Securities and Exchange Commission

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2022-03-24Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
2022-03-24SEC Staff Accounting Bulletin: SAB 121
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
2022-03-16SEC Order Denying Waiver of Regulation A Disqualification for DF Growth REIT II, LLC
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
2022-03-01SEC Division of Corporation Finance no-action letter: Principal ETFs
2022-02-24Shortening the Securities Transaction Settlement Cycle
2022-02-23SEC Division of Trading and Markets no-action letter: SIFMA
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
2022-02-15Share Repurchase Disclosure Modernization
2022-02-15SEC Proposed Rule on Rule 10b5-1 and Insider Trading
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
2022-01-26SEC Trading and Markets FAQ: Security-Based Swap Dealer and Major Security-Based Swap Participant - CCO Annual Reports
2022-01-11SEC Division of Investment Management staff letter: Union Security Insurance Company
2022-01-05Adoption of Updated EDGAR Filer Manual
2021-12-22SEC Division of Trading and Markets no-action letter: Morgan Stanley Europe SE
2021-12-20SEC Division of Corporation Finance no-action letter: DoubleLine ETF Trust
2021-12-20Credit Risk Retention-Notification of Determination of Review
2021-12-16SEC Division of Trading and Markets no-action letter: Rule 15c2-11 Fixed Income No-Action Letter 2
2021-12-09Holding Foreign Companies Accountable Act Disclosure
2021-12-09Filing Fee Disclosure and Payment Methods Modernization
2021-12-08SEC Proposed Rule on Reporting of Securities Loans
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
2021-12-01Universal Proxy
2021-11-26Securities and Exchange Commission Proposed Rule on Proxy Voting Advice
2021-11-24SEC Staff Accounting Bulletin: SAB 120
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
2021-11-19SEC Division of Trading and Markets no-action letter: Macquarie Bank Limited
2021-11-10SEC Division of Corporation Finance no-action letter: Lloyds Banking Group plc
2021-11-10Performance-Based Investment Advisory Fees
2021-11-03SEC Staff Legal Bulletin: SLB 14L
2021-11-02SEC Division of Corporation Finance no-action letter: Nokia Corporation
2021-11-01SEC Division of Trading and Markets no-action letter: Canadian Banks Association
2021-11-01SEC Division of Trading and Markets no-action letter: Skandinaviska Enskilda Banken AB
2021-10-27SEC Division of Trading and Markets no-action letter: Securities Industry and Financial Markets Association
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
2021-10-08SEC Trading and Markets FAQ: Financial Responsibility Requirements
2021-10-07Adoption of Updated EDGAR Filer Manual and Form ID Amendments
2021-09-30SEC Division of Corporation Finance no-action letter: Hartford Funds Exchange-Traded Trust
2021-09-30SEC Division of Investment Management staff letter: Wilton Reassurance Life Company of New York
2021-09-24SEC Division of Trading and Markets no-action letter: Rule 15c2-11 Fixed Income
2021-09-22SEC Division of Corporation Finance no-action letter: The Advisors’ Inner Circle Fund
2021-09-14SEC Division of Corporation Finance no-action letter: Schwab Strategic Trust
2021-09-01Cboe Europe Notification of Intent to Rely on Class No-Action Relief for Familiarization Activities
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
2021-08-12SEC Division of Investment Management staff letter: Midland National Life Insurance Company
2021-08-05SEC Division of Trading and Markets no-action letter: International Swaps and Derivatives Association and Securities Industry and Financial Markets Association
2021-08-05SEC Division of Trading and Markets no-action letter: International Swaps and Derivatives Association and Securities Industry and Financial Markets Association
2021-07-30Securities and Exchange Commission Regulatory Flexibility Agenda
2021-07-29SEC Division of Trading and Markets no-action letter: Equiniti Trust Company
2021-07-28Adoption of Updated EDGAR Filer Manual
2021-07-22Credit Risk Retention-Notification of Extension of Review Period
2021-06-24SEC Division of Corporation Finance no-action letter: Huntington Bancshares Incorporated
2021-06-23SEC Division of Corporation Finance no-action letter: BRP Inc.
2021-06-11Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Correction
2021-06-03SEC Division of Corporation Finance no-action letter: Fidelity Covington Trust
2021-06-01Securities and Exchange Commission; Market Data Infrastructure
2021-05-28SEC Division of Corporation Finance no-action letter: PG&E Fire Victim Trust
2021-05-28SEC Division of Corporation Finance no-action letter: Mphasis Limited
2021-05-21SEC Division of Corporation Finance no-action letter: Eagle Bancorp Montana, Inc.
2021-05-19SEC Division of Corporation Finance no-action letter: Grupo Aeroportuario de Centro Norte, S.A.B. de C.V
2021-05-17Performance-Based Investment Advisory Fees
2021-05-11Adoption of Updated EDGAR Filer Manual and Form ID Amendments
2021-05-11SEC Division of Investment Management Staff Statement on Funds Registered Under the Investment Company Act Investing in the Bitcoin Futures Market
2021-05-10SEC Division of Trading and Markets no-action letter: NatWest Group plc
2021-05-06Reopening of Comment Period for Universal Proxy
2021-04-26SEC Division of Corporation Finance no-action letter: Fédération des caisses Desjardins du Québec
2021-04-22SEC Division of Corporation Finance no-action letter: Putnam ETF Trust
2021-04-21SEC Investment Management FAQ: Investment Company Reporting Modernization
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
2021-03-24SEC Division of Corporation Finance no-action letter: NIIT Ltd.
2021-03-18Good Faith Determinations of Fair Value
2021-03-17SEC Division of Corporation Finance no-action letter: Companhia Paranaense de Energia – Copel
2021-03-15SEC Division of Corporation Finance no-action letter: Vedanta Limited
2021-03-10Amendments to the Commission's Rules of Practice; Correction
2021-03-05Investment Adviser Marketing
2021-03-03SEC Division of Investment Management staff letter: Alliance Trust Company of Nevada
2021-02-26Custody of Digital Asset Securities by Special Purpose Broker-Dealers
2021-02-22SEC Division of Corporation Finance no-action letter: Transocean Ltd.
2021-02-16Modernization of Delegations of Authority to Commission Staff and Division and Office Descriptions
2021-02-11SEC Division of Investment Management staff letter: Transamerica Life Insurance Company and Transamerica Financial Life Insurance Company
2021-02-09Securities and Exchange Commission: Qualifications of Accountants
2021-02-05SEC Division of Investment Management staff letter: Templeton Emerging Markets Income Fund - Omission of Shareholder Proposal Submitted by The McGowan Group Asset Management Retirement Plan, FBO Spencer McGowan
2021-02-04SEC Division of Corporation Finance no-action letter: ALPS ETF Trust
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
2021-01-27SEC Division of Corporation Finance no-action letter: TOA Oil Company Ltd.
2021-01-19Rule 144 Holding Period and Form 144 Filings
2021-01-15Disclosure of Payments by Resource Extraction Issuers
2021-01-15SEC Division of Corporation Finance no-action letter: Gabelli ETFs Trust
2021-01-14SEC Division of Corporation Finance no-action letter: Fidelity Covington Trust
2021-01-14Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets
2021-01-13SEC Division of Investment Management staff letter: K&L Gates LLP
2021-01-12SEC Division of Investment Management staff letter: ClearBridge MLP and Midstream Fund Inc.-- Omission of Shareholder Proposal Submitted by Spencer McGowan Pursuant to Rule 14a-8
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
2021-01-12SEC Division of Investment Management staff letter: ClearBridge Energy Midstream Opportunity Fund Inc. -- Omission of Shareholder Proposal Submitted by Spencer McGowan Pursuant to Rule 14a-8
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
2020-12-30SEC Division of Corporation Finance no-action letter: The Alger ETF Trust
2020-12-29Delegation of Authority to Director of the Division of Enforcement
2020-12-28SEC Division of Trading and Markets no-action letter: TMX Group
2020-12-23SEC Division of Trading and Markets no-action letter: Securities Industry and Financial Markets Association
2020-12-21Use of Derivatives by Registered Investment Companies and Business Development Companies
2020-12-21SEC Division of Corporation Finance no-action letter: Prudential Financial, Inc.
2020-12-21National Stock Exchange of India Notification of Intent to Rely on Class No-Action Relief for Foreign Options Markets
2020-12-16SEC Division of Corporation Finance no-action letter: Enel S.p.A.
2020-12-14SEC Division of Corporation Finance no-action letter: Tierion, Inc.
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
2020-12-11Waterside Enterprises, LLC Fifth and Final Annual Report to JPMorgan Chase Bank, N.A. on Activities Related to Securities Act Rule 506 of Regulation D
2020-12-11Qualifications of Accountants
2020-12-09SEC Division of Trading and Markets no-action letter: Securities Industry and Financial Markets Association
2020-12-09SEC Division of Corporation Finance no-action letter: Invesco Funds
2020-12-04SEC no-action letter: Intercontinental Exchange, Inc. waiver of ineligible issuer status
2020-12-04Electronic Signatures in Regulation S-T Rule 302
2020-12-01SEC Division of Corporation Finance no-action letter: BancWest Investment Services, Inc.
2020-12-01SEC Division of Corporation Finance no-action letter: Dominion Energy, Inc.
2020-12-01SEC Division of Corporation Finance no-action letter: Public Service Company of North Carolina, Incorporated
2020-11-24Customer Margin Rules Relating to Security Futures
2020-11-23SEC Disclosure Guidance: Topic 10: Disclosure Considerations for China-Based Issuers
2020-11-19Fund of Funds Arrangements
2020-11-19SEC Division of Corporation Finance no-action letter: IMVU, Inc.
2020-11-13Cboe Europe B.V. Notification of Intent to Rely on No-Action Relief for Familiarization Activities
2020-11-09SEC Division of Corporation Finance no-action letter: Certain Trust Preferred Securities
2020-11-06SEC Division of Investment Management staff letter: MEMBERS Life Insurance Co.
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
2020-11-05Portfolio Margining of Uncleared Swaps and Non-Cleared Security-Based Swaps
2020-11-05Whistleblower Program Rules
2020-11-04Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8
2020-11-03Adoption of Updated EDGAR Filer Manual
2020-11-02SEC Division of Corporation Finance no-action letter: Majesco Limited
2020-10-27Publication or Submission of Quotations Without Specified Information
2020-10-22SEC Division of Trading and Markets no-action letter: Financial Industry Regulatory Authority (Broker-Dealers Borrowing Fully Paid and Excess Margin Securities from Customers)
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
2020-10-09Order Designating Certain Professional Licenses as Qualifying Natural Persons for Accredited Investor Status
2020-10-09Accredited Investor Definition
2020-10-08Modernization of Regulation S-K Items 101, 103, and 105
2020-09-30SEC Division of Corporation Finance no-action letter: Connecticut Medical Insurance Company
2020-09-30SEC Division of Corporation Finance no-action letter: Morgan Stanley & Co. LLC
2020-09-29SEC Division of Corporation Finance no-action letter: Salt Blockchain Inc.
2020-09-29SEC Division of Corporation Finance no-action letter: Aegon N.V.
2020-09-25Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds; Correction
2020-09-25SEC Division of Corporation Finance no-action letter: Hancock Whitney Corporation
2020-09-25SEC Division of Trading and Markets no-action letter: Financial Industry Regulatory Authority (ATS Role in the Settlement of Digital Asset Security Trades)
2020-09-21SEC Staff no-action letter regarding MIAX PEARL, LLC anonymous trading and recordkeeping
2020-09-18SEC Division of Corporation Finance no-action letter: Sentry Insurance a Mutual Company
2020-09-18SEC Division of Trading and Markets no-action letter: MEMX LLC
2020-09-17Northern Trust Corporation Waiver Request of Ineligible Issuer Status Under Rule 405
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
2020-09-09SEC Staff no-action letter regarding Long-Term Stock Exchange anonymous trading and Rule 10b-10 compliance
2020-09-03SEC Division of Corporation Finance no-action letter: FuelCell Energy, Inc.
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
2020-08-31Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities; Correction
2020-08-31Amendments to Financial Disclosures About Acquired and Disposed Businesses
2020-08-31Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
2020-08-27SEC Division of Corporation Finance no-action letter: Natixis ETF Trust II
2020-08-27SEC Division of Investment Management staff letter: Supplemental Submission
2020-08-26Securities and Exchange Commission Semiannual Regulatory Flexibility Agenda
2020-08-24SEC Division of Investment Management staff letter: Reconsideration Request
2020-08-13SEC Division of Trading and Markets no-action letter: Charles Schwab & Co., Inc.
2020-08-13SEC Division of Investment Management staff letter: Prospect Capital Corporation - Omission of Shareholder Proposal Submitted by Camilla Cane
2020-08-04SEC Regulation Best Interest: The Broker-Dealer Standard of Conduct
2020-07-31Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
2020-07-31Reporting Threshold for Institutional Investment Managers
2020-07-27SEC Division of Corporation Finance no-action letter: American International Group, Inc
2020-07-27SEC Division of Investment Management staff letter: Vanguard Funds (Vanguard U.S. Value Fund, Vanguard Health Care Fund, Vanguard Energy Fund) - Omission of Shareholder Proposal Submitted by Kani Ilangovan and Mary Lou Rosczyk
2020-07-27Securities Offering Reform for Closed-End Investment Companies; Correction
2020-07-27SEC Division of Corporation Finance no-action letter: American International Group, Inc
2020-07-24SEC Division of Corporation Finance no-action letter: Just Dial Limited
2020-07-22SEC Division of Corporation Finance no-action letter: First Trust Exchange-Traded Fund VIII
2020-07-16SEC Division of Corporation Finance no-action letter: HealthCare Global Enterprises Limited
2020-07-16SEC Division of Corporation Finance no-action letter: American Century ETF Trust
2020-07-07SEC Division of Corporation Finance no-action letter: Oak Harbor Reinsurance Company
2020-07-06SEC Division of Corporation Finance no-action letter: T. Rowe Price Exchange-Traded Fund, Inc.
2020-07-01SEC Division of Corporation Finance no-action letter: Franklin Resources, Inc.
2020-07-01Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts; Correction