Office of Information and Regulatory Affairs released the Fall 2023 Unified Agenda of Regulatory and Deregulatory Actions for the Securities and Exchange Commission.
| Agency | Agenda Stage of Rulemaking | Title | RIN |
|---|---|---|---|
| SEC | Proposed Rule Stage | EDGAR Filer Access and Account Management | 3235-AM58 |
| SEC | Proposed Rule Stage | Incentive-Based Compensation Arrangements | 3235-AL06 |
| SEC | Proposed Rule Stage | Corporate Board Diversity | 3235-AL91 |
| SEC | Proposed Rule Stage | Disclosure of Payments by Resource Extraction Issuers | 3235-AM06 |
| SEC | Proposed Rule Stage | Rule 144 Holding Period | 3235-AM78 |
| SEC | Proposed Rule Stage | Human Capital Management Disclosure | 3235-AM88 |
| SEC | Proposed Rule Stage | Regulation D and Form D Improvements | 3235-AN04 |
| SEC | Proposed Rule Stage | Revisions to the Definition of Securities Held of Record | 3235-AN05 |
| SEC | Proposed Rule Stage | Fund Fee Disclosure and Reform | 3235-AN12 |
| SEC | Proposed Rule Stage | Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities | 3235-AN30 |
| SEC | Proposed Rule Stage | Financial Data Transparency Act Joint Rulemaking | 3235-AN32 |
| SEC | Proposed Rule Stage | Exchange-Traded Products | 3235-AL57 |
| SEC | Proposed Rule Stage | Regulation ATS Modernization | 3235-AN16 |
| SEC | Proposed Rule Stage | Volume-Based Exchange Transaction Pricing for NMS Stocks | 3235-AN29 |
| SEC | Final Rule Stage | Prohibition Against Conflicts of Interest in Certain Securitizations | 3235-AL04 |
| SEC | Final Rule Stage | Climate Change Disclosure | 3235-AM87 |
| SEC | Final Rule Stage | Special Purpose Acquisition Companies | 3235-AM90 |
| SEC | Final Rule Stage | Rule 14a-8 Amendments | 3235-AM91 |
| SEC | Final Rule Stage | Safeguarding Advisory Client Assets | 3235-AM32 |
| SEC | Final Rule Stage | Enhanced Disclosures by Certain Investment Advisers and Investment Companies about Environmental, Social, and Governance Investment Practices | 3235-AM96 |
| SEC | Final Rule Stage | Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form NโPORT Reporting | 3235-AM98 |
| SEC | Final Rule Stage | Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies | 3235-AN08 |
| SEC | Final Rule Stage | Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers | 3235-AN13 |
| SEC | Final Rule Stage | Conflicts of Interest Associated With the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers | 3235-AN14 |
| SEC | Final Rule Stage | Outsourcing by Investment Advisers | 3235-AN18 |
| SEC | Final Rule Stage | Regulation S P: Privacy of Consumer Financial Information and Safeguarding Customer Information | 3235-AN26 |
| SEC | Final Rule Stage | Exemption for Certain Investment Advisers Operating Through the Internet | 3235-AN31 |
| SEC | Final Rule Stage | Clearing Agency Governance | 3235-AK74 |
| SEC | Final Rule Stage | Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities | 3235-AK93 |
| SEC | Final Rule Stage | Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding FOCUS Report | 3235-AL85 |
| SEC | Final Rule Stage | Amendments to Exchange Act Rule 3b-16 re Definition of "Exchange"; Regulation ATS and Regulation SCI for ATSs That Trade U.S. Government Securities, NMS Stocks and Other Securities | 3235-AM45 |
| SEC | Final Rule Stage | Order Competition Rule | 3235-AM57 |
| SEC | Final Rule Stage | Amendments to NMS Plan for the Consolidated Audit Trail-Data Security | 3235-AM62 |
| SEC | Final Rule Stage | 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 | 3235-AN09 |
| SEC | Final Rule Stage | Further Definition of Dealers | 3235-AN10 |
| SEC | Final Rule Stage | Cybersecurity Risk Management Rules for Broker-Dealers, Clearing Agencies, MSBSPs, the MSRB, National Securities Associations, National Securities Exchanges, SBSDRs, SBS Dealers, and Transfer Agents | 3235-AN15 |
| SEC | Final Rule Stage | Covered Clearing Agency Resiliency and Recovery and Wind-Down Plans | 3235-AN19 |
| SEC | Final Rule Stage | Disclosure of Order Execution Information | 3235-AN22 |
| SEC | Final Rule Stage | Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders | 3235-AN23 |
| SEC | Final Rule Stage | Regulation Best Execution | 3235-AN24 |
| SEC | Final Rule Stage | Regulation Systems Compliance and Integrity | 3235-AN25 |
| SEC | Final Rule Stage | Reporting of Security-Based Swap Positions | 3235-AN27 |
| SEC | Final Rule Stage | Daily Computation of Customer and Broker-Dealer Reserve Requirements Under the Broker-Dealer Customer Protection Rule | 3235-AN28 |
Gary Gensler Statement:
Today, the Office of Information and Regulatory Affairs released the Fall 2023 Unified Agenda of Regulatory and Deregulatory Actions, which includes contributions related to the Securities and Exchange Commission and short- and long-term regulatory actions that administrative agencies plan to take.
The items on this agenda advance our three-part mission: to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.
We are blessed with the largest, most sophisticated, and most innovative capital markets in the world. But we cannot take this for granted. Even a gold medalist must keep training.
Thatโs why weโre updating our rules for the technology and business models of the 2020s. Weโre updating our rules to promote the efficiency, integrity, and resiliency of the markets. We do so with an eye toward investors and issuers alike, to ensure the markets work for them and not the other way around.
As we work to advance this agenda, we greatly benefit from public input regarding the economics and the policies themselves.
I thank the staff and my fellow Commissioners for their dedication to the SECโs mission and work to advance these rules.
TLDRS:
- The Office of Information and Regulatory Affairs released the Fall 2023 Unified Agenda, which outlines the planned regulatory and deregulatory actions, including those related to the Securities and Exchange Commission (SEC).
- Emphasizing the importance of adapting to modern technology and business models, Gary Gensler states the SEC aims to update rules to enhance the efficiency, integrity, and resilience of the markets, ensuring they serve the interests of both investors and issuers.
- The SEC values public input on these initiatives and appreciates the dedication of its staff and Commissioners in working towards these goals and fulfilling its mission.
Some rules of interest in the Final Rule stage:
- Disclosure of Execution Information
- Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders
- Regulation Best Execution
- Reporting of Security-Based Swap Positions
- Daily Computation of Customer and Broker-Dealer Reserve Requirements Under the Broker-Dealer Customer Protection Rule
- Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities
- Prohibition Against Conflicts of Interest in Certain Securitizations
