Securities and Exchange Commission

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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
2024-07-03SEC Division of Corporation Finance no-action letter: MorphoSys AG
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
2024-05-29SEC Division of Corporation Finance no-action letter: Banco Bilbao Vizcaya Argentaria, S.A.
2024-05-28SEC Division of Investment Management staff letter: American General Life Insurance Company, The Variable Annuity Life Insurance Company and The United States Life Insurance Company in the City of New York
2024-05-23SEC Trading and Markets FAQ: Security-Based Swap Entities
2024-05-23SEC Trading and Markets FAQ: Regulation SBSR
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
2024-04-12SEC Division of Trading and Markets no-action letter: Representation Letter from B3
2024-04-10SEC Division of Investment Management staff letter: Committee of Annuity Insurers
2024-04-09Exemption for Certain Investment Advisers Operating Through the Internet
2024-04-09SEC Division of Corporation Finance no-action letter: MorphoSys AG
2024-04-08Share Repurchase Disclosure Modernization
2024-04-05SEC Division of Investment Management staff letter: Nuveen Funds (Nuveen AMT-Free Quality Municipal Income Fund and Nuveen New York AMT-Free Quality Municipal Income Fund) – Omission of Shareholder Proposal Submitted by Karpus Investment Management
2024-04-04NSE IFSC Limited notification of intent to rely on Class No-Action Relief for Foreign Options Markets
2024-04-03SEC Division of Corporation Finance no-action letter: Senvest
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
2024-03-08SEC Division of Investment Management staff letter: BNY Mellon Municipal Income, Inc. – Omission of Shareholder Proposal Submitted by Saba Capital Management, L.P., on behalf of Saba Capital Master Fund, Ltd., Pursuant to Rule 14a-8
2024-03-01SEC Division of Investment Management staff letter: Pacific Life Insurance Company and Pacific Life & Annuity Company
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
2024-02-23SEC Division of Investment Management staff letter: Highland Opportunities and Income Fund – Omission of Shareholder Proposal Submitted by Allan Hausman
2024-02-21Qualifying Venture Capital Funds Inflation Adjustment
2024-02-16SEC Division of Investment Management staff letter: Nuveen Funds (Nuveen Real Asset Income and Growth Fund; Nuveen Multi-Asset Income Fund, Nuveen Core Plus Impact Fund) – Omission of Shareholder Proposal Submitted by Saba Capital Management, L.P., on behalf of Saba Capital Master Fund, Ltd.
2024-02-09SEC Division of Corporation Finance no-action letter: Compagnie Maritime Belge NV
2024-02-09Securities and Exchange Commission Regulatory Flexibility Agenda
2024-02-09SEC Order Granting Waivers of Disqualification Provisions for Firms in Broker-Dealer Off-Channel Communications Initiative
2024-01-25SEC Division of Corporation Finance no-action letter: Aon plc
2024-01-24SEC Disclosure Guidance: Topic 11: Special Purpose Acquisition Companies
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
2023-11-02SEC Division of Corporation Finance no-action letter: Imperial Oil Ltd.
2023-11-01Short Position and Short Activity Reporting by Institutional Investment Managers
2023-10-27Investment Company Names; Correction
2023-10-26SEC Investment Management FAQ: Form ADV and IARD
2023-10-24SEC Division of Corporation Finance no-action letter: BlackRock, Inc.
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
2023-10-10SEC Division of Corporation Finance no-action letter: M&T Bank Corporation
2023-10-03Adoption of Updated EDGAR Filer Manual
2023-10-02Puerto Rico Residents Tax-Free Fund, Inc. – Omission of Shareholder Proposal Submitted by Ocean Capital LLC Pursuant to Rule 14a-8
2023-09-29SEC Division of Investment Management staff letter: Eagle Life Insurance Company
2023-09-29SEC Order Granting Waivers of Disqualification Provisions for Firms in Broker-Dealer Off-Channel Communications Initiative
2023-09-26The Commission's Privacy Act Regulations
2023-09-26SEC Division of Corporation Finance no-action letter: John Hancock Exchange-Traded Fund Trust
2023-09-26SEC Division of Investment Management staff letter: Jackson National Life Insurance Company and Jackson National Life Insurance Company of New York
2023-09-22EDGAR Filer Access and Account Management
2023-09-21SEC Division of Investment Management staff letter: Brighthouse Life Insurance Company of NY
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
2023-08-08SEC Order Granting Waivers of Disqualification Provisions for Certain Broker-Dealers
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
2023-07-28SEC Division of Corporation Finance no-action letter: Piramal Enterprises Ltd.
2023-07-27Securities and Exchange Commission Semiannual Regulatory Flexibility Agenda
2023-07-25SEC Division of Corporation Finance no-action letter: Larsen & Toubro Ltd.
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
2023-07-14SEC Division of Investment Management staff letter: Carlyle Global Credit Investment Management, L.L.C.
2023-07-07SEC Division of Corporation Finance no-action letter: Principal ETFs
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
2023-06-21SEC Division of Corporation Finance no-action letter: Natixis ETF Trust II
2023-06-20Removal of References to Credit Ratings From Regulation M
2023-06-12Technical Amendments to Commission Rules and Forms
2023-06-12Form PF; Event Reporting for Large Hedge Fund Advisers and Private Equity Fund Advisers; Requirements for Large Private Equity Fund Adviser Reporting
2023-06-07SEC Division of Corporation Finance no-action letter: Rothschild & Co Concordia SAS
2023-06-01Share Repurchase Disclosure Modernization
2023-05-30Covered Clearing Agency Resilience and Recovery and Wind-Down Plans
2023-05-24SEC Investment Management FAQ: Form 13F
2023-05-23Technical Amendments to Form BD and Form BDW
2023-05-23SEC Division of Trading and Markets no-action letter: Representation Letter from Cboe Europe
2023-05-11SEC Order Granting Waivers of Disqualification Provisions for Certain Broker-Dealer Practices
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
2023-04-28SEC Division of Investment Management staff letter: Delaware Life Insurance Company and Gainbridge Life Insurance Company
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
2023-04-11SEC Division of Corporation Finance no-action letter: R Systems International Ltd.
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
2023-04-03SEC Division of Corporation Finance no-action letter: J.P. Morgan Exchange-Traded Fund Trust
2023-03-30Securities Exchange Act of 1934; CFR Correction
2023-03-29SEC Division of Trading and Markets no-action letter: M&A Brokers
2023-03-24General Rules and Regulations, Securities Act of 1933
2023-03-21Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies; Reopening of Comment Period
2023-03-17SEC Division of Investment Management staff letter: Fidelity & Guaranty Life Insurance Company and Fidelity & Guaranty Life Insurance Company of New York
2023-03-13SEC Division of Trading and Markets no-action letter: Capitolis Liquid Global Markets LLC
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
2023-02-06SEC Division of Corporation Finance no-action letter: Banco Santander, S.A.
2023-02-02SEC Division of Investment Management staff letter: Differential Advisory Fee Waivers
2023-01-27Regulation Best Execution
2023-01-24Adoption of Updated EDGAR Filer Manual
2023-01-20Disclosure of Order Execution Information
2023-01-18Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
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
2022-12-22SEC Division of Corporation Finance no-action letter: SoftSol India Ltd.
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
2022-12-12SEC Division of Corporation Finance no-action letter: Walleye Capital LLC
2022-12-12Reopening of Comment Period for Share Repurchase Disclosure Modernization
2022-12-09SEC Division of Trading and Markets no-action letter: Securities Industry and Financial Markets Association
2022-12-02List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
2022-11-30SEC Division of Trading and Markets no-action letter: Rule 15c2-11 Fixed Income No-Action Letter to FINRA
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
2022-11-17SEC Division of Corporation Finance no-action letter: Tanla Platforms Limited
2022-11-16Outsourcing by Investment Advisers
2022-11-03Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
2022-11-02SEC Division of Corporation Finance no-action letter: Imperial Oil Ltd.
2022-10-31SEC Division of Corporation Finance no-action letter: PagoNxt Merchant Solutions
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
2022-10-21SEC Division of Investment Management staff letter: Everlake Life Insurance Company
2022-10-19SEC Division of Investment Management staff letter: Japan Smaller Capitalization Fund
2022-10-18Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments
2022-10-14SEC Division of Investment Management staff letter: Protective Life Insurance Company and Protective Life and Annuity Insurance Company
2022-10-13Adoption of Updated EDGAR Filer Manual
2022-10-11SEC Division of Corporation Finance no-action letter: Grindrod Shipping Holdings Ltd.
2022-09-29Regulation Crowdfunding, General Rules and Regulations
2022-09-27SEC Order Granting Waivers of Disqualification Provisions for Certain Broker-Dealers and Investment Advisers
2022-09-20Inflation Adjustments Under Titles I and III of the JOBS Act
2022-09-19SEC Division of Trading and Markets no-action letter: Nasdaq Stockholm
2022-09-08Pay Versus Performance
2022-09-07Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
2022-09-06SEC Trading and Markets FAQ: Broker-Dealer Financial Reporting Rule Amendments and Form Custody
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
2022-08-18SEC Division of Trading and Markets no-action letter: 2000 Vadala (Marketability of Certain Securities) Letter Update
2022-08-12Exemption for Certain Exchange Members
2022-08-08Securities and Exchange Commission Regulatory Flexibility Agenda
2022-08-03Regulation Best Interest: The Broker-Dealer Standard of Conduct
2022-07-27Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8
2022-07-21SEC Order Extending In-person Board Relief for Investment Companies and BDCs
2022-07-19Proxy Voting Advice
2022-07-19Adoption of Updated EDGAR Filer Manual
2022-07-14SEC Division of Investment Management staff letter: Japan Smaller Capitalization Fund
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
2022-07-11SEC Trading and Markets FAQ: Security-Based Swaps
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
2022-06-27SEC Division of Corporation Finance no-action letter: Swedish Match AB
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
2022-06-13SEC Division of Corporation Finance no-action letter: The Charles Schwab Corporation
2022-06-10Updating EDGAR Filing Requirements and Form 144 Filings
2022-06-03SEC Trading and Markets FAQ: Rule 606 of Regulation NMS
2022-06-02SEC Division of Trading and Markets no-action letter: Financial Industry Regulatory Authority (Net Capital Treatment of Certain U.S. Treasury Exchange-Traded Funds)
2022-05-20SEC Division of Corporation Finance no-action letter: Thrivent ETF Trust
2022-05-19SEC Division of Corporation Finance no-action letter: First Republic Investment Management, Inc.
2022-05-13Special Purpose Acquisition Companies, Shell Companies, and Projections
2022-05-12Reopening of Comment Periods for Private Fund Advisers and Exchange Definition Amendments
2022-05-12The Enhancement and Standardization of Climate-Related Disclosures for Investors
2022-05-11SEC Division of Corporation Finance no-action letter: IndexIQ Active ETF Trust
2022-05-11Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities
2022-05-10SEC Trading and Markets FAQ: Rule 194 Application and Notice Submissions
2022-05-10SEC Division of Corporation Finance no-action letter: Columbia ETF Trust I
2022-05-04SEC Division of Corporation Finance no-action letter: Imperial Oil Ltd.
2022-05-02SEC Division of Corporation Finance no-action letter: BTIG, LLC
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
2022-04-11Staff Accounting Bulletin No. 121
2022-04-11The Enhancement and Standardization of Climate-Related Disclosures for Investors
2022-03-30Removal of References to Credit Ratings From Regulation M
2022-03-30SEC Investment Management FAQ: Standards of Conduct for Broker-Dealers and Investment Advisers (Account Recommendations for Retail Investors)
2022-03-25SEC Division of Corporation Finance no-action letter: Intertrust N.V.