3235-AN24 202410 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Regulation Best Execution

The Division is considering recommending that the Commission adopt new rules under the Securities Exchange Act of 1934 relating to a broker-dealer’s duty of best execution. Proposed Regulation Best Execution would enhance the existing regulatory framework concerning the duty of best execution by requiring detailed policies and procedures for all broker-dealers and more robust policies and procedures for broker-dealers engaging in certain conflicted transactions with retail customers, as well as related review and documentation requirements.

]]> Substantive, Nonsignificant Previously Published in The Unified Agenda Final Rule Stage Undetermined No 17 CFR 242.1100 17 CFR 242.1101 17 CFR 242.1102 15 U.S.C. 77g 15 U.S.C. 77q(a) 15 U.S.C. 77s(a) 15 U.S.C. 78b 15 U.S.C. 78c(b) 15 U.S.C. 78e 15 U.S.C. 78g(c)(2) 15 U.S.C. 78i(a) 15 U.S.C. 78j 15 U.S.C. 78k-1 15 U.S.C. 78l 15 U.S.C. 78m 15 U.S.C. 78n 15 U.S.C. 78o(b) 15 U.S.C. 78o(c) 15 U.S.C. 78o(g) 15 U.S.C. 78o-1 15 U.S.C. 78q 15 U.S.C. 78w(a) 15 U.S.C. 78x 15 U.S.C. 78dd-1 15 U.S.C. 78mm 15 U.S.C. 80a-23 15 U.S.C. 80a-29 15 U.S.C. 80a-30 ... No NPRM 01/27/2023 88 FR 5440 NPRM Comment Period End 03/31/2023 Final Action 04/00/2025 YES Businesses None No No Yes No David Dimitrious R. 3235 Securities and Exchange Commission SEC 202 551-5131 dimitriousd@sec.gov 100 F Street NE, Washington DC 20549