Agency Rule List - Fall 2021


Securities and Exchange Commission

Agency Agenda Stage of Rulemaking Title RIN
SEC Long-Term Actions Conflict Minerals Amendments 3235-AM14
SEC Long-Term Actions Proxy Process Amendments 3235-AM16
SEC Long-Term Actions Stress Testing for Large Asset Managers and Large Investment Companies 3235-AL63
SEC Long-Term Actions Amendments to the Custody Rules for Investment Advisers 3235-AM32
SEC Long-Term Actions Amendments to the Custody Rules for Investment Companies 3235-AM66
SEC Long-Term Actions Amendments to Improve Fund Proxy System 3235-AM73
SEC Long-Term Actions Investment Company Securities Lending Arrangements 3235-AM99
SEC Long-Term Actions End-User Exception to Mandatory Clearing of Security-Based Swaps 3235-AK88
SEC Long-Term Actions Definitions of Mortgage Related Security and Small Business Related Security 3235-AL33
SEC Long-Term Actions Establishing the Form and Manner With Which Security-Based Swap Data Repositories Must Make Security-Based Swap Data Available to the Commission 3235-AL72
SEC Long-Term Actions Amendments to Rules 17a-25 and 13h-1 Following Creation of the Consolidated Audit Trail 3235-AM22
SEC Long-Term Actions Portfolio Margining of Uncleared Swaps and Non-Cleared Security Based Swaps 3235-AM64
SEC Long-Term Actions Digital Engagement Practices for Broker-Dealers and Investment Advisers 3235-AN00
SEC Long-Term Actions Modernization of Fixed Income Market Structure 3235-AN11
SEC Long-Term Actions Credit Rating Agencies -- Conflicts of Interest and Transparency 3235-AL54
SEC Long-Term Actions Amendments to Requirements for Filer Validation and Access to the EDGAR Filing System 3235-AM58
SEC Long-Term Actions Amendments to Municipal Securities Examination Reports 3235-AM82
SEC Long-Term Actions Amendments to Reports of the Municipal Securities Rulemaking Board 3235-AM83