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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: Seth Jaffe Chief, Ethics Law and Policy Branch Office of Government Ethics Suite 750, 250 E Street, Washington, DC 20024 Phone:202 482-9303 TDD Phone:800 877-8339 Fax:202 482-9237 Email: sjaffe@oge.gov