Agency Rule List - Fall 2023

Securities and Exchange Commission

Agency Agenda Stage of Rulemaking Title RIN
SEC Proposed Rule Stage EDGAR Filer Access and Account Management 3235-AM58
SEC Proposed Rule Stage Incentive-Based Compensation Arrangements 3235-AL06
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 Fund Fee Disclosure and Reform 3235-AN12
SEC Proposed Rule Stage Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities 3235-AN30
SEC Proposed Rule Stage Financial Data Transparency Act Joint Rulemaking 3235-AN32
SEC Proposed Rule Stage Exchange-Traded Products 3235-AL57
SEC Proposed Rule Stage Regulation ATS Modernization 3235-AN16
SEC Proposed Rule Stage Volume-Based Exchange Transaction Pricing for NMS Stocks 3235-AN29
SEC Final Rule Stage Prohibition Against Conflicts of Interest in Certain Securitizations 3235-AL04
SEC Final Rule Stage Climate Change Disclosure 3235-AM87
SEC Final Rule Stage Special Purpose Acquisition Companies 3235-AM90
SEC Final Rule Stage Rule 14a-8 Amendments 3235-AM91
SEC Final Rule Stage Safeguarding Advisory Client Assets 3235-AM32
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 Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N–PORT Reporting 3235-AM98
SEC Final Rule Stage Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies 3235-AN08
SEC Final Rule Stage Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers 3235-AN13
SEC Final Rule Stage Conflicts of Interest Associated With the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers 3235-AN14
SEC Final Rule Stage Outsourcing by Investment Advisers 3235-AN18
SEC Final Rule Stage Regulation S P: Privacy of Consumer Financial Information and Safeguarding Customer Information 3235-AN26
SEC Final Rule Stage Exemption for Certain Investment Advisers Operating Through the Internet 3235-AN31
SEC Final Rule Stage Clearing Agency Governance 3235-AK74
SEC Final Rule Stage Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities 3235-AK93
SEC Final Rule Stage Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding FOCUS Report 3235-AL85
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 Order Competition Rule 3235-AM57
SEC Final Rule Stage Amendments to NMS Plan for the Consolidated Audit Trail-Data Security 3235-AM62
SEC Final Rule Stage Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities 3235-AN09
SEC Final Rule Stage Further Definition of Dealers 3235-AN10
SEC Final Rule Stage Cybersecurity Risk Management Rules for Broker-Dealers, Clearing Agencies, MSBSPs, the MSRB, National Securities Associations, National Securities Exchanges, SBSDRs, SBS Dealers, and Transfer Agents 3235-AN15
SEC Final Rule Stage Covered Clearing Agency Resiliency and Recovery and Wind-Down Plans 3235-AN19
SEC Final Rule Stage Disclosure of Order Execution Information 3235-AN22
SEC Final Rule Stage Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders 3235-AN23
SEC Final Rule Stage Regulation Best Execution 3235-AN24
SEC Final Rule Stage Regulation Systems Compliance and Integrity 3235-AN25
SEC Final Rule Stage Reporting of Security-Based Swap Positions 3235-AN27
SEC Final Rule Stage Daily Computation of Customer and Broker-Dealer Reserve Requirements Under the Broker-Dealer Customer Protection Rule 3235-AN28