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OGE RIN: 3209-AA67 Publication ID: Fall 2023 
Title: Securities and Exchange Commission Standards of Ethical Conduct Regulations Issued Jointly With the Concurrence of the Office Of Government Ethics 
Abstract:

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.

 
Agency: Office of Government Ethics(OGE)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 5 CFR 2635    5 CFR 2635.105    5 CFR ch. XXXIV     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: 5 U.S.C. 7301    5 U.S.C. app. Ethics in Government Act of 1978    E.O. 12674    E.O. 12731   
Legal Deadline:  None
Timetable:
Action Date FR Cite
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 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: Federal 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Related Agencies: Joint: SEC; 
Agency Contact:
Christopher Swartz
Acting Chief, Ethics Law and Policy Branch
Office of Government Ethics
Suite 750, 250 E Street, SW,
Washington, DC 20024
Phone:202 482-9267
Email: cjswartz@oge.gov