Investment Company Cross Trading
2026-21037 · significant | Securities and Exchange Commission | Proposed rule | Oct 15 |
Investment Adviser Performance-Based Compensation Modernization
2026-20474 | Securities and Exchange Commission | Proposed rule | Oct 6 |
Adviser and Regulated Fund Custody Rules; Crypto Custody Rules
2026-20466 · significant | Securities and Exchange Commission | Proposed rule | Oct 6 |
Interval Fund Modernization; Expansion of Multiple Share Class to Registered Closed-End Management Investment Companies and Business Development Companies
2026-20360 | Securities and Exchange Commission | Proposed rule | Oct 5 |
Rescission of Rule 14a-8's Federal Regulation of Shareholder Proposals and Amendments to Rule 14a-4
2026-19260 · significant | Securities and Exchange Commission | Proposed rule | Sep 21 |
Regulation Crypto Assets
2026-17183 · significant | Securities and Exchange Commission | Proposed rule | Aug 21 |
Small Business Size Standards
2026-17042 | Small Business Administration | Proposed rule | Aug 20 |
Beneficial Ownership Information Reporting Requirement Revision
2026-16576 · significant | Financial Crimes Enforcement Network | Final rule | Aug 14 |
Investment Company Governance Technical Amendments
2026-16066 | Securities and Exchange Commission | Final rule | Aug 6 |
Electronic Delivery of Information Under the Federal Securities Laws
2026-14679 | Securities and Exchange Commission | Proposed rule | Jul 21 |
Registered Offering Reform
2026-10373 · significant | Securities and Exchange Commission | Proposed rule | May 26 |
Semiannual Reporting
2026-09095 | Securities and Exchange Commission | Proposed rule | May 7 |
Anti-Money Laundering and Countering the Financing of Terrorism Programs
2026-07033 | Financial Crimes Enforcement Network | Proposed rule | Apr 10 |
Whistleblower Incentives and Protections
2026-06271 | Financial Crimes Enforcement Network | Proposed rule | Apr 1 |
Form N-PORT Reporting
2026-03460 | Securities and Exchange Commission | Proposed rule | Feb 23 |
"Small Business" and "Small Organization" Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act
2026-00316 | Securities and Exchange Commission | Proposed rule | Jan 12 |
Small Business Investment Company (SBIC) Regulatory Amendments
2025-24232 · significant | Small Business Administration | Final rule | Jan 2 |
Technical Amendments to Commission Rules and Forms
2025-23248 | Securities and Exchange Commission | Final rule | Dec 18, 2025 |
Small Business Investment Company (SBIC) Accrual Regulatory Amendments
2025-22055 | Small Business Administration | Final rule | Dec 5, 2025 |
Small Business Size Standards: Monetary-Based Industry Size Standards
2025-16142 · significant | Small Business Administration | Proposed rule | Aug 22, 2025 |
Small Business Investment Company (SBIC) Regulatory Amendments
2025-12584 · significant | Small Business Administration | Proposed rule | Jul 7, 2025 |
Civil Monetary Penalties Inflation Adjustments
2025-09833 | Small Business Administration | Final rule | Jun 3, 2025 |
Eliminating Unnecessary Regulations
2025-06353 | Treasury Department | Final rule | Apr 15, 2025 |
Beneficial Ownership Information Reporting Requirement Revision and Deadline Extension
2025-05199 · significant | Financial Crimes Enforcement Network | Final rule | Mar 26, 2025 |
Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report
2024-30433 | Securities and Exchange Commission | Final rule | Jan 21, 2025 |
Financial Crimes Enforcement Network; Inflation Adjustment of Civil Monetary Penalties
2025-01374 | Financial Crimes Enforcement Network | Final rule | Jan 17, 2025 |
Daily Computation of Customer and Broker-Dealer Reserve Requirements Under the Broker-Dealer Customer Protection Rule
2024-31178 | Securities and Exchange Commission | Final rule | Jan 13, 2025 |
EDGAR Filer Access and Account Management
2024-30494 | Securities and Exchange Commission | Final rule | Dec 27, 2024 |
Penalty Provisions, Provision of Information, Negotiation of Mitigation Agreements, and Other Procedures Pertaining to Certain Investments in the United States by Foreign Persons and Certain Transactions by Foreign Persons Involving Real Estate in the United States
2024-27310 | Investment Security Office | Final rule | Nov 26, 2024 |
Conforming Amendments to Commission Rules and Forms
2024-26387 | Securities and Exchange Commission | Final rule | Nov 18, 2024 |
Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern
2024-25422 · significant | Investment Security Office | Final rule | Nov 15, 2024 |
Definition of Military Installation and the List of Military Installations in the Regulations Pertaining to Certain Transactions by Foreign Persons Involving Real Estate in the United States
2024-25773 | Investment Security Office | Final rule | Nov 7, 2024 |
Update to the Public Utility Exemption Under the Beneficial Ownership Information Reporting Rule
2024-23920 · significant | Financial Crimes Enforcement Network | Final rule | Oct 18, 2024 |
Form N-PORT and Form N-CEN Reporting; Guidance on Open-End Fund Liquidity Risk Management Programs
2024-19819 | Securities and Exchange Commission | Final rule | Sep 11, 2024 |
Qualifying Venture Capital Funds Inflation Adjustment
2024-19229 | Securities and Exchange Commission | Final rule | Aug 30, 2024 |
Anti-Money Laundering Regulations for Residential Real Estate Transfers
2024-19198 · significant | Financial Crimes Enforcement Network | Final rule | Aug 29, 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 | Securities and Exchange Commission | Final rule | Jul 24, 2024 |
Definition of Military Installation and the List of Military Installations in Regulations Pertaining to Certain Transactions by Foreign Persons Involving Real Estate in the United States
2024-15221 | Investment Security Office | Proposed rule | Jul 19, 2024 |
Provisions Pertaining to U.S. Investments in Certain National Security Technologies and Products in Countries of Concern
2024-13923 · significant | Investment Security Office | Proposed rule | Jul 5, 2024 |
Anti-Money Laundering and Countering the Financing of Terrorism Programs
2024-14414 · significant | Financial Crimes Enforcement Network | Proposed rule | Jul 3, 2024 |
Civil Monetary Penalties Inflation Adjustments
2024-12282 | Small Business Administration | Final rule | Jun 5, 2024 |
Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information
2024-11116 | Securities and Exchange Commission | Final rule | Jun 3, 2024 |
Amendments to Penalty Provisions, Provision of Information, Negotiation of Mitigation Agreements, and Other Procedures Pertaining to Certain Investments in the United States by Foreign Persons and Certain Transactions by Foreign Persons Involving Real Estate in the United States
2024-07693 | Investment Security Office | Proposed rule | Apr 15, 2024 |
Special Purpose Acquisition Companies, Shell Companies, and Projections
2024-01853 | Securities and Exchange Commission | Final rule | Feb 26, 2024 |
Qualifying Venture Capital Funds Inflation Adjustment
2024-03436 | Securities and Exchange Commission | Proposed rule | Feb 21, 2024 |
Anti-Money Laundering Regulations for Residential Real Estate Transfers
2024-02565 · significant | Financial Crimes Enforcement Network | Proposed rule | Feb 16, 2024 |
Financial Crimes Enforcement Network; Inflation Adjustment of Civil Monetary Penalties
2024-01420 | Financial Crimes Enforcement Network | Final rule | Jan 25, 2024 |
Small Business Investment Company Investment Diversification and Growth; Technical Amendments and Clarifications
2024-00559 · significant | Small Business Administration | Final rule | Jan 19, 2024 |