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Data / Federal rules / Securities and Exchange Commission

Securities and Exchange Commission: 107 rules and proposed rules since January 2024

68 final rules and 39 proposed rules since January 16, 2024, 14 of them marked significant. 11 are open for comment now. Common topics: securities, reporting and recordkeeping requirements, administrative practice and procedure, investment companies, brokers.

SpecStream is the live web data engine for teams and agents. It reads every rule and proposed rule in the Federal Register each morning, and this page is that reading. Name your industry once and new rules, comment deadlines and effective dates arrive in your sheet, CRM, Slack or agent as they are published.

Open for comment

Every document, newest first

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

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Read from the Federal Register API, last updated 2026-10-23. The document on federalregister.gov is the official record; dates and dockets can change through later corrections. Free to reuse with credit to SpecStream under CC BY 4.0.