SEC Proposed Rules Archive: 2022
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
2023 | 2022 | 2021 | 2020 | 2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | 1995 | 1988-1994
Release No. | Date | Details |
---|---|---|
Fourth Quarter | ||
34-96496 | Dec. 14, 2022 | Regulation Best Execution (Conformed to Federal Register version)
File No: S7-32-22 Comments Due: March 31, 2023 Comments received are available for this proposal. See also: Press Release No. 2022-226; Fact Sheet |
34-96495 | Dec. 14, 2022 | Order Competition Rule (Conformed to Federal Register version)
File No: S7-31-22 Comments Due: March 31, 2023 Comments received are available for this proposal. See also: Press Release No. 2022-225; Fact Sheet |
34-96494 | Dec. 14, 2022 | Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders (Conformed to Federal Register version)
File No: S7-30-22 Comments Due: March 31, 2023 Comments received are available for this proposal. See also: Press Release No. 2022-224; Fact Sheet |
34-96493 | Dec. 14, 2022 | Disclosure of Order Execution Information (Conformed to Federal Register version)
File No: S7-29-22 Comments Due: March 31, 2023 Comments received are available for this proposal. See also: Press Release No. 2022-223; Fact Sheet |
34-96458 | Dec. 7, 2022 | Reopening of Comment Period for Share Repurchase Disclosure Modernization (Conformed to Federal Register version)
Other Release Numbers: IC-34768 File No: S7-21-21 Comments Due: January 11, 2023 Comments received are available for this proposal. See also: Press Release No. 2022-216; Memorandum from the Division of Economic and Risk Analysis |
33-11130 | Nov. 2, 2022 | Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting (Conformed to Federal Register version)
File No: S7-26-22 Comments Due: February 14, 2023 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. 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. 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. |
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. 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. 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. 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. |
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. 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. 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. |
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. 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. 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. 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. 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: Final Rule Rel. No. 34-97657; 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. 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: Final Rule Rel. No. 33-11216; 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. 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. 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. 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: Final Rule Rel. No. 34-96930; 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. 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. 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. 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: Final Rule IA-6297; 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: Final Rule Rel. No. 33-11138; Press Release No. 2021-256; Fact Sheet |