SEC Proposed Rules

We encourage the public to submit comments on the following proposed rules during the comment period. For detailed instructions, please read How to Submit Comments. Proposed rules currently available include:

Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

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Release No. Date Details
Fourth Quarter
33-11130 Nov. 2, 2022 Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting
File No: S7-26-22
Comments Due: 60 days after publication in the Federal Register.
Comments received are available for this proposal.

See also: Press Release No. 2022-199; Fact Sheet
IA-6176 Oct. 26, 2022 Outsourcing by Investment Advisers (Conformed to Federal Register version)
File No: S7-25-22
Comments Due: December 27, 2022
Comments received are available for this proposal.
Federal Register version (87 FR 68816)
See also: Press Release No. 2022-194; Fact Sheet
33-11117 Oct. 7, 2022 Resubmission of Comments and Reopening of Comment Periods for Certain Rulemaking Releases (Conformed to Federal Register version)
Other Release Numbers: 33-11117, 34-96005, IA-6162, IC-34724
File No: S7-32-10, S7-18-21, S7-21-21, S7-22-21, S7-03-22, S7-08-22, S7-09-22, S7-10-22, S7-13-22, S7-16-22, S7-17-22, and S7-18-22
Comments Due: November 1, 2022  
Comments received for S7-32-10, S7-18-21, S7-21-21, S7-22-21, S7-03-22, S7-08-22, S7-09-22, S7-10-22, S7-13-22, S7-16-22, S7-17-22, S7-18-22, are available for this proposal.
Federal Register version (87 FR 63016)
See also: Press Release No. 2022-186
Third Quarter
34-95763 Sep. 14, 2022 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 Fund Advisers
File No: S7-23-22
Comments Due: 60 days after publication in the Federal Register
Comments received are available for this proposal.
See also: Press Release No. 2022-162; Fact Sheet
IA-6083 Aug. 10, 2022 Amendments to Form PF to Amend Reporting Requirements for All Filers and Large Hedge Fund Advisers (Conformed to Federal Register version)
File No: S7-22-22
Comments Due: October 11, 2022
Comments received are available for this proposal.
Federal Register version (87 FR 35938)
See also: Press Release No. 2022-141; Fact Sheet
34-95431 Aug. 8, 2022 Clearing Agency Governance and Conflicts of Interest (Conformed to Federal Register version)
File No: S7-21-22
Comments Due: October 7, 2022
Comments received are available for this proposal.
Federal Register version (87 FR 51812)
See also: Press Release No. 2022-138; Fact Sheet
34-95388 Jul. 29, 2022 Exemption for Certain Exchange Members (Conformed to Federal Register version)
File No: S7-05-15
Comments Due: September 27, 2022
Comments received are available for this proposal.
Federal Register version (87 FR 49930)
See also: Press Release No. 2022-133; Fact Sheet
34-95267 Jul. 13, 2022 Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8 (Conformed to Federal Register version)
File No: S7-20-22
Other Release No: IC-34647
Comments Due: September 12, 2022
Comments received are available for this proposal.
See also: Press Release No. 2022-121; Fact Sheet
Second Quarter
33-11071 Jun. 8, 2022 Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation (Conformed to Federal Register version)
File No: S7-12-15
Other Release Nos: 34-95057; IC-34610
Comments Due: July 14, 2022.
Comments received are available for this proposal.
Federal Register version (87 FR 35938)
See also: Press Release No. 2022-103; Memorandum from the Division of Economic and Risk Analysis; Fact Sheet; Proposed Rule 33-9861
33-11068 May 25, 2022 Environmental, Social, and Governance Disclosures for Investment Advisers and Investment Companies (Conformed to Federal Register version)
Other Release No: 34-94985, IA-6034, IC-34594
File No: S7-17-22
Comments Due: Aug. 16, 2022
Comments received are available for this proposal.
Federal Register version (87 FR 36654)
See Also: Press Release No. 2022-92; Fact Sheet
33-11067 May 25, 2022 Investment Company Names (Conformed to Federal Register version)
Other Release Nos: 34-94981, IC-34593
File No: S7-16-22
Comments Due: Aug. 16, 2022
Comments received are available for this proposal.
Federal Register version (87 FR 36594)
See Also: Press Release No. 2022-91; Fact Sheet
33-11061 May 9, 2022 The Enhancement and Standardization of Climate-Related Disclosures for Investors
Other Release No: 34-94867
File No: S7-10-22
Comments Due: June 17, 2022
Comments received are available for this proposal.
See Also: Press Release No. 2022-82; Proposed Rule Rel. No. 33-11042
34-94868 May 9, 2022 Reopening of Comment Periods for “Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews” and “Amendments Regarding the Definition of ‘Exchange’ and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency Securities, National Market System (NMS) Stocks, and Other Securities” (Conformed to Federal Register version)
Other Release No: IA-6018
File Nos: S7-02-22 and S7-03-22
Comments Due: June 13, 2022
Comments received for S7-02-22 and S7-03-22 are available for this proposal.
Federal Register version (87 FR 29059)
See Also: Press Release No. 2022-82; Proposed Rules Release No. 34-94062 and IA-5955
34-94615 Apr. 6, 2022 Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities (Conformed to Federal Register version)
File No: S7-14-22
Comments Due: June 10, 2022
Comments received are available for this proposal.
Federal Register version (87 FR 28872)
See Also: Press Release No. 2022-59; Fact Sheet
First Quarter
33-11048 Mar. 30, 2022 Special Purpose Acquisition Companies, Shell Companies, and Projections (Conformed to Federal Register version)
Other Release Nos: 34-94546; IC-34549
File No: S7-13-22
Comments Due: June 13, 2022
Comments received are available for this proposal.
Federal Register version (87 FR 29458)
See Also: Press Release No. 2022-56; Fact Sheet
34-94524 Mar. 28, 2022 Further Definition of "As a Part of a Regular Business" in the Definition of Dealer and Government Securities Dealer (Conformed to Federal Register version)
File No: S7-12-22
Comments Due: May 27, 2022
Comments received are available for this proposal.
Federal Register version (87 FR 23054)
See Also: Press Release No. 2022-54; Fact Sheet
34-94499 Mar. 23, 2022 Removal of References to Credit Ratings From Regulation M (Conformed to Federal Register version)
File No: S7-11-22
Comments Due: May 23, 2022
Comments received are available for this proposal.
Federal Register version (87 FR 18312)
See Also: Press Release No. 2022-47; Fact Sheet
33-11042 Mar. 21, 2022 The Enhancement and Standardization of Climate-Related Disclosures for Investors (Conformed to Federal Register version)
Other Release No: 34-94478
File No: S7-10-22
Comments Due: June 17, 2022
Comments received are available for this proposal.
Federal Register version (87 FR 21334)
See Also: Extension of Comment Period Rel. No. 33-11061; Press Release No. 2022-46; Fact Sheet
33-11038 Mar. 9, 2022 Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure (Conformed to Federal Register version)
File No: S7-09-22
Comments Due: May 9, 2022
Comments received are available for this proposal.
Federal Register version (87 FR 16590)
See Also: Press Release No. 2022-39; Fact Sheet
34-94315
Feb. 25, 2022 Reopening of Comment Period for Reporting of Securities Loans (Conformed to Federal Register version)
File No: S7-18-21
Comments Due: April 1, 2022
Comments received are available for this proposal.
Federal Register version (87 FR 11659)
See Also: Press Release No. 2022-32
34-94313
34-94314
Feb. 25, 2022 Short Position and Short Activity Reporting by Institutional Investment Managers (Conformed to Federal Register version); Notice of Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail for Purposes of Short Sale-related Data Collection
File No: S7-08-22
Comments Due: April 26, 2022
Comments received are available for this proposal.
Federal Register version (87 FR 14950)
See Also: Press Release No. 2022-32; Fact Sheet
34-94212 Feb. 10, 2022 The Commission’s Whistleblower Program Rules (Conformed to Federal Register version)
File No: S7-07-22
Comments received are available for this proposal. Federal Register version (87 FR 9280)
See Also: Final Rule Rel. No. 34-95620; Press Release No. 2022-23; Fact Sheet
33-11030 Feb. 10, 2022 Modernization of Beneficial Ownership Reporting (Conformed to Federal Register version)
File No: S7-06-22
Other Release No: 34-94211
Comments Due: April 11, 2022
Comments received are available for this proposal. Federal Register version (87 FR 13625)
See Also: Press Release No. 2022-22; Fact Sheet
34-94196 Feb. 9, 2022 Shortening the Securities Transaction Settlement Cycle (Conformed to Federal Register version)
File No: S7-05-22
Other Release Nos: IA-5957
Comments Due: April 11, 2022
Comments received are available for this proposal. Federal Register version (87 FR 10436)
See Also: Press Release No. 2022-21; Fact Sheet
33-11028 Feb. 9, 2022 Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies (Conformed to Federal Register version)
File No: S7-04-22
Other Release Nos: 34-94197; IA-5956; IC-34497
Comments Due: April 11, 2022
Comments received are available for this proposal. Federal Register version (87 FR 13524)
See Also: Press Release No. 2022-20; Fact Sheet
IA-5955 Feb. 9, 2022 Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews (Conformed to Federal Register version)
File No: S7-03-22
Comments Due: April 25, 2022
Comments received are available for this proposal.
Federal Register version (87 FR 16886)
See Also: Extension of Comment Period Rel. No. 34-94868; Press Release No. 2022-19; Fact Sheet
34-94074 Jan. 27, 2022 Reopening of Comment Period for Pay Versus Performance (Conformed to Federal Register version)
File No: S7-07-15
Federal Register version (87 FR 5939)
See Also: Final Rule Rel. No. 34-95607; Press Release No. 2022-11; Fact Sheet
34-94062 Jan. 26, 2022 Amendments to Exchange Act Rule 3b-16 Regarding the Definition of “Exchange”; Regulation ATS for ATSs That Trade U.S. Government Securities, NMS Stocks, and Other Securities; Regulation SCI for ATSs That Trade U.S. Treasury Securities and Agency Securities (Conformed to Federal Register version)
File No: S7-02-22
Comments Due: April 18, 2022
Comments received are available for this proposal.
Federal Register version (87 FR 15496)
See Also: Extension of Comment Period Rel. No. 34-94868; Press Release No. 2022-10; Fact Sheet
IA-5950 Jan. 26, 2022 Amendments to Form PF to Require Current Reporting and Amend Reporting Requirements for Large Private Equity Advisers and Large Liquidity Fund Advisers (Conformed to Federal Register version)
File No: S7-01-22
Comments Due: March 21, 2022
Comments received are available for this proposal.
Federal Register version (87 FR 9106)
See Also: Press Release No. 2022-9; Fact Sheet
33-11013 Jan. 13, 2022 Rule 10b5-1 and Insider Trading (Note: This replaces the version initially issued on December 15, 2021.)
Other Rel. No: 34-93782
File No: S7-20-21
Comments Due: April 1, 2022
Comments received are available for this proposal.
Federal Register version (87 FR 8686)
See Also: Press Release No. 2021-256; Fact Sheet