Agency Rule List - Spring 2021


Securities and Exchange Commission

Agency Agenda Stage of Rulemaking Title RIN
SEC Long-Term Actions Conflict Minerals Amendments 3235-AM14
SEC Long-Term Actions Proxy Process Amendments 3235-AM16
SEC Long-Term Actions Modernization of Rules and Forms for Compensatory Securities Offerings and Sales 3235-AM38
SEC Long-Term Actions Stress Testing for Large Asset Managers and Large Investment Companies 3235-AL63
SEC Long-Term Actions Amendments to the Custody Rules for Investment Companies 3235-AM66
SEC Long-Term Actions Amendments to Fund Names Rule 3235-AM72
SEC Long-Term Actions Amendments to Improve Fund Proxy System 3235-AM73
SEC Long-Term Actions Investment Company Securities Lending Arrangements 3235-AM99
SEC Long-Term Actions End-User Exception to Mandatory Clearing of Security-Based Swaps 3235-AK88
SEC Long-Term Actions Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 3235-AL14
SEC Long-Term Actions Definitions of Mortgage Related Security and Small Business Related Security 3235-AL33
SEC Long-Term Actions Exchange-Traded Products 3235-AL57
SEC Long-Term Actions Amendments to Rules 17a-25 and 13h-1 Following Creation of the Consolidated Audit Trail 3235-AM22
SEC Long-Term Actions Credit Rating Agencies--Conflicts of Interest and Transparency 3235-AL54
SEC Long-Term Actions Amendments to Requirements for Filer Validation and Access to the EDGAR Filing System 3235-AM58
SEC Long-Term Actions Amendments to Municipal Securities Examination Reports 3235-AM82
SEC Long-Term Actions Amendments to Reports of the Municipal Securities Rulemaking Board 3235-AM83