3209-AA67 202310 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3209 Office of Government Ethics OGE Securities and Exchange Commission Standards of Ethical Conduct Regulations Issued Jointly With the Concurrence of the Office Of Government Ethics

The Securities and Exchange Commission (SEC), with the concurrence of the Office of Government Ethics, proposes to amend the Supplemental Standards of Ethical Conduct for Employees of the SEC by revising transaction and reporting requirements for certain assets; adding new restrictions on holding and transacting in certain classes of investment funds; authorizing collection of covered securities transactions and holdings data from financial institutions through a third-party automated compliance system; updating the procedures for reporting transactions; and by making limited technical and ministerial changes.

]]> Substantive, Nonsignificant Previously Published in The Unified Agenda Final Rule Stage Undetermined No 5 CFR 2635 5 CFR 2635.105 5 CFR ch. XXXIV 5 U.S.C. 7301 5 U.S.C. app. Ethics in Government Act of 1978 E.O. 12674 E.O. 12731 No SEC Employees (5 CFR Ch. XXXIV) Proposed Rule 02/07/2023 88 FR 7891 SEC Comment Period End (SEC Employees 5 CFR ch. XXXIV) 03/31/2023 Final Rule (SEC Employees 5 CFR ch. XXXIV) 12/00/2023 No Federal No No No 3235 Securities and Exchange Commission SEC Joint Christopher Swartz Acting Chief, Ethics Law and Policy Branch 3209 Office of Government Ethics OGE 202 482-9267 cjswartz@oge.gov Suite 750, 250 E Street, SW, Washington DC 20024