Agency Rule List - Fall 2022

Securities and Exchange Commission

Agency Agenda Stage of Rulemaking Title RIN
SEC Proposed Rule Stage Amendments to the Rules of Practice 3235-AN20
SEC Proposed Rule Stage Privacy Act Amendments 3235-AN21
SEC Proposed Rule Stage Corporate Board Diversity 3235-AL91
SEC Proposed Rule Stage Disclosure of Payments by Resource Extraction Issuers 3235-AM06
SEC Proposed Rule Stage Rule 144 Holding Period 3235-AM78
SEC Proposed Rule Stage Human Capital Management Disclosure 3235-AM88
SEC Proposed Rule Stage Regulation D and Form D Improvements 3235-AN04
SEC Proposed Rule Stage Revisions to the Definition of Securities Held of Record 3235-AN05
SEC Proposed Rule Stage Amendments to the Custody Rules for Investment Advisers 3235-AM32
SEC Proposed Rule Stage Open-End Fund Liquidity and Dilution Management 3235-AM98
SEC Proposed Rule Stage Fund Fee Disclosure and Reform 3235-AN12
SEC Proposed Rule Stage Digital Engagement Practices for Investment Advisers 3235-AN14
SEC Proposed Rule Stage Outsourcing by Investment Advisers 3235-AN18
SEC Proposed Rule Stage Prohibition Against Conflicts of Interest Relating to Certain Securitizations 3235-AL04
SEC Proposed Rule Stage Exchange-Traded Products 3235-AL57
SEC Proposed Rule Stage Electronic Filing of Broker-Dealer, Clearing Agency, and Self-Regulatory Organization Security-Based Swap Entity Reports 3235-AL85
SEC Proposed Rule Stage Equity Market Structure Modernization 3235-AM57
SEC Proposed Rule Stage Digital Engagement Practices for Broker-Dealers 3235-AN00
SEC Proposed Rule Stage Expanding Clearing of Government Securities 3235-AN09
SEC Proposed Rule Stage Cybersecurity 3235-AN15
SEC Proposed Rule Stage Regulation ATS Modernization 3235-AN16
SEC Proposed Rule Stage Clearing Agency Recovery and Wind-Down 3235-AN19
SEC Proposed Rule Stage Amendments to Requirements for Filer Validation and Access to the EDGAR Filing System 3235-AM58
SEC Final Rule Stage Listing Standards for Recovery of Erroneously Awarded Compensation 3235-AK99
SEC Final Rule Stage Rule 10b5-1 and Insider Trading 3235-AM86
SEC Final Rule Stage Climate Change Disclosure 3235-AM87
SEC Final Rule Stage Cybersecurity Risk Governance 3235-AM89
SEC Final Rule Stage Special Purpose Acquisition Companies 3235-AM90
SEC Final Rule Stage Rule 14a-8 Amendments 3235-AM91
SEC Final Rule Stage Modernization of Beneficial Ownership Reporting 3235-AM93
SEC Final Rule Stage Share Repurchase Disclosure Modernization 3235-AM94
SEC Final Rule Stage Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting on Executive Compensation Votes by Institutional Investment Managers 3235-AK67
SEC Final Rule Stage Tailored Shareholder Reports, Treatment of Annual Prospectus Updates for Existing Investors, and Improved Fee and Risk Disclosure for Mutual Funds and ETFs; Fee Information in Investment Company Ads 3235-AM52
SEC Final Rule Stage Investment Company Names 3235-AM72
SEC Final Rule Stage Amendments to Form PF to Require Current Reporting and Amend Reporting Requirements for Large Private Equity Advisers and Large Liquidity Fund Advisers 3235-AM75
SEC Final Rule Stage Money Market Fund Reforms 3235-AM80
SEC Final Rule Stage Enhanced Disclosures by Certain Investment Advisers and Investment Companies about Environmental, Social, and Governance Investment Practices 3235-AM96
SEC Final Rule Stage Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews 3235-AN07
SEC Final Rule Stage Cybersecurity Risk Governance 3235-AN08
SEC Final Rule Stage Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers 3235-AN13
SEC Final Rule Stage Clearing Agency Governance 3235-AK74
SEC Final Rule Stage Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps; Prohibition Against Undue Influence Over Chief Compliance Officers; and Disclosure of SBS Positions 3235-AK77
SEC Final Rule Stage Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities 3235-AK93
SEC Final Rule Stage Removal of References to Credit Ratings From Regulation M 3235-AL14
SEC Final Rule Stage Short Sale Disclosure Reforms 3235-AM34
SEC Final Rule Stage Amendments to Exchange Act Rule 3b-16 re Definition of "Exchange"; Regulation ATS and Regulation SCI for ATSs That Trade U.S. Government Securities, NMS Stocks and Other Securities 3235-AM45
SEC Final Rule Stage Amendments to NMS Plan for the Consolidated Audit Trail-Data Security 3235-AM62
SEC Final Rule Stage Electronic Recordkeeping Requirements for Broker-Dealers and Security-Based Swap Dealers and Major Security-Based Swap Participants 3235-AM76
SEC Final Rule Stage Loan or Borrowing of Securities 3235-AN01
SEC Final Rule Stage Amendments to Securities Transaction Settlement Cycle 3235-AN02
SEC Final Rule Stage Further Definition of Dealers 3235-AN10
SEC Final Rule Stage Narrowing Exemption for Certain Exchange Members 3235-AN17