Agency Rule List - Spring 2023


Securities and Exchange Commission

Agency Agenda Stage of Rulemaking Title RIN
SEC Proposed Rule Stage Amendments to Requirements for Filer Validation and Access to the EDGAR Filing System 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 Prohibition of Conflicted Practices for Investment Advisers That Use Certain Covered Technologies 3235-AN14
SEC Proposed Rule Stage Registration for Index-Linked Annuities 3235-AN30
SEC Proposed Rule Stage Registration for Internet Advisers 3235-AN31
SEC Proposed Rule Stage Exchange-Traded Products 3235-AL57
SEC Proposed Rule Stage Prohibition of Conflicted Practices for Broker-Dealers That Use Certain Covered Technologies 3235-AN00
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 Rule 15c3-3 3235-AN28
SEC Proposed Rule Stage Volume-Based Exchange Transaction Pricing 3235-AN29
SEC Final Rule Stage Privacy Act Amendments 3235-AN21
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 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 Safeguarding Advisory Client Assets 3235-AM32
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 Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N–PORT Reporting 3235-AM98
SEC Final Rule Stage Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews 3235-AN07
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 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 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 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 Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding FOCUS Report 3235-AL85
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 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 Loan or Borrowing of Securities 3235-AN01
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 Narrowing Exemption for Certain Exchange Members 3235-AN17
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