SEC Proposed Rules Archive: 2021

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:

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Release No. Date Details
Fourth Quarter
34-93784 Dec. 15, 2021 Prohibition 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 (Conformed to Federal Register version)
File No: S7-32-10
Comments Due: March 21, 2022
Comments received are available for this proposal.
Federal Register version (87 FR 6652)
See Also: Press Release No. 2021-259; Fact Sheet; Proposed Rule Rel. No. 34-69491; Proposed Rule Rel. No. 34-63236
IC-34441 Dec. 15, 2021 Money Market Fund Reforms (Conformed to Federal Register version)
File No: S7-22-21
Comments Due: April 11, 2022
Comments received are available for this proposal.
Federal Register version (87 FR 7248)
See Also: Press Release No. 2021-258; Fact Sheet
34-93783 Dec. 15, 2021 Share Repurchase Disclosure Modernization (Conformed to Federal Register version)
Other Rel. No: IC-34440
File No: S7-21-21
Comments Due: April 1, 2022
Comments received are available for this proposal.
Federal Register version (87 FR 8443)
See Also: Press Release No. 2021-257; Fact Sheet
34-93614 Nov. 18, 2021 Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants (Conformed to Federal Register version)
File No: S7-19-21
Comments Due: January 3, 2022
Comments received are available for this proposal. Federal Register version (86 FR 68300)
See Also: Final Rule Rel. No. 34-96034; Press Release No. 2021-240; Fact Sheet
34-93613 Nov. 18, 2021 Reporting of Securities Loans (Conformed to Federal Register version)
File No: S7-18-21
Comments Due: January 7, 2022
Comments received are available for this proposal.
Federal Register version (86 FR 69802)
See Also: Press Release No. 2021-239; Fact Sheet
34-93595 Nov. 17, 2021 Proxy Voting Advice (Conformed to Federal Register version)
File No: S7-17-21
Comments Due: December 27, 2021
Comments received are available for this proposal. Federal Register version (86 FR 67383)
See Also: Final Rule Release No. 34-95266; Press Release No. 2021-236; Fact Sheet
33-11005 Nov. 4, 2021 Updating EDGAR Filing Requirements (Conformed to Federal Register version)
File No: S7-16-21
Other Release Nos: 34-93519
Comments Due: December 22, 2021
Comments received are available for this proposal.
Federal Register version (86 FR 66231)
See Also: Final Rule Release No. 33-11070; Press Release No. 2021-236; Fact Sheet
34-93518 Nov. 4, 2021 Electronic 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 (Conformed to Federal Register version)
File No: S7-15-21
Other Release Nos: IA-5903; IC-34415
Comments Due: December 20, 2021
Comments received are available for this proposal.
Federal Register version (86 FR 64839)
See Also: Final Rule 34-95148; Press Release No. 2021-223; Fact Sheet
33-10998 Oct. 14, 2021 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: 34-93311; IC-34399
Comments Due: November 22, 2021
Comments received are available for this proposal.
Federal Register version (86 FR 58232)
See also: Final Rule Rel. No. 33-11126; Press Release 2021-210; Fact Sheet; Proposed Rule 33-9861
Third Quarter
34-93169 Sep. 29, 2021 Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers (Conformed to Federal Register version)
File No: S7-11-21
Other Release Nos: IC-34389
Comments Due: December 14, 2021
Comments received are available for this proposal. Federal Register version (86 FR 57478)
See Also: Final Rule 33-11131; Press Release No. 2022-198; Fact Sheet
Second Quarter
34-91603 Apr. 16, 2021 Reopening of Comment Period for Universal Proxy (Conformed to Federal Register version)
File No: S7-24-16
Other Release Nos: IC-34246
Comments Due: June 7, 2021
Comments received are available for this proposal.
Federal Register version
(86 FR 24364)
See also: Final Rule 34-93596; Press Release 2021-64; Proposed Rule 34-79164