Agency Rule List - Fall 2024
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Agency Rule List - Fall 2024
Securities and Exchange Commission
Agency
Agenda Stage of Rulemaking
Title
RIN
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 Definition of Securities Held of Record
3235-AN05
SEC
Proposed Rule Stage
Foreign Issuer Reporting Modernization
3235-AN35
SEC
Proposed Rule Stage
Safeguarding Advisory Client Assets
3235-AM32
SEC
Proposed Rule Stage
Fund Fee Disclosure and Reform
3235-AN12
SEC
Proposed Rule Stage
Conflicts of Interest Associated With the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers
3235-AN14
SEC
Proposed Rule Stage
Exchange-Traded Products
3235-AL57
SEC
Proposed Rule Stage
Regulation ATS Modernization
3235-AN16
SEC
Final Rule Stage
EDGAR Filer Access and Account Management
3235-AM58
SEC
Final Rule Stage
Financial Data Transparency Act Joint Data Standards
3235-AN32
SEC
Final Rule Stage
Rule 14a-8 Amendments
3235-AM91
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
Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies
3235-AN08
SEC
Final Rule Stage
Outsourcing by Investment Advisers
3235-AN18
SEC
Final Rule Stage
Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers
3235-AN34
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
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
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
SEC
Final Rule Stage
Volume-Based Exchange Transaction Pricing for NMS Stocks
3235-AN29