Office of Information and Regulatory Affairs released the Fall 2023 Unified Agenda of Regulatory and Deregulatory Actions for the Securities and Exchange Commission.

Office of Information and Regulatory Affairs released the Fall 2023 Unified Agenda

Source: https://www.reginfo.gov/public/do/eAgendaMain?operation=OPERATION_GET_AGENCY_RULE_LIST&currentPub=true&agencyCode=&showStage=active&agencyCd=3235&csrf_token=1BF2FDB78A7198C9E58764AA2702EF22D6B9C0FBAE9BBC1A5D91D33FD4E0D24F55FF869A4CE1C0345D7FE275ABE899F2B7DB

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 N–PORT 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.

That’s why we’re updating our rules for the technology and business models of the 2020s. We’re 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 SEC’s 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

Office of Information and Regulatory Affairs released the Fall 2023 Unified Agenda of Regulatory and Deregulatory Actions for the Securities and Exchange Commission.

Gary Gensler Statement:

TLDRS:

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