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SEC RIN: 3235-AN39 Publication ID: 2026 
Title: Updates to "Small Entity" Definitions for Purposes of the Regulatory Flexibility Act 
Abstract:

The Commission proposed amendments to update its definitions of "small entity" for purposes of the Regulatory Flexibility Act. In particular, it proposed amendments to rule 0-7 under the Investment Advisers Act of 1940 and rule 0-10 under the Investment Company Act of 1940 to increase the asset-based thresholds used in the definitions of "small business" and "small organization" for purposes of the Regulatory Flexibility Act along with corresponding amendments to Form ADV.

 
Agency: Securities and Exchange Commission(SEC)  Priority: Other Significant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
EO 14192 Designation: Other 
CFR Citation: 17 CFR 275.0-7    17 CFR 275.203-3(b)    17 CFR 270.0-10    17 CFR 279.1   
Legal Authority: 5 U.S.C. 601    15 U.S.C. 80a-37    15 U.S.C. 80b-11   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  01/12/2026  91 FR 1107   
NPRM Comment Period End  03/13/2026 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Sirimal Mukerjee
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-3340
Email: mukerjees@sec.gov