Securities and Exchange Commission

605 documents, newest first — showing 1–200.

Browse with filters on the regulator page.

2026-09-10Political Contributions by Certain Investment Advisers
2026-09-04Transfer Agent Rules
2026-08-21Regulation Crypto Assets
2026-08-14Regulatory Flexibility Agenda
2026-08-06Investment Company Governance Technical Amendments
2026-07-21Electronic Delivery of Information Under the Federal Securities Laws
2026-07-18Modernization of Delegations of Authority to Commission Staff
2026-06-30Joint Request for Comment on Further Implementation of Portfolio Margining and Cross-Margining of Securities and Derivatives
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 Further Definition of Swap and Security-Based Swap and on Alternative Compliance
2026-06-24Joint Request for Comment on Swap and Security-Based Swap Data Reporting
2026-06-17The Trade-Through Rule and Locked and Crossed Markets Provisions of Regulation NMS
2026-06-03Rescission of Climate-Related Disclosure Rules
2026-06-01Holding Foreign Insiders Accountable Act Disclosure; Correction
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 Proposed Rule on Semiannual Reporting
2026-05-05Technical Amendments to Rule 610(e) of Regulation NMS and Delegation of Authority
2026-04-24Form PF; Reporting Requirements for All Filers
2026-04-20Concept Release on Consolidated Audit Trail and Other Audit Trails and Data Sources
2026-04-16Adoption of Updated EDGAR Filer Manual
2026-03-31Performance-Based Investment Advisory Fees
2026-03-23Application of the Federal Securities Laws to Certain Types of Crypto Assets and Certain Transactions Involving Crypto Assets
2026-03-19Publication or Submission of Quotations Without Specified Information
2026-03-03Holding Foreign Insiders Accountable Act Disclosure
2026-02-23Form N-PORT Reporting
2026-02-23Investment Company Names Form N-PORT Reporting; Extension of Compliance Date
2026-01-16Delegation of Authority To Grant or Deny Exemptions From Rule 612 of Regulation NMS Under the Securities Exchange Act of 1934
2026-01-12List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
2026-01-12Small Business and Small Organization Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act
2025-12-31Delegation of Authority to the Director of the Division of Investment Management
2025-12-18Technical Amendments to Commission Rules and Forms
2025-12-11Technical Amendments to Commission Forms
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
2025-09-19Commission’s Rules of Practice
2025-09-19Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Further Extension of Compliance Date
2025-09-19Acceleration of Effectiveness of Registration Statements of Issuers With Certain Mandatory Arbitration Provisions
2025-09-10Extension of Compliance Dates for Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report
2025-07-01Extension 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
2025-06-20Policy 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
2025-04-24Regulation 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
2025-03-20Investment Company Names; Extension of Compliance Date
2025-03-14Delegation of Authority to Director of the Division of Enforcement
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
2025-02-18Technical Amendments to Commission Rules and Forms
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
2025-01-21Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report
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
2024-12-04Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
2024-11-19Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
2024-11-18Covered Clearing Agency Resilience and Recovery and Orderly Wind-Down Plans
2024-11-18Conforming Amendments to Commission Rules and Forms
2024-10-22Adoption of Updated EDGAR Filer Manual
2024-10-08Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders
2024-09-11Form 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
2024-08-09Adoption of Updated EDGAR Filer Manual
2024-07-24Registration for Index-Linked Annuities and Registered Market Value Adjustment Annuities; Amendments To Form N-4
2024-06-27Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information; Correction
2024-06-20Special Purpose Acquisition Companies, Shell Companies, and Projections; Correction
2024-06-03Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information
2024-05-21Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers
2024-04-19Adoption of Updated EDGAR Filer Manual
2024-04-15Disclosure of Order Execution Information
2024-04-12The Enhancement and Standardization of Climate-Related Disclosures for Investors; Delay of Effective Date
2024-04-09Exemption for Certain Investment Advisers Operating Through the Internet
2024-04-08Share Repurchase Disclosure Modernization
2024-03-28The Enhancement and Standardization of Climate-Related Disclosures for Investors
2024-03-18Exemption for Certain Investment Advisers Operating Through the Internet; Correction
2024-03-18EDGAR Filer Access and Account Management; Correction
2024-03-12Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
2024-02-29Further Definition of As a Part of a Regular Business in the Definition of Dealer and Government Securities Dealer in Connection With Certain Liquidity Providers
2024-02-28Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
2024-02-26Special Purpose Acquisition Companies, Shell Companies, and Projections
2024-02-21Qualifying Venture Capital Funds Inflation Adjustment
2024-02-09Securities and Exchange Commission Regulatory Flexibility Agenda
2024-01-24Adoption of Updated EDGAR Filer Manual
2024-01-16Standards 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
2023-12-15Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities
2023-12-07Prohibition Against Conflicts of Interest in Certain Securitizations
2023-12-05Clearing Agency Governance and Conflicts of Interest
2023-11-07Modernization of Beneficial Ownership Reporting
2023-11-06Volume-Based Exchange Transaction Pricing for NMS Stocks
2023-11-03Reporting of Securities Loans
2023-11-01Short Position and Short Activity Reporting by Institutional Investment Managers
2023-10-27Investment Company Names; Correction
2023-10-13Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities
2023-10-13List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
2023-10-11Investment Company Names
2023-10-03Adoption of Updated EDGAR Filer Manual
2023-09-26The Commission's Privacy Act Regulations
2023-09-22EDGAR Filer Access and Account Management
2023-09-14Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
2023-09-07Exemption for Certain Exchange Members
2023-08-30Safeguarding Advisory Client Assets; Reopening of Comment Period
2023-08-09Conflicts of Interest Associated With the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers
2023-08-04Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure
2023-08-03Money Market Fund Reforms; Form PF Reporting Requirements for Large Liquidity Fund Advisers; Technical Amendments to Form N-CSR and Form N-1A
2023-08-01Exemption for Certain Investment Advisers Operating Through the Internet
2023-07-27Securities and Exchange Commission Semiannual Regulatory Flexibility Agenda
2023-07-18Daily Computation of Customer and Broker-Dealer Reserve Requirements Under the Broker-Dealer Customer Protection Rule
2023-07-18Adoption of Updated EDGAR Filer Manual
2023-06-30Prohibition Against Fraud, Manipulation, or Deception in Connection With Security-Based Swaps; Prohibition Against Undue Influence Over Chief Compliance Officers
2023-06-26Reopening of Comment Period for Position Reporting of Large Security-Based Swap Positions
2023-06-20Removal of References to Credit Ratings From Regulation M
2023-06-12Form PF; Event Reporting for Large Hedge Fund Advisers and Private Equity Fund Advisers; Requirements for Large Private Equity Fund Adviser Reporting
2023-06-12Technical Amendments to Commission Rules and Forms
2023-06-01Share Repurchase Disclosure Modernization
2023-05-30Covered Clearing Agency Resilience and Recovery and Wind-Down Plans
2023-05-23Technical Amendments to Form BD and Form BDW
2023-05-05Supplemental Information and Reopening of Comment Period for Amendments Regarding the Definition of Exchange
2023-05-04Reopening of Comment Period for Modernization of Beneficial Ownership Reporting
2023-04-20Adoption of Updated EDGAR Filer Manual
2023-04-18Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report
2023-04-14Regulation Systems Compliance and Integrity
2023-04-07Insider Trading Arrangements and Related Disclosures Correction
2023-04-06Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information
2023-04-05Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, and Other Market Entities
2023-03-30Securities Exchange Act of 1934; CFR Correction
2023-03-24CFR Corrections and Technical Amendments by the SEC and FDA
2023-03-21Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies; Reopening of Comment Period
2023-03-09Safeguarding Advisory Client Assets
2023-03-06Shortening the Securities Transaction Settlement Cycle
2023-02-27Extending Form 144 EDGAR Filing Hours
2023-02-22Securities and Exchange Commission Regulatory Flexibility Agenda
2023-02-21The Commission’s Privacy Act Regulations
2023-02-14Prohibition Against Conflicts of Interest in Certain Securitizations
2023-02-07Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
2023-01-27Regulation Best Execution
2023-01-24Adoption of Updated EDGAR Filer Manual
2023-01-20Disclosure of Order Execution Information
2023-01-03Order Competition Rule
2022-12-29Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders
2022-12-29Insider Trading Arrangements and Related Disclosures
2022-12-22Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers
2022-12-21Technical Amendments to Commission Rules
2022-12-16Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting
2022-12-12Reopening of Comment Period for Share Repurchase Disclosure Modernization
2022-12-02List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
2022-11-28Listing Standards for Recovery of Erroneously Awarded Compensation
2022-11-25Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements
2022-11-16Outsourcing by Investment Advisers
2022-11-03Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
2022-10-25Standards 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
2022-10-18Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments
2022-10-13Adoption of Updated EDGAR Filer Manual
2022-09-29Regulation Crowdfunding, General Rules and Regulations
2022-09-20Inflation Adjustments Under Titles I and III of the JOBS Act
2022-09-08Pay Versus Performance
2022-09-07Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
2022-09-02Whistleblower Program Rules
2022-09-01Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
2022-08-23Clearing Agency Governance and Conflicts of Interest
2022-08-12Exemption for Certain Exchange Members
2022-08-08Securities and Exchange Commission Regulatory Flexibility Agenda
2022-07-27Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8
2022-07-19Proxy Voting Advice
2022-07-19Adoption of Updated EDGAR Filer Manual
2022-07-11Electronic Submission of Applications for Orders Under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F
2022-06-30Electronic Submission of Applications for Orders Under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F
2022-06-24List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
2022-06-22Request for Comment on Certain Information Providers Acting as Investment Advisers
2022-06-17Investment Company Names
2022-06-17Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment Practices
2022-06-14Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation
2022-06-10Updating EDGAR Filing Requirements and Form 144 Filings
2022-05-13Special Purpose Acquisition Companies, Shell Companies, and Projections
2022-05-12The Enhancement and Standardization of Climate-Related Disclosures for Investors
2022-05-12Reopening of Comment Periods for Private Fund Advisers and Exchange Definition Amendments
2022-05-11Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities
2022-04-19Adoption of Updated EDGAR Filer Manual
2022-04-18Further Definition of As a Part of a Regular Business in the Definition of Dealer and Government Securities Dealer
2022-04-15Technical Amendments to Commission Rules and Forms
2022-04-11The Enhancement and Standardization of Climate-Related Disclosures for Investors
2022-04-11Staff Accounting Bulletin No. 121
2022-03-30Removal of References to Credit Ratings From Regulation M
2022-03-24Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
2022-03-23SEC Proposed Rule on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure
2022-03-18Amendments Regarding the Definition of Exchange and Alternative Trading Systems That Trade U.S. Treasury and Agency Securities, NMS Stocks, and Other Securities
2022-03-16Short Position and Short Activity Reporting by Institutional Investment Managers
2022-03-10Modernization of Beneficial Ownership Reporting
2022-03-09Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies
2022-03-02Reopening of Comment Period for Reporting of Securities Loans