Agency Rule List - Spring 2023


Securities and Exchange Commission

Agency Agenda Stage of Rulemaking Title RIN
SEC Long-Term Actions Credit Rating Agencies -- Conflicts of Interest and Transparency 3235-AL54
SEC Long-Term Actions Conflict Minerals Amendments 3235-AM14
SEC Long-Term Actions Proxy Process Amendments 3235-AM16
SEC Long-Term Actions Certain Information Providers Acting as Investment Advisers 3235-AM95
SEC Long-Term Actions Transfer Agents 3235-AL55
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