The Dodd-Frank Wall Street Reform and Consumer Protection Act includes provisions that require the SEC to undertake various initiatives, including rulemaking and studies touching on many areas of financial regulation.
Members of the public interested in making their views known on these matters, even before official comment periods may be opened, are invited to submit those views via the email addresses below. While the Commission has responsibilities under other provisions of the Act, the list below covers major regulatory topics and other more immediate matters. The Commission may add additional email addresses in the future.
Members of the public who wish to submit official comments on particular rulemaking initiatives should submit comments during the official comment period that starts with the notice of the initiative published in the Federal Register.
The Commission will post all submissions on this page of the Commission's Internet Web site. All submissions received will be posted without change; we do not edit personal identifying information from submissions. You should only make submissions that you wish to make available publicly.
- Title II — Orderly Liquidation Authority
- Orderly Liquidation of Covered Broker-Dealers
Submit Comments: Web Comment Form | Email
Comments received are available.
- Orderly Liquidation of Covered Broker-Dealers
- Title III — Transfer of Powers to the Comptroller of the Currency, the Corporation, and the Board of Governors
- Office of Minority and Women Inclusion
Submit Comments: Web Comment Form | Email
Comments received are available.
- Office of Minority and Women Inclusion
- Title IV — Regulation of Advisers to Hedge Funds and Others
- Systemic Risk Reporting
Submit Comments: Web Comment Form | Email
Comments received are available. - Exemptions for Certain Advisers
Submit Comments: Web Comment Form | Email
Comments received are available. - Family Offices Exclusion
Submit Comments: Web Comment Form | Email
Comments received are available. - New Threshold for Federal Registration
Submit Comments: Web Comment Form | Email
Comments received are available. - Accredited Investor Standard
Submit Comments: Web Comment Form | Email
Comments received are available. - Study of the State of Short Selling and Failures to Deliver
Submit Comments: Web Comment Form | Email
Comments received are available.
- Systemic Risk Reporting
- Title VI — Improvements to Regulation of Bank and Savings Associations Holding Companies and Depository Institutions
- Prohibitions on Proprietary Trading and Certain Relationships with Hedge Funds and Private Equity Funds
Submit Comments: Web Comment Form | Email
Comments received are available - Conflicts of Interest Relating to Certain Securitizations
Submit Comments: Web Comment Form | Email
Comments received are available
- Prohibitions on Proprietary Trading and Certain Relationships with Hedge Funds and Private Equity Funds
- Title VII — Wall Street Transparency and Accountability
- Definitions (including "swap," "security-based swap," "security-based swap agreement," "mixed swap," "security-based swap dealer," and "major security-based swap participant")
Submit Comments: Web Comment Form | Email
Comments received are available - Security-Based Swap Dealers and Major Security-Based Swap Participants
Submit Comments: Web Comment Form | Email
Comments received are available - Mandatory Clearing of Security-Based Swaps, End-User Exception and Security-Based Swap Clearing Agencies
Submit Comments: Web Comment Form | Email
Comments received are available - Mandatory Exchange Trading and Swap Execution Facilities
Submit Comments: Web Comment Form | Email
Comments received are available - Governance and Conflict of Interest Controls for Clearing Agencies, Swap Execution Facilities and Exchanges
Submit Comments: Web Comment Form | Email
Comments received are available - Swap Data Repositories
Submit Comments: Web Comment Form | Email
Comments received are available - Real-Time Reporting
Submit Comments: Web Comment Form | Email
Comments received are available - Anti-Manipulation Protections
Submit Comments: Web Comment Form | Email
Comments received are available
- Definitions (including "swap," "security-based swap," "security-based swap agreement," "mixed swap," "security-based swap dealer," and "major security-based swap participant")
- Title VIII — Payment, Clearing, and Settlement Supervision
- SEC Rulemakings under Title VIII
Submit Comments: Web Comment Form | Email
Comments received are available
- SEC Rulemakings under Title VIII
- Title IX — Investor Protection and Improvements to the Regulation of Securities
- Study — Fiduciary Duty
Submit Comments: Web Comment Form | Email
Comments received are available - Study — Enhancing Investment Adviser Examinations
Submit Comments: Web Comment Form | Email
Comments received are available - Study Required by Section 989G(b) of the Dodd-Frank Act Regarding Compliance with Section 404(b) of the Sarbanes-Oxley Act (see Release No. 34-63108)
Submit Comments: Web Comment Form | Email
Comments received are available - Study — Financial Literacy Among Investors
Submit Comments: Web Comment Form | Email
Comments received are available - Office of the Investor Advocate
Submit Comments: Web Comment Form | Email
Comments received are available - Pre-Sale Disclosures to Customers
Submit Comments: Web Comment Form | Email
Comments received are available - Pre-Dispute Arbitration
Submit Comments: Web Comment Form | Email
Comments received are available. - Whistleblower Award Program
Submit Comments: Web Comment Form | Email
Comments received are available. - Adding Disqualification Requirements to Regulation D Offerings
Submit Comments: Web Comment Form | Email
Comments received are available. - Short Sale Disclosure
Submit Comments: Web Comment Form | Email
Comments received are available. - Municipal Securities and Municipal Advisors
Submit Comments: Web Comment Form | Email
Comments received are available. - Credit Rating Agencies Review and Rulemaking
Submit Comments: Web Comment Form | Email
Comments received are available. - Asset-Backed Securities
Submit Comments: Web Comment Form | Email
Comments received are available - Executive Compensation (shareholder voting, executive compensation disclosures, voting by brokers, incentive-based compensation, and other compensation related matters)
Submit Comments: Web Comment Form | Email
Comments received are available - Loan or Borrowing of Securities/Securities Lending Activities
Submit Comments: Web Comment Form | Email
Comments received are available
- Study — Fiduciary Duty
- Title XV - Miscellaneous Provisions
- Specialized Disclosures (conflict minerals, mine safety, and payments by resource extraction issuers)
Submit Comments: Web Comment Form | Email
Comments received are available.
- Specialized Disclosures (conflict minerals, mine safety, and payments by resource extraction issuers)
- Other
- Other Initiatives to be Undertaken by the SEC in Response to the Dodd-Frank Wall Street Reform and Consumer Protection Act
Submit Comments: Web Comment Form | Email
Comments received are available.
- Other Initiatives to be Undertaken by the SEC in Response to the Dodd-Frank Wall Street Reform and Consumer Protection Act