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