The SEC’s regulatory schedule

Nearly 50 rules are being considered by the Securities and Exchange Commission.

Nearly 50 regulatory rules are being considered by the SEC, according to the agency’s revised Reg Flex agenda. Below are 19 items of most interest to IAs and B-Ds, along with the Commission’s projected date for action. The agency’s timelines are estimates. Indeed, several have already been missed.
Regulatory stage Rule title Projected date
Proposed rule Accredited Investor Definition September 2020
Proposed rule Regulation Crowdfunding Amendments September 2020
Proposed rule Amendments to Form 13F Filer Threshold September 2020
Proposed rule Use of Derivatives by Registered Investment Companies and Business Development Companies April 2020
Proposed rule Amendments to the Marketing Rules Under the Advisers Act December 2019
Proposed rule Amendments to the Custody Rules for Investment Advisers April 2020
Proposed rule Amendments to Procedures for Applications Under the Investment Company Act December 2019
Proposed rule Investment Company Summary Shareholder Report September 2020
Proposed rule Registration of Investment Advisers to Rural Business Investment Companies September 2020
Proposed rule Prohibition Against Fraud, Manipulation and Deception in Connection with Security-Based Swaps September 2020
Proposed rule Broker-Dealer Reporting, Audit and Notification Requirements September 2020
Proposed rule Initiation or Resumption of Quotations without Specified Information December 2019
Proposed rule Amendments to NMS Plan for the Consolidated Audit Trail-Data Security September 2020
Final rule Exchange-Traded Funds November 2019
Final rule Fund of Funds Arrangements April 2020
Final rule Offering Reform for Business Development Companies Under the Small Business Credit Availability Act and Closed-End Funds Under the Economic Growth, Regulatory Relief and Consumer Protection Act April 2020
Final rule Reporting and Record-keeping Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants November 2019
Final rule Customer Margin Requirements for Security Futures September 2020
Final rule Amendments to the Commission’s Whistle-blower Program Rules November 2019


This article originally appeared in sister publication Regulatory Compliance Watch