • 932: Adopt rules requiring certain steps be followed when adopting or revising credit ratings procedures and methodologies, and providing for disclosure of certain information to accompany the publication of a rating
  • 932: Adopt rules requiring third parties retained for the purpose of conducting due diligence related to asset-backed securities to provide a certification containing specified information to the NRSRO that is producing a rating for the ABS
  • 932: Adopt rules establishing fines and other penalties for violations of law
  • 936: Adopt rules establishing training, experience and competence standards and a testing program for NRSRO analysts
  • 938: Adopt rules regarding ratings symbols


  • 719(d): Joint report to Congress (with the CFTC) on study regarding stable value contracts
  • 763: Adopt rules regarding the registration and regulation of security-based swap data repositories
  • 763: Adopt rules regarding the end-user exception to mandatory clearing of security-based swaps
  • 763: Adopt anti-manipulation rules for security-based swaps
  • 763: Adopt rules regarding the registration and regulation of security-based swap execution facilities
  • 763 and 764: Adopt rules and interpretative guidance for cross-border security-based swap activities
  • 763 and 764: Adopt capital, margin, and segregation requirements for security-based swap dealers and major security-based swap market participants
  • 763 and 766: Adopt rules on trade reporting, data elements, and real-time public reporting for security-based swaps
  • 764: Adopt rules establishing recordkeeping, reporting, and notification requirements for security-based swap dealers and major security-based swap participants
  • 764: Adopt rules regarding the registration and regulation of security-based swap dealers and major security-based swap participants
  • 765: Adopt rules regarding conflicts of interest for clearing agencies, execution facilities, and exchanges involved in security-based swaps

Market Oversight

  • 165: Issue (in coordination with the Board of Governors and the FDIC) regulations regarding stress testing certain financial companies
  • 205: Issue (jointly with the FDIC and after consultation with SIPC) rules to provide for the orderly liquidation of covered brokers and dealers
  • 956: Adopt rules (jointly with others) regarding disclosure of, and prohibitions of certain executive compensation structures and arrangements

Oversight of Investment Advisers & Broker-Dealers

  • 913: Propose rules as may be appropriate, based on 913 study conducted on the obligations of brokers, dealers and investment advisers
  • 919: Issue rules, as the Commission deems appropriate, designating documents or information that must be provided by a broker or dealer to a retail investor before the purchase of an investment product or service
  • 921: Issue rules, as the Commission deems appropriate, addressing agreements that require customers or clients of any broker, dealer or investment adviser to arbitrate disputes arising under the Federal securities laws
  • 951: Adopt rules regarding disclosure by institutional investment managers of votes on executive compensation
  • 984: Propose and adopt rules designed to increase the transparency of information available to brokers, dealers, and investors, with respect to the loan or borrowing of securities

Short Sales

  • 417: Report to Congress on the study of the costs and benefits of real time reporting on short sale positions
  • 929X: Issue rules regarding public disclosure of information regarding short sales and, as the Commission deems appropriate, as otherwise necessary pursuant to this statute

Information about this Chart

This chart includes rulemaking and public reporting, and all section references are to the Dodd-Frank Wall Street Reform and Consumer Protection Act unless otherwise indicated.

Activity is presented according to subject matter, and in the order of the section numbers of the Act to which the activity is related.

The chart does not include activity by the Chairman of the SEC as a member of the Financial Stability Oversight Council, or activities that are in furtherance of Congressional direction to meet, coordinate and/or consult with other organizations. Those activities are taking place, but are not reflected in this document.

The chart also does not include other activities that the SEC is required to perform (e.g., reviewing or examining aspects of certain entities, meeting with certain other organizations), unless those activities are required to be publicly reported.

Modified: 04/18/2014