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PDF Versions of SEC Forms. Securities Exchange Act of 1934. Part 240. General Rules and Regulations. Part 241. Index of Interpretive Releases. Part 242. Regulations M, SHO, ATS, AC, and NMS and Customer Margin Requirements for Security Futures. Part 243.
Rules and Regulations. The SEC rulemaking process under the federal securities laws is designed to solicit significant public input and undergo rigorous analysis before any regulatory change takes effect. A need for rulemaking can be identified internally by the Commission or its staff, or externally by Congress, regulatory organizations, or ...
Rulemaking Activity. This index of the SEC’s rulemaking activity can be filtered by year, status (proposed or final), or division/office that recommended the rulemaking to the Commission. Twice a year under the Regulatory Flexibility Act, the SEC is required to publish an agenda identifying rules that the agency estimates it may consider in ...
Current SEC Rules of Practice Governing Disapproval Proceedings for SRO Proposed Rule Change Filings and for Proposed NMS Plans and Plan Amendments (February 2021) As amended by Release No. 34-89618: Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments and Modified Procedures for Proposed NMS Plans and Plan Amendments ...
Investment Company Act of 1940. This Act regulates the organization of companies, including mutual funds, that engage primarily in investing, reinvesting, and trading in securities, and whose own securities are offered to the investing public. The regulation is designed to minimize conflicts of interest that arise in these complex operations.
SEC Meetings and Other Events Small Business Capital Formation Advisory Committee Meeting The SEC's Small Business Capital Formation Advisory Committee will hold a public meeting via videoconference to discuss matters relating to rules and regulations affecting small and emerging businesses and their investors under the federal securities laws.
2024-31. Washington D.C., March 6, 2024 —. The Securities and Exchange Commission today adopted rules to enhance and standardize climate-related disclosures by public companies and in public offerings. The final rules reflect the Commission’s efforts to respond to investors’ demand for more consistent, comparable, and reliable information ...
The Commission also adopted rules requiring foreign private issuers to make comparable disclosures. “Whether a company loses a factory in a fire — or millions of files in a cybersecurity incident — it may be material to investors,” said SEC Chair Gary Gensler. “Currently, many public companies provide cybersecurity disclosure to ...
SRO proposed rules are subject to SEC review and published to solicit public comment. While many SRO proposed rules are effective upon filing, some are subject to SEC approval before they can go into effect. Trust Indenture Act of 1939. This Act applies to debt securities such as bonds, debentures, and notes that are offered for public sale.
I am pleased to support these rules because they will help to make the Treasury market more efficient, competitive, and resilient.” Specifically, the amendments require that covered clearing agencies in the U.S. Treasury market adopt policies and procedures designed to require their members to submit for clearing certain specified secondary ...