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Securities and Exchange Commission

219 documents across 24 days of the archive, 1 of them final rules. The five most recent days are below.

Dates this agency has set that have not yet arrived

What is in this list

Comment deadlines and effective dates from anything this agency published in the archive, still ahead of 11 September 2026.

Dates set before this archive began are not here, and their absence is not evidence that none exist.

as_of

  1. +3d Comments close Regulatory Flexibility Agenda Securities and Exchange Commission
  2. +39d Comments close Regulation Crypto Assets Securities and Exchange Commission
  3. +52d Comments close Exemption of Debt Obligations Issued by the European Union Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities Securities and Exchange Commission
  4. +53d Comments close Transfer Agent Rules Securities and Exchange Commission
  5. +59d Comments close Political Contributions by Certain Investment Advisers Securities and Exchange Commission

11 September 2026 8 documents

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The Securities and Exchange Commission published eight notices on September 11, 2026, including acknowledgements of national securities exchange registrations and self-regulatory organization filings.

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10 September 2026 9 documents

Machine-written from the fields above · claude-haiku-4-5-20251001

The Securities and Exchange Commission published a proposed rule to rescind the political contribution rule for investment advisers and eight notices regarding information collection and self-regulatory organization rule changes.

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Proposed RuleSecurities and Exchange Commission

Political Contributions by Certain Investment Advisers

The Securities and Exchange Commission (the "Commission" or the "SEC") is proposing to rescind the political contribution rule under the Investment Advisers Act of 1940 (the "Advisers Act"), which prohibits investment advisers from providing investment advisory services for compensation to a government client for two years after an adviser or any covered associate of the adviser makes a contribution to certain categories of elected officials or candidates, among other prohibitions. In the more than fifteen years since the rule was adopted, implementation challenges associated with the political contribution rule have resulted in a range of significant unintended consequences, including compliance practices among some investment advisers that may have had the effect of restricting all political contributions by the investment advisers and their employees. Market participants also have stated that the political contribution rule is burdensome, complex, and both lacks clarity and creates a de facto strict liability standard. The Commission is of the view that other existing requirements of the Advisers Act and its associated rules, including prohibitions on fraud, fiduciary duty requirements, the compliance rule, and the code of ethics rule (defined below), are likely sufficient to address pay-to-play practices while allowing an adviser the flexibility to implement an approach that is more appropriately tailored to its particular risks, rendering the political contribution rule unnecessary. The Commission also is proposing to amend the rule under the Advisers Act pertaining to books and records consistent with the proposed rescission.

  • Comments close in 59 days
  • Takes effect 1 days ago

91 FR 57698FR Doc. 2026-18424official PDFfederalregister.gov

9 September 2026 7 documents

Machine-written from the fields above · claude-haiku-4-5-20251001

The Securities and Exchange Commission published seven notices on September 9, 2026, regarding broker-dealer rules, exchange connectivity fees, and self-regulatory organization proposals.

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NoticeSecurities and Exchange Commission

Notice pursuant to Rule 15c3-3a, Note H(b)(3) Regarding Application of the Customer Protection Rule Reserve Computations With Respect to U.S. Treasury Securities

The Securities and Exchange Commission ("Commission") is publishing notice that broker-dealers may include a debit in the customer protection rule reserve computations when depositing cash, U.S. Treasury securities, and/or qualified customer securities to meet a margin requirement of ICE Clear Credit LLC ("ICC") resulting from positions in U.S. Treasury securities of the customers of the broker- dealer.

91 FR 57406FR Doc. 2026-18278official PDFfederalregister.gov

8 September 2026 11 documents

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The Securities and Exchange Commission published eleven notices on September 8, 2026, including Sunshine Act meeting notices, information collection activities, and self-regulatory organization rule filings.

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4 September 2026 7 documents

Machine-written from the fields above · claude-haiku-4-5-20251001

The Securities and Exchange Commission published a proposed rule to modernize transfer agent regulations and six notices regarding self-regulatory organization filings.

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Proposed RuleSIGNIFICANT · E.O. 12866Securities and Exchange Commission

Transfer Agent Rules

The U.S. Securities and Exchange Commission ("SEC" or "Commission") is proposing to adopt new rules, amend existing rules, amend the existing form for registration with the Commission as a transfer agent (Form TA-1) and the existing form for reporting activities of transfer agents (Form TA-2), and rescind an existing rule governing registered transfer agents. The proposals are designed to modernize the rules governing registered transfer agents.

  • Comments close in 53 days
  • Takes effect 7 days ago

91 FR 56946FR Doc. 2026-18190official PDFfederalregister.gov

Earlier

19 further days of this agency's activity are in the long-form archive, oldest to newest, on one page.

Everything Securities and Exchange Commission has published, 2026-08-10 to 2026-09-11 →

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