Securities and Exchange Commission

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2026-10-23List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
2026-10-23Request for Interpretive Guidance Regarding Form S-3 Eligibility in Connection with a Voluntary Reporting Period
2026-10-15Investment Company Cross Trading
2026-10-06Adoption of Updated EDGAR Filer Manual
2026-09-29SEC Division of Investment Management staff letter: Mutual Fund Directors Forum
2026-09-28SEC Division of Corporation Finance no-action letter: Equity-Linked Structured Notes
2026-09-28SEC Division of Corporation Finance no-action letter: The Goldman Sachs Group, Inc.
2026-09-23SEC Division of Corporation Finance no-action letter: IREN Limited
2026-09-22SEC Division of Corporation Finance no-action letter: Truist Financial Corporation
2026-09-17SEC Division of Trading and Markets no-action letter: eToro USA Securities Inc.
2026-09-17SEC Division of Trading and Markets no-action letter: Alpaca Securities LLC
2026-09-10Political Contributions by Certain Investment Advisers
2026-09-04Transfer Agent Rules
2026-09-03Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Further Extension of Compliance Date
2026-09-02SEC Trading and Markets FAQ: Treasury Clearing
2026-09-02Exemption of Debt Obligations Issued by the European Union Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
2026-08-21SEC Division of Corporation Finance no-action letter: Arbutus Biopharma Corporation
2026-08-21Regulation Crypto Assets
2026-08-17SEC Division of Trading and Markets no-action letter: MX2 LLC
2026-08-14Regulatory Flexibility Agenda
2026-08-12SEC Division of Corporation Finance no-action letter: Brian David Smit
2026-08-12SEC Division of Investment Management staff letter: Franklin Templeton
2026-08-06Investment Company Governance Technical Amendments
2026-07-27SEC Division of Investment Management staff letter: Investment Company Institute
2026-07-23SEC Division of Corporation Finance no-action letter: Latham & Watkins LLP - Data Center Securitizations
2026-07-21Electronic Delivery of Information Under the Federal Securities Laws
2026-07-18Modernization of Delegations of Authority to Commission Staff
2026-07-09SEC Division of Investment Management staff letter: Angel Oak Financial Strategies Income Term Trust
2026-07-08SEC Division of Corporation Finance no-action letter: UBS Group AG
2026-07-06SEC Division of Corporation Finance no-action letter: Investview, Inc.
2026-06-30Exemptive Order for Tender or Exchange Offers for Non-Convertible Debt Securities
2026-06-30SEC Division of Trading and Markets no-action letter: Texas Stock Exchange LLC
2026-06-30Joint Request for Comment on Further Implementation of Portfolio Margining and Cross-Margining of Securities and Derivatives
2026-06-29SEC Division of Trading and Markets no-action letter: Securities Industry and Financial Markets Association
2026-06-26SEC Trading and Markets FAQ: Regulation SHO
2026-06-26SEC Trading and Markets FAQ: Regulation SHO - Rule 201
2026-06-25Technical Amendments to Form X-17A-5 Part IIA
2026-06-25Financial Data Transparency Act Joint Data Standards
2026-06-24Joint Request for Comment on Swap and Security-Based Swap Data Reporting
2026-06-24Joint Request for Comment on Further Definition of Swap and Security-Based Swap and on Alternative Compliance
2026-06-17The Trade-Through Rule and Locked and Crossed Markets Provisions of Regulation NMS
2026-06-10SEC Division of Trading and Markets no-action letter: Securities Industry and Financial Markets Association
2026-06-05SEC Division of Corporation Finance no-action letter: Franklin Resources, Inc.
2026-06-04SEC Division of Investment Management staff letter: Blackstone Private Credit Fund
2026-06-03Rescission of Climate-Related Disclosure Rules
2026-06-03SEC Division of Corporation Finance no-action letter: Morgan Stanley & Co. LLC
2026-06-03SEC Division of Trading and Markets no-action letter: ACI Capital Markets LLC
2026-06-01Holding Foreign Insiders Accountable Act Disclosure; Correction
2026-05-29SEC Division of Trading and Markets no-action letter: The Carney Group, Inc.
2026-05-26Registered Offering Reform
2026-05-21Rescission of Policy Regarding Denials in Settlements of Enforcement Actions
2026-05-21Enhancement of Emerging Growth Company Accommodations and Simplification of Filer Status for Reporting Companies
2026-05-07SEC Division of Corporation Finance no-action letter: CMHC-Registered Covered Bonds
2026-05-07SEC Proposed Rule on Semiannual Reporting
2026-05-05SEC Division of Trading and Markets no-action letter: Robinhood Financial LLC and Robinhood Securities, LLC
2026-05-05Technical Amendments to Rule 610(e) of Regulation NMS and Delegation of Authority
2026-05-04SEC Division of Trading and Markets no-action letter: HQLAx
2026-04-30SEC Division of Trading and Markets no-action letter: 24X National Exchange LLC
2026-04-27SEC Division of Investment Management staff letter: J.P. Morgan Investment Management, Inc.
2026-04-24SEC Division of Investment Management staff letter: Tax-Free Fixed Income Fund V for Puerto Rico Residents, Inc.
2026-04-24Form PF; Reporting Requirements for All Filers
2026-04-20Concept Release on Consolidated Audit Trail and Other Audit Trails and Data Sources
2026-04-17SEC Trading and Markets FAQ: Security-Based Swap Trading Relationship Documentation Audits
2026-04-16SEC Division of Investment Management staff letter: Third Point Private Capital Income Fund
2026-04-16Adoption of Updated EDGAR Filer Manual
2026-04-16Exemptive Order for Tender Offers for Equity Securities
2026-04-15SEC Division of Corporation Finance no-action letter: Tower Semiconductor Ltd.
2026-04-10SEC Division of Corporation Finance no-action letter: Bank of England
2026-04-08SEC Division of Corporation Finance no-action letter: Elastic N.V.
2026-03-31Performance-Based Investment Advisory Fees
2026-03-31SEC Division of Corporation Finance no-action letter: Angel Studios 010 Inc.
2026-03-30SEC Division of Trading and Markets no-action letter: ISLA Americas and Securities Industry and Financial Markets Association
2026-03-24SEC Division of Trading and Markets no-action letter: Pentalpha Capital LLC
2026-03-23Application of the Federal Securities Laws to Certain Types of Crypto Assets and Certain Transactions Involving Crypto Assets
2026-03-23SEC Division of Corporation Finance no-action letter: Ally Financial Inc.
2026-03-19SEC Division of Trading and Markets no-action letter: Cboe EDGX Exchange, Inc.
2026-03-19Publication or Submission of Quotations Without Specified Information
2026-03-17SEC Order Granting Conditional Exemptive Relief from Exchange Act Provisions for Multi-Class ETFs
2026-03-17SEC Division of Trading and Markets no-action letter: Investment Company Institute
2026-03-13SEC Trading and Markets FAQ: Form X-17A-5
2026-03-13SEC Division of Corporation Finance no-action letter: Wedbush Securities Inc.
2026-03-12SEC Division of Corporation Finance no-action letter: Tower Semiconductor Ltd.
2026-03-05SEC Final Rule on Fund of Funds Arrangements
2026-03-03Holding Foreign Insiders Accountable Act Disclosure
2026-02-27SEC Division of Trading and Markets no-action letter: Bloomberg SEF LLC
2026-02-27SEC Division of Corporation Finance no-action letter: RB Global Inc.
2026-02-23Investment Company Names Form N-PORT Reporting; Extension of Compliance Date
2026-02-23Form N-PORT Reporting
2026-02-20SEC Division of Trading and Markets no-action letter: Capitolis Global Broker-Dealer
2026-02-20SEC Division of Trading and Markets no-action letter: SIPC NYSE Special Trust
2026-02-18SEC Division of Corporation Finance no-action letter: DigitalBridge Group, Inc.
2026-02-16SEC Division of Investment Management staff letter: Highland Opportunities and Income Fund
2026-02-16SEC Division of Investment Management staff letter: Highland Global Allocation Fund
2026-02-11SEC Division of Trading and Markets no-action letter: Cowen Financial Products LLC
2026-01-30SEC Division of Trading and Markets no-action letter: Letter from Cboe Europe
2026-01-23SEC Division of Trading and Markets no-action letter: Vestwell Securities, LLC
2026-01-23SEC Division of Corporation Finance no-action letter: Archer-Daniels-Midland Company
2026-01-23SEC Division of Corporation Finance no-action letter: BofA Securities, Inc. et al.
2026-01-21SEC Division of Corporation Finance no-action letter: Aadhar Housing Finance Limited
2026-01-16SEC Division of Trading and Markets no-action letter: Cboe BYX Exchange, Inc.
2026-01-16Delegation of Authority To Grant or Deny Exemptions From Rule 612 of Regulation NMS Under the Securities Exchange Act of 1934
2026-01-15Investment Adviser Marketing
2026-01-12SEC Division of Corporation Finance no-action letter: MegPrime Holding LLC
2026-01-12Small Business and Small Organization Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act
2026-01-12List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
2026-01-06SEC Division of Trading and Markets no-action letter: Raymond James & Associates, Inc.
2025-12-31Delegation of Authority to the Director of the Division of Investment Management
2025-12-18Technical Amendments to Commission Rules and Forms
2025-12-17SEC Division of Trading and Markets no-action letter: Citigroup Global Markets Limited
2025-12-11SEC Division of Trading and Markets no-action letter: The Depository Trust Company
2025-12-11Technical Amendments to Commission Forms
2025-12-08Extension of Compliance Date for Required Daily Computation of Customer and Broker-Dealer Reserve Requirements under Rule 15c3-3
2025-12-08SEC Division of Corporation Finance no-action letter: Northern Trust Corporation
2025-12-04SEC Division of Corporation Finance no-action letter: Oppenheimer & Co. Inc.
2025-12-03SEC Division of Trading and Markets no-action letter: Securities Industry and Financial Markets Association
2025-12-02SEC Division of Corporation Finance no-action letter: Virtu Americas LLC
2025-11-24SEC Division of Corporation Finance no-action letter: Fuse Crypto Limited
2025-11-21Self-Regulatory Organizations; BOX Exchange LLC, Cboe Exchange, Inc., Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGX Exchange, Inc., Miami International Securities Exchange, LLC, MIAX PEARL, LLC, MIAX Sapphire, LLC, Nasdaq ISE, LLC, New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE National, Inc., and NYSE Texas, Inc.; Deemed Approval of Various Proposed Rule Changes
2025-11-17SEC Division of Trading and Markets no-action letter: Financial Services Institute
2025-10-02Extension of Compliance Date for Disclosure of Order Execution Information
2025-10-01Concept Release on Residential Mortgage-Backed Securities Disclosures and Enhancements to Asset-Backed Securities Registration
2025-09-30Request for No-Action Relief Under Section 206(4) of the Investment Advisers Act and Sections 17(f) and 26(a) of the Investment Company Act with Respect to State Trust Companies that Provide Crypto Asset Custody Services
2025-09-25SEC Division of Corporation Finance no-action letter: DoubleZero
2025-09-19Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Further Extension of Compliance Date
2025-09-19Commission’s Rules of Practice
2025-09-19Acceleration of Effectiveness of Registration Statements of Issuers With Certain Mandatory Arbitration Provisions
2025-09-15SEC Division of Corporation Finance no-action letter: Exxon Mobil Corporation
2025-09-11SEC Division of Corporation Finance no-action letter: Infosys Limited
2025-09-10Extension of Compliance Dates for Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report
2025-09-05SEC Division of Trading and Markets no-action letter: Financial Industry Regulatory Authority, Inc.
2025-09-04SEC Division of Corporation Finance no-action letter: Banco Bilbao Vizcaya Argentaria, S.A.
2025-09-04SEC Division of Trading and Markets no-action letter: Banco Bilbao Vizcaya Argentaria, S.A.
2025-08-28SEC Division of Corporation Finance no-action letter: Royal Bank of Canada
2025-08-28SEC Division of Investment Management staff letter: Teachers Insurance and Annuity Association of America et al.
2025-08-08SEC Order Granting Ripple Labs, Inc. a Waiver of Rule 506(d)(1)(ii)(A) Disqualification
2025-08-06SEC Trading and Markets FAQ: Treasury Clearing and Rule 15c3-3a
2025-07-31SEC Division of Corporation Finance no-action letter: Manappuram Finance Limited
2025-07-22SEC Division of Trading and Markets no-action letter: Securities Industry and Financial Markets Association, Re: Broker-Dealer Capital Charges in Connection with the Creation and Redemption of SEC-Registered Exchange-Traded Funds
2025-07-18SEC Staff Letter: Nuveen Pennsylvania Quality Municipal Income Fund – Omission of Shareholder Proposal by Saba Capital
2025-07-11Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rules 6380A and 6380B (Transaction Reporting) To Extend the Trade Reporting Facilities Operating Hours
2025-07-01Extension of Compliance Date for Required Daily Computation of Customer and Broker-Dealer Reserve Requirements Under the Broker-Dealer Customer Protection Rule
2025-07-01Adoption of Updated EDGAR Filer Manual
2025-06-27SEC Division of Corporation Finance no-action letter: BirchBioMed Inc.
2025-06-20Policy Statement Concerning Agency Referrals for Potential Criminal Enforcement
2025-06-17Withdrawal of Proposed Regulatory Actions
2025-06-16Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Further Extension of Compliance Date
2025-06-09Concept Release on Foreign Private Issuer Eligibility
2025-05-13SEC Division of Corporation Finance no-action letter: Santos Brasil Participaçŏes S.A.
2025-05-09SEC Division of Corporation Finance no-action letter: SIFMA et al.
2025-05-08SEC Disclosure Guidance: Topic No. 2: Cybersecurity
2025-05-06SEC Disclosure Guidance: Sample Letter to Companies Regarding Recent Developments in Crypto Asset Markets
2025-05-06SEC Disclosure Guidance: Topic No. 9: Coronavirus (COVID-19)
2025-05-02SEC Division of Investment Management staff letter: Eaton Vance New York Municipal Bond Fund
2025-04-30SEC Division of Corporation Finance no-action letter: NXP Semiconductors N.V.
2025-04-24Regulation SBSR and Security-Based Swap Data Repository Rules; Extension
2025-04-22Form N-PORT and Form N-CEN Reporting; Guidance on Open-End Fund Liquidity Risk Management Programs; Delay of Effective and Compliance Dates
2025-04-18Adoption of Updated EDGAR Filer Manual
2025-04-11Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
2025-04-11SEC Division of Corporation Finance no-action letter: Aegon Ltd.
2025-04-08SEC Division of Investment Management Industry Letter on Filing SAP Financial Statements for Index-Linked Life Insurance and Contingent Deferred Annuities
2025-03-20Investment Company Names; Extension of Compliance Date
2025-03-14Delegation of Authority to Director of the Division of Enforcement
2025-03-06Latham & Watkins LLP Request for Rule 506(c) Interpretative Guidance
2025-03-05SEC Division of Investment Management staff letter: Eaton Vance California Municipal Bond Fund
2025-03-04Extension of Compliance Dates for 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
2025-02-26SEC Division of Trading and Markets no-action letter: Marex Securities Products Inc.
2025-02-18Technical Amendments to Commission Rules and Forms
2025-02-12SEC Staff Legal Bulletin: SLB 14M
2025-02-05Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Extension of Compliance Date
2025-01-30Staff Accounting Bulletin No. 122
2025-01-30Adoption of Updated EDGAR Filer Manual
2025-01-23SEC Staff Accounting Bulletin: SAB 122
2025-01-21Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report
2025-01-17SEC Division of Corporation Finance no-action letter: LPL Financial LLC
2025-01-13Daily Computation of Customer and Broker-Dealer Reserve Requirements Under the Broker-Dealer Customer Protection Rule
2024-12-27EDGAR Filer Access and Account Management
2024-12-16Commission’s Organization and Program Management Regulations
2024-12-10List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
2024-12-09SEC Division of Corporation Finance no-action letter: Morgan Stanley Smith Barney LLC
2024-12-06SEC Division of Trading and Markets no-action letter: Cboe Exchange, Inc., Re: Treatment of Certain Corporate Bond Index Futures under Appendix A to Rule 15c3-1
2024-12-06In the Matter of the Application of 24X National Exchange LLC for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission
2024-12-05SEC Division of Trading and Markets no-action letter: Securities Industry and Financial Markets Association
2024-12-04SEC Division of Corporation Finance no-action letter: Aavas Financiers Limited
2024-12-04Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
2024-11-22IM Staff Statement on FICC Registered Fund Margin Framework
2024-11-22SEC Division of Trading and Markets no-action letter: Amended Rule 15c2-11 in Relation to Fixed Income Securities
2024-11-19Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
2024-11-18Conforming Amendments to Commission Rules and Forms
2024-11-18Covered Clearing Agency Resilience and Recovery and Orderly Wind-Down Plans
2024-11-15SEC Division of Corporation Finance no-action letter: LyondellBasell Industries N.V.
2024-11-01SEC Division of Investment Management staff letter: Vanguard Funds (Vanguard Dividend Appreciation Index Fund, Vanguard Short-Term Corporate Bond Index Fund, Vanguard Developed Markets Index Fund, Vanguard Inflation-Protected Securities Fund, Vanguard Intermediate-Term Investment Grade Fund, Vanguard Long-Term Investment Grade Fund, Vanguard Long-Term Treasury Fund, Vanguard Short-Term Federal Fund, Vanguard Short-Term Treasury Fund, Vanguard Short-Term Investment-Grade Fund, Vanguard 500 Index Fund, Vanguard Capital Opportunity Fund, Vanguard Cash Reserves Federal Money Market Fund (f/k/a Vanguard Prime Money Market Fund), Vanguard Dividend Growth Fund, Vanguard Equity Income Fund, Vanguard European Stock Index Fund, Vanguard Federal Money Market Fund, Vanguard FTSE All-World Ex-US Index Fund, Vanguard FTSE Social Index Fund, Vanguard Global Equity Fund, Vanguard GNMA Fund, Vanguard Growth Index Fund, Vanguard High-Yield Corporate Fund, Vanguard Intermediate-Term Bond Index Fund, Vang
2024-10-22Adoption of Updated EDGAR Filer Manual
2024-10-08Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders
2024-09-24Order Granting Waivers of Disqualification Provisions for Off-Channel Communications Settlements
2024-09-19SEC Division of Corporation Finance no-action letter: Ping An Insurance (Group) Company of China, Ltd.
2024-09-11Form N-PORT and Form N-CEN Reporting; Guidance on Open-End Fund Liquidity Risk Management Programs
2024-08-30Qualifying Venture Capital Funds Inflation Adjustment
2024-08-22Financial Data Transparency Act Joint Data Standards
2024-08-16Securities and Exchange Commission Semiannual Regulatory Flexibility Agenda
2024-08-14SEC Order Granting Waivers of Disqualification Provisions for Firms in Off-Channel Communications Initiative