List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act 2026-21657 | Proposed rule | Oct 23 |
Interval Fund Modernization; Expansion of Multiple Share Class to Registered Closed-End Management Investment Companies and Business Development Companies C1-2026-20360 | Proposed rule | Oct 20 |
Investment Company Cross Trading 2026-21037 · significant | Proposed rule | Oct 15 |
Investment Adviser Performance-Based Compensation Modernization 2026-20474 | Proposed rule | Oct 6 |
Adviser and Regulated Fund Custody Rules; Crypto Custody Rules 2026-20466 · significant | Proposed rule | Oct 6 |
Adoption of Updated EDGAR Filer Manual 2026-20461 | Final rule | Oct 6 |
Interval Fund Modernization; Expansion of Multiple Share Class to Registered Closed-End Management Investment Companies and Business Development Companies 2026-20360 | Proposed rule | Oct 5 |
Commission Quorum Requirement 2026-20262 | Final rule | Oct 2 |
Rescission of Rule 14a-8's Federal Regulation of Shareholder Proposals and Amendments to Rule 14a-4 2026-19260 · significant | Proposed rule | Sep 21 |
Proxy Solicitation Modernization 2026-19259 | Proposed rule | Sep 21 |
Political Contributions by Certain Investment Advisers 2026-18424 | Proposed rule | Sep 10 |
Transfer Agent Rules 2026-18190 · significant | Proposed rule | Sep 4 |
Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Further Extension of Compliance Date 2026-18104 | Final rule | Sep 3 |
Exemption of Debt Obligations Issued by the European Union Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities 2026-17939 | Proposed rule | Sep 2 |
Regulation Crypto Assets 2026-17183 · significant | Proposed rule | Aug 21 |
Investment Company Governance Technical Amendments 2026-16066 | Final rule | Aug 6 |
Electronic Delivery of Information Under the Federal Securities Laws 2026-14679 | Proposed rule | Jul 21 |
Modernization of Delegations of Authority to Commission Staff 2026-14540 | Final rule | Jul 20 |
Joint Request for Comment on Further Implementation of Portfolio Margining and Cross-Margining of Securities and Derivatives 2026-13182 | Proposed rule | Jun 30 |
Financial Data Transparency Act Joint Data Standards 2026-12787 · significant | Final rule | Jun 25 |
Technical Amendments to Form X-17A-5 Part IIA 2026-12779 | Final rule | Jun 25 |
Joint Request for Comment on Further Definition of “Swap” and “Security-Based Swap” and on Alternative Compliance 2026-12743 | Proposed rule | Jun 24 |
Joint Request for Comment on Swap and Security-Based Swap Data Reporting 2026-12742 | Proposed rule | Jun 24 |
The Trade-Through Rule and Locked and Crossed Markets Provisions of Regulation NMS 2026-12163 · significant | Proposed rule | Jun 17 |
Rescission of Climate-Related Disclosure Rules 2026-11091 | Proposed rule | Jun 3 |
Holding Foreign Insiders Accountable Act Disclosure; Correction 2026-10916 | Final rule | Jun 1 |
Registered Offering Reform 2026-10373 · significant | Proposed rule | May 26 |
Enhancement of Emerging Growth Company Accommodations and Simplification of Filer Status for Reporting Companies 2026-10222 · significant | Proposed rule | May 21 |
Rescission of Policy Regarding Denials in Settlements of Enforcement Actions 2026-10132 | Final rule | May 21 |
Semiannual Reporting 2026-09095 | Proposed rule | May 7 |
Technical Amendments to Rule 610(e) of Regulation NMS and to Delegation of Authority To Grant or Deny Exemptions From Rule 610 of Regulation NMS 2026-08721 | Final rule | May 5 |
Form PF; Reporting Requirements for All Filers 2026-07993 | Proposed rule | Apr 24 |
Concept Release on Consolidated Audit Trail and Other Audit Trails and Data Sources 2026-07651 · significant | Proposed rule | Apr 20 |
Adoption of Updated EDGAR Filer Manual 2026-07474 | Final rule | Apr 16 |
Performance-Based Investment Advisory Fees 2026-06229 | Proposed rule | Mar 31 |
Application of the Federal Securities Laws to Certain Types of Crypto Assets and Certain Transactions Involving Crypto Assets 2026-05635 | Final rule | Mar 23 |
Publication or Submission of Quotations Without Specified Information 2026-05401 | Proposed rule | Mar 19 |
Holding Foreign Insiders Accountable Act Disclosure 2026-04202 | Final rule | Mar 3 |
Form N-PORT Reporting 2026-03460 | Proposed rule | Feb 23 |
Investment Company Names Form N-PORT Reporting; Extension of Compliance Date 2026-03459 | Final rule | Feb 23 |
Delegation of Authority To Grant or Deny Exemptions From Rule 612 of Regulation NMS Under the Securities Exchange Act of 1934 2026-00811 | Final rule | Jan 16 |
"Small Business" and "Small Organization" Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act 2026-00316 | Proposed rule | Jan 12 |
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act 2026-00315 | Final rule | Jan 12 |
Delegation of Authority to the Director of the Division of Investment Management 2025-24127 | Final rule | Dec 31, 2025 |
Technical Amendments to Commission Rules and Forms 2025-23248 | Final rule | Dec 18, 2025 |
Technical Amendments to Commission Forms 2025-22583 | Final rule | Dec 11, 2025 |
Extension of Compliance Date for Disclosure of Order Execution Information 2025-19316 | Final rule | Oct 2, 2025 |
Concept Release on Residential Mortgage-Backed Securities Disclosures and Enhancements to Asset-Backed Securities Registration 2025-19152 · significant | Proposed rule | Oct 1, 2025 |
Acceleration of Effectiveness of Registration Statements of Issuers With Certain Mandatory Arbitration Provisions 2025-18238 | Final rule | Sep 19, 2025 |
Commission's Rules of Practice 2025-18237 | Final rule | Sep 19, 2025 |
Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Further Extension of Compliance Date 2025-18228 | Final rule | Sep 19, 2025 |
Extension of Compliance Dates for Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report 2025-17402 | Final rule | Sep 10, 2025 |
Adoption of Updated EDGAR Filer Manual 2025-12286 | Final rule | Jul 1, 2025 |
Extension of Compliance Date for Required Daily Computation of Customer and Broker-Dealer Reserve Requirements Under the Broker-Dealer Customer Protection Rule 2025-12016 | Final rule | Jul 1, 2025 |
Policy Statement Concerning Agency Referrals for Potential Criminal Enforcement 2025-11332 | Final rule | Jun 20, 2025 |
Withdrawal of Proposed Regulatory Actions 2025-11110 | Proposed rule | Jun 17, 2025 |
Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Further Extension of Compliance Date 2025-11057 | Final rule | Jun 16, 2025 |
Concept Release on Foreign Private Issuer Eligibility 2025-10428 · significant | Proposed rule | Jun 9, 2025 |
Regulation SBSR (Reporting and Dissemination of Security-Based Swap Information) and Security-Based Swap Data Repository Rules; Extension 2025-06920 | Final rule | Apr 24, 2025 |
Form N-PORT and Form N-CEN Reporting; Guidance on Open-End Fund Liquidity Risk Management Programs; Delay of Effective and Compliance Dates 2025-06861 | Final rule | Apr 22, 2025 |
Adoption of Updated EDGAR Filer Manual 2025-06698 | Final rule | Apr 18, 2025 |
Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers 2025-05267 | Final rule | Apr 11, 2025 |
Investment Company Names; Extension of Compliance Date 2025-04705 | Final rule | Mar 20, 2025 |
Delegation of Authority to Director of the Division of Enforcement 2025-04064 | Final rule | Mar 14, 2025 |
Extension of Compliance Dates for Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities 2025-03351 | Final rule | Mar 4, 2025 |
Technical Amendments to Commission Rules and Forms 2025-02524 | Final rule | Feb 18, 2025 |
Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Extension of Compliance Date 2025-02138 | Final rule | Feb 5, 2025 |
Adoption of Updated EDGAR Filer Manual 2025-01923 | Final rule | Jan 30, 2025 |
Staff Accounting Bulletin No. 122 2025-01864 | Final rule | Jan 30, 2025 |
Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report 2024-30433 | Final rule | Jan 21, 2025 |
Daily Computation of Customer and Broker-Dealer Reserve Requirements Under the Broker-Dealer Customer Protection Rule 2024-31178 | Final rule | Jan 13, 2025 |
EDGAR Filer Access and Account Management 2024-30494 | Final rule | Dec 27, 2024 |
Commission's Organization and Program Management Regulations 2024-29420 | Final rule | Dec 16, 2024 |
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act 2024-28353 | Proposed rule | Dec 10, 2024 |
Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews C1-2024-26524 | Final rule | Dec 4, 2024 |
Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews 2024-26524 | Final rule | Nov 19, 2024 |
Conforming Amendments to Commission Rules and Forms 2024-26387 | Final rule | Nov 18, 2024 |
Covered Clearing Agency Resilience and Recovery and Orderly Wind-Down Plans 2024-25570 | Final rule | Nov 18, 2024 |
Adoption of Updated EDGAR Filer Manual 2024-24355 | Final rule | Oct 22, 2024 |
Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders 2024-21867 | Final rule | Oct 8, 2024 |
Form N-PORT and Form N-CEN Reporting; Guidance on Open-End Fund Liquidity Risk Management Programs 2024-19819 | Final rule | Sep 11, 2024 |
Qualifying Venture Capital Funds Inflation Adjustment 2024-19229 | Final rule | Aug 30, 2024 |
Financial Data Transparency Act Joint Data Standards 2024-18415 · significant | Proposed rule | Aug 22, 2024 |
Regulatory Flexibility Agenda 2024-16470 | Proposed rule | Aug 16, 2024 |
Adoption of Updated EDGAR Filer Manual 2024-17563 | Final rule | Aug 9, 2024 |
Registration for Index-Linked Annuities and Registered Market Value Adjustment Annuities; Amendments To Form N-4 for Index-Linked Annuities, Registered Market Value Adjustment Annuities, and Variable Annuities; Other Technical Amendments 2024-14925 | Final rule | Jul 24, 2024 |
Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information; Correction 2024-14031 | Final rule | Jun 27, 2024 |
Special Purpose Acquisition Companies, Shell Companies, and Projections; Correction 2024-13444 | Final rule | Jun 20, 2024 |
Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information 2024-11116 | Final rule | Jun 3, 2024 |
Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers 2024-10738 · significant | Proposed rule | May 21, 2024 |
Adoption of Updated EDGAR Filer Manual 2024-08091 | Final rule | Apr 19, 2024 |
Disclosure of Order Execution Information 2024-05556 | Final rule | Apr 15, 2024 |
The Enhancement and Standardization of Climate-Related Disclosures for Investors; Delay of Effective Date 2024-07648 | Final rule | Apr 12, 2024 |
Exemption for Certain Investment Advisers Operating Through the Internet 2024-06865 | Final rule | Apr 9, 2024 |
Share Repurchase Disclosure Modernization 2024-06187 | Final rule | Apr 8, 2024 |
The Enhancement and Standardization of Climate-Related Disclosures for Investors 2024-05137 | Final rule | Mar 28, 2024 |
EDGAR Filer Access and Account Management; Correction 2024-05625 | Proposed rule | Mar 18, 2024 |
Exemption for Certain Investment Advisers Operating Through the Internet; Correction 2024-05624 | Proposed rule | Mar 18, 2024 |
Conflicts of Interest Associated With the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers; Correction 2024-05623 | Proposed rule | Mar 18, 2024 |
Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers 2024-03473 | Final rule | Mar 12, 2024 |
Further Definition of “As a Part of a Regular Business” in the Definition of Dealer and Government Securities Dealer in Connection With Certain Liquidity Providers 2024-02837 | Final rule | Feb 29, 2024 |
Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission 2024-04062 | Final rule | Feb 28, 2024 |
Special Purpose Acquisition Companies, Shell Companies, and Projections 2024-01853 | Final rule | Feb 26, 2024 |
Qualifying Venture Capital Funds Inflation Adjustment 2024-03436 | Proposed rule | Feb 21, 2024 |
Regulatory Flexibility Agenda 2024-00469 | Proposed rule | Feb 9, 2024 |
Adoption of Updated EDGAR Filer Manual 2024-01314 | Final rule | Jan 24, 2024 |
Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities 2023-27860 | Final rule | Jan 16, 2024 |