Securities and Exchange Commission

605 documents, newest first — showing 201–400.

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2022-02-24Shortening the Securities Transaction Settlement Cycle
2022-02-18The Commission's Whistleblower Program Rules
2022-02-17Amendments to Form PF To Require Current Reporting and Amend Reporting Requirements for Large Private Equity Advisers and Large Liquidity Fund Advisers
2022-02-15SEC Proposed Rule on Rule 10b5-1 and Insider Trading
2022-02-15Share Repurchase Disclosure Modernization
2022-02-11Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Correction
2022-02-08Money Market Fund Reforms
2022-02-04Prohibition Against Fraud, Manipulation, or Deception in Connection With Security-Based Swaps; Prohibition Against Undue Influence Over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions
2022-02-02Reopening of Comment Period for Pay Versus Performance
2022-01-31Securities and Exchange Commission Semiannual Regulatory Flexibility Agenda
2022-01-05Adoption of Updated EDGAR Filer Manual
2021-12-20Credit Risk Retention-Notification of Determination of Review
2021-12-09Filing Fee Disclosure and Payment Methods Modernization
2021-12-09Holding Foreign Companies Accountable Act Disclosure
2021-12-08SEC Proposed Rule on Reporting of Securities Loans
2021-12-01Universal Proxy
2021-12-01Staff Accounting Bulletin No. 120
2021-12-01Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
2021-11-26Securities and Exchange Commission Proposed Rule on Proxy Voting Advice
2021-11-22Updating EDGAR Filing Requirements
2021-11-19Electronic 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
2021-11-10Performance-Based Investment Advisory Fees
2021-10-21Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation
2021-10-15Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers
2021-10-07Adoption of Updated EDGAR Filer Manual and Form ID Amendments
2021-08-26Securities and Exchange Commission Freedom of Information Act Regulations
2021-08-16Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Correction
2021-08-13Procedures for the Commission's Use of Certain Authorities Under Rule 21F-3(b)(3) and Rule 21F-6 of the Securities Exchange Act of 1934
2021-07-30Securities and Exchange Commission Regulatory Flexibility Agenda
2021-07-28Adoption of Updated EDGAR Filer Manual
2021-07-22Credit Risk Retention-Notification of Extension of Review Period
2021-06-11Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Correction
2021-06-01Securities and Exchange Commission; Market Data Infrastructure
2021-05-17Performance-Based Investment Advisory Fees
2021-05-11Adoption of Updated EDGAR Filer Manual and Form ID Amendments
2021-05-06Reopening of Comment Period for Universal Proxy
2021-04-09Market Data Infrastructure
2021-04-05Holding Foreign Companies Accountable Act Disclosure
2021-03-31Securities and Exchange Commission Regulatory Flexibility Agenda
2021-03-25List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
2021-03-10Amendments to the Commission's Rules of Practice; Correction
2021-03-05Investment Adviser Marketing
2021-02-26Custody of Digital Asset Securities by Special Purpose Broker-Dealers
2021-02-16Modernization of Delegations of Authority to Commission Staff and Division and Office Descriptions
2021-02-09Securities and Exchange Commission: Qualifications of Accountants
2021-02-03Administration of the Electronic Data Gathering, Analysis, and Retrieval System
2021-02-03Adoption of Updated EDGAR Filer Manual and Proposed Collection and Comment Request for Form ID
2021-02-01Exemption From the Definition of “Clearing Agency” for Certain Activities of Security-Based Swap Dealers and Security-Based Swap Execution Facilities
2021-01-19Rule 144 Holding Period and Form 144 Filings
2021-01-15Disclosure of Payments by Resource Extraction Issuers
2021-01-14Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets
2021-01-12Notice of Proposed Conditional Exemptive Order Granting a Conditional Exemption From the Information Review Requirement and the Recordkeeping Requirement Under the Securities Exchange Act of 1934 for Certain Publications or Submissions of Broker-Dealer Quotations on an Expert Market
2021-01-11SEC Final Rule on Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information
2021-01-06Good Faith Determinations of Fair Value
2020-12-31Regulation ATS for ATSs That Trade U.S. Government Securities, NMS Stock, and Other Securities; Regulation SCI for ATSs That Trade U.S. Treasury Securities and Agency Securities; and Electronic Corporate Bond and Municipal Securities Markets
2020-12-30Amendments to the Commission's Rules of Practice
2020-12-29Delegation of Authority to Director of the Division of Enforcement
2020-12-21Use of Derivatives by Registered Investment Companies and Business Development Companies
2020-12-11Modernization of Rules and Forms for Compensatory Securities Offerings and Sales
2020-12-11Temporary Rules to Include Certain Platform Workers in Compensatory Offerings Under Rule 701 and Form S-8
2020-12-11Qualifications of Accountants
2020-12-04Electronic Signatures in Regulation S-T Rule 302
2020-11-24Customer Margin Rules Relating to Security Futures
2020-11-19Fund of Funds Arrangements
2020-11-05Portfolio Margining of Uncleared Swaps and Non-Cleared Security-Based Swaps
2020-11-05Whistleblower Program Rules
2020-11-05Tailored Shareholder Reports, Treatment of Annual Prospectus Updates for Existing Investors, and Improved Fee and Risk Disclosure for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements
2020-11-04Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8
2020-11-03Adoption of Updated EDGAR Filer Manual
2020-10-27Publication or Submission of Quotations Without Specified Information
2020-10-16Update of Statistical Disclosures for Bank and Savings and Loan Registrants
2020-10-15Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments and Modified Procedures for Proposed NMS Plans and Plan Amendments
2020-10-09Accredited Investor Definition
2020-10-09Order Designating Certain Professional Licenses as Qualifying Natural Persons for Accredited Investor Status
2020-10-08Modernization of Regulation S-K Items 101, 103, and 105
2020-09-25Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds; Correction
2020-09-17Administration of the Electronic Data Gathering, Analysis, and Retrieval System
2020-09-15Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940
2020-09-03Supplement to Commission Guidance Regarding Proxy Voting Responsibilities of Investment Advisers
2020-09-03Exemptions From the Proxy Rules for Proxy Voting Advice
2020-09-02Temporary Amendments to Regulation Crowdfunding; Extension
2020-08-31Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
2020-08-31Amendments to Financial Disclosures About Acquired and Disposed Businesses
2020-08-31Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities; Correction
2020-08-26Securities and Exchange Commission Semiannual Regulatory Flexibility Agenda
2020-07-31Reporting Threshold for Institutional Investment Managers
2020-07-31Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
2020-07-27Securities Offering Reform for Closed-End Investment Companies; Correction
2020-07-01Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts; Correction
2020-06-30Credit Risk Retention-Notification of Commencement of Review; Extension of Review Period
2020-06-01Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Correction
2020-06-01Securities Offering Reform for Closed-End Investment Companies
2020-05-18Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
2020-05-14Definition of Covered Clearing Agency
2020-05-13Good Faith Determinations of Fair Value
2020-05-13Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts Correction
2020-05-07Temporary Amendments to Regulation Crowdfunding
2020-05-01Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
2020-04-20Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities
2020-04-09Accelerated Filer and Large Accelerated Filer Definitions; Correction
2020-03-31Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets
2020-03-31Relief for Form ID Filers and Regulation Crowdfunding and Regulation A Issuers Related to Coronavirus Disease 2019 (COVID-19)
2020-03-26Accelerated Filer and Large Accelerated Filer Definitions
2020-03-24Market Data Infrastructure
2020-03-10Exemptions From Investment Adviser Registration for Advisers to Certain Rural Business Investment Companies
2020-03-02Delegation of Authority to the General Counsel of the Commission
2020-02-28Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information
2020-02-28Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
2020-02-25Commission Guidance on Management’s Discussion and Analysis of Financial Condition and Results of Operations
2020-02-19Adoption of Updated EDGAR Filer Manual
2020-02-04Risk Mitigation Techniques for Uncleared Security-Based Swaps
2020-02-04Cross-Border Application of Certain Security-Based Swap Requirements
2020-01-24Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence by Broker-Dealers and Registered Investment Advisers Regarding Retail Customers' Transactions in Certain Leveraged/Inverse Investment Vehicles
2020-01-15Amendments to Rule 2-01, Qualifications of Accountants
2020-01-15Disclosure of Payments by Resource Extraction Issuers
2020-01-15Amending the Accredited Investor Definition
2019-12-27Filing Fee Disclosure and Payment Methods Modernization
2019-12-26Securities and Exchange Commission Semiannual Regulatory Agenda
2019-12-20Credit Risk Retention-Notice of Commencement of Review
2019-12-16Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers
2019-12-10Investment Adviser Advertisements; Compensation for Solicitations
2019-12-04Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8
2019-12-04Amendments to Exemptions From the Proxy Rules for Proxy Voting Advice
2019-11-25Staff Accounting Bulletin No. 119
2019-11-14Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
2019-10-30Publication or Submission of Quotations Without Specified Information
2019-10-30Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940
2019-10-24Exchange-Traded Funds
2019-10-24Adoption of Updated EDGAR Filer Manual
2019-10-24Commission Statement on Market Structure Innovation for Thinly Traded Securities
2019-10-15Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers; Correction
2019-10-11Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments
2019-10-09Proposed Exemptive Order Granting Conditional Exemption From Broker Registration for Registered Municipal Advisors
2019-10-04Solicitations of Interest Prior to a Registered Public Offering
2019-10-03Update of Statistical Disclosures for Bank and Savings and Loan Registrants
2019-09-26Technical Amendments To Update Cross-References to Commission's FOIA Regulations
2019-09-10Commission Interpretation and Guidance Regarding the Applicability of the Proxy Rules to Proxy Voting Advice
2019-09-10Commission Guidance Regarding Proxy Voting Responsibilities of Investment Advisers
2019-08-23Modernization of Regulation S-K Items 101, 103, and 105
2019-08-22Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers
2019-08-14Amendments to Rules for Nationally Recognized Statistical Rating Organizations
2019-08-13FAST Act Modernization and Simplification of Regulation S-K; Correction
2019-08-09Regulation Best Interest: The Broker-Dealer Standard of Conduct Correction
2019-08-06Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
2019-07-26Customer Margin Rules Relating to Security Futures
2019-07-22Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds
2019-07-12Form CRS Relationship Summary; Amendments to Form ADV
2019-07-12Commission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion From the Definition of Investment Adviser
2019-07-12Commission Interpretation Regarding Standard of Conduct for Investment Advisers
2019-07-12Regulation Best Interest: The Broker-Dealer Standard of Conduct
2019-07-11List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
2019-07-05Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships
2019-07-01Adoption of Updated EDGAR Filer Manual
2019-06-26Concept Release on Harmonization of Securities Offering Exemptions
2019-06-24Securities and Exchange Commission Regulatory Flexibility Agenda
2019-06-14Amendment to Single Issuer Exemption for Broker-Dealers
2019-05-29Amendments to the Accelerated Filer and Large Accelerated Filer Definitions
2019-05-28Amendments to Financial Disclosures About Acquired and Disposed Businesses
2019-05-24Proposed Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements
2019-04-30Disclosure of Order Handling Information
2019-04-10Securities Offering Reform for Closed-End Investment Companies
2019-04-08FAST Act Modernization and Simplification of Regulation S-K Correction
2019-04-03Public Company Accounting Oversight Board Hearing Officers
2019-04-02FAST Act Modernization and Simplification of Regulation S-K
2019-04-01Adoption of Updated EDGAR Filer Manual
2019-03-06Amendments to the Timing Requirements for Filing Reports on Form N-Port
2019-02-28Solicitations of Interest Prior to a Registered Public Offering
2019-02-21Reopening of Comment Period for Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
2019-02-20Transaction Fee Pilot for NMS Stocks
2019-02-19Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved in Effecting Security-Based Swaps
2019-02-15Risk Mitigation Techniques for Uncleared Security-Based Swaps
2019-02-08Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds
2019-02-06Disclosure of Hedging by Employees, Officers and Directors
2019-02-01Fund of Funds Arrangements
2019-01-31Conditional Small Issues Exemption Under the Securities Act of 1933 (Regulation A)
2018-12-26Modernization of Property Disclosures for Mining Registrants
2018-12-26Adoption of Updated EDGAR Filer Manual
2018-12-21Request for Comment on Earnings Releases and Quarterly Reports
2018-12-13Covered Investment Fund Research Reports
2018-12-04Form N-1A; Correction
2018-11-30Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
2018-11-27List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
2018-11-19Disclosure of Order Handling Information
2018-11-16Adoption of Updated EDGAR Filer Manual; Correction
2018-11-16Securities and Exchange Commission Regulatory Flexibility Agenda
2018-11-13Regulation of NMS Stock Alternative Trading Systems
2018-11-06Commission Statement on Certain Provisions of Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
2018-11-05Adoption of Updated EDGAR Filer Manual
2018-10-19Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
2018-10-19Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Michael
2018-10-05Amendments to Rules for Nationally Recognized Statistical Rating Organizations
2018-10-04Disclosure Update and Simplification
2018-10-02Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities
2018-09-27Amendment to Single Issuer Exemption for Broker-Dealers
2018-09-21Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Florence
2018-09-11Extension of Comment Period for Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
2018-08-31Delegation of Authority to General Counsel of the Commission
2018-08-31Amendments to Municipal Securities Disclosure
2018-08-16SEC Final Rule on Inline XBRL Filing of Tagged Data
2018-08-07Regulation of NMS Stock Alternative Trading Systems