Data / Federal rules / 2026-21037
Investment Company Cross Trading
The Securities and Exchange Commission published this proposed rule in the Federal Register on October 15, 2026. It took effect on October 15, 2026. Comments are due by December 14, 2026.
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What the agency says
The Securities and Exchange Commission (the "Commission") is proposing to amend the rule under the Investment Company Act of 1940 (the "Investment Company Act") that permits securities transactions between a registered investment company and certain affiliates (referred to as "cross trades"), subject to conditions. The proposed amendments are designed to expand the scope of securities that are eligible for cross trading, modernize the rule's conditions, and enhance investor protection. The Commission also proposes to require aggregated reporting of trading activity and cross trades in Form N- PORT and Form N-MFP.
Key facts
- Document number
- 2026-21037
- Type
- Proposed rule
- Action
- Proposed rule
- Agency
- Securities and Exchange Commission
- Published
- October 15, 2026
- Takes effect
- October 15, 2026
- Comments due
- December 14, 2026
- Dates
- This proposal was published in the Federal Register on October 15, 2026. Comments should be received on or before December 14, 2026.
- Docket
- Release No. IC-36358; File No. S7-2026-36
- Regulation ID (RIN)
- 3235-AN45
- Code of Federal Regulations
- 17 CFR 270; 17 CFR 274
- Topics
- Investment companies; Reporting and recordkeeping requirements; Securities
- Significant
- Yes, under Executive Order 12866
- Pages
- 56
Other documents from the Securities and Exchange Commission
| Document | Type | Published |
|---|---|---|
| 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 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 |
Everything from the Securities and Exchange Commission · Rules on investment companies · Rules on reporting and recordkeeping requirements · Rules on securities · Published in October 2026
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.