Regulatory Flexibility Agenda

SECURITIES AND EXCHANGE COMMISSION <CFR>17 CFR Ch. II</CFR> <DEPDOC>[Release Nos. 33-11287; 34-100157; IA-6605; IC-35194; File No. S7-2024-03]</DEPDOC> <SUBJECT>Regulatory Flexibility Agenda</SUBJECT> <HD SOURCE="HED">AGENCY:</HD> Securities and Exchange Commission. <HD SOURCE="HED">ACTION:</HD> Semiannual Regulatory Agenda. <SUM> <HD SOURCE="HED">SUMMARY:</HD> The Securities and Exchange Commission is publishing the Chair's agenda of rulemaking actions pursuant to the Regulatory Flexibility Act (RFA) (Pub. L. 96-354, 94 Stat. 1164) (Sept. 19, 1980). The items listed in the Regulatory Flexibility Agenda for Spring 2024 reflect only the priorities of the Chair of the U.S. Securities and Exchange Commission, and do not necessarily reflect the views and priorities of any individual Commissioner. Information in the agenda was accurate on May 1, 2024, the date on which the Commission's staff completed compilation of the data. To the extent possible, rulemaking actions by the Commission since that date have been reflected in the agenda. The Commission invites questions and public comment on the agenda and on the individual agenda entries. The Commission is now printing in the <E T="04">Federal Register</E> , along with our preamble, only those agenda entries for which we have indicated that preparation of an RFA analysis is required. The Commission's complete RFA agenda will be available online at <E T="03">www.reginfo.gov.</E> </SUM> <EFFDATE> <HD SOURCE="HED">DATES:</HD> Comments should be received on or before September 16, 2024. </EFFDATE> <HD SOURCE="HED">ADDRESSES:</HD> Comments may be submitted by any of the following methods: <HD SOURCE="HD2">Electronic Comments</HD> • Use the Commission's internet comment form ( <E T="03">https://www.sec.gov/rules/2024/05/s7-2024-03</E> ); or • Send an email to <E T="03">rule-comments@sec.gov.</E> Please include File Number S7-2024-03 on the subject line. <HD SOURCE="HD2">Paper Comments</HD> • Send paper comments to Vanessa A. Countryman, Secretary, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549-1090. <FP> All submissions should refer to File No. S7-2024-03. This file number should be included on the subject line if email is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission's website ( <E T="03">https://www.sec.gov/rules/2024/05/s7-2024-03</E> ). Comments are also available for website viewing and printing in the Commission's Public Reference Room, 100 F Street NE, Washington, DC 20549, on official business days between the hours of 10 a.m. and 3 p.m. Operating conditions may limit access to the Commission's Public Reference Room. Do not include personal identifying information in submissions; you should submit only information that you wish to make available publicly. We may redact in part or withhold entirely from publication submitted material that is obscene or subject to copyright protection. </FP> <FURINF> <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD> Sarit Klein, Office of the General Counsel, 202-551-5037. </FURINF> <SUPLINF> <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD> The RFA requires each Federal agency, twice each year, to publish in the <E T="04">Federal Register</E> an agenda identifying rules that the agency expects to consider in the next 12 months that are likely to have a significant economic impact on a substantial number of small entities (5 U.S.C. 602(a)). The RFA specifically provides that publication of the agenda does not preclude an agency from considering or acting on any matter not included in the agenda and that an agency is not required to consider or act on any matter that is included in the agenda (5 U.S.C. 602(d)). The Commission may consider or act on any matter earlier or later than the estimated date provided on the agenda. While the agenda reflects the current intent to complete a number of rulemakings in the next year, the precise dates for each rulemaking at this point are uncertain. Actions that do not have an estimated date are placed in the long-term category; the Commission may nevertheless act on items in that category within the next 12 months. The agenda includes new entries, entries carried over from prior publications, and rulemaking actions that have been completed (or withdrawn) since publication of the last agenda. The following abbreviations for the acts administered by the Commission are used in the agenda: <FP SOURCE="FP-1">“Securities Act”—Securities Act of 1933</FP> <FP SOURCE="FP-1">“Exchange Act”—Securities Exchange Act of 1934</FP> <FP SOURCE="FP-1">“Investment Company Act”—Investment Company Act of 1940</FP> <FP SOURCE="FP-1">“Investment Advisers Act”—Investment Advisers Act of 1940</FP> <FP SOURCE="FP-1">“Dodd Frank Act”—Dodd-Frank Wall Street Reform and Consumer Protection Act</FP> The Commission invites public comment on the agenda and on the individual agenda entries. <SIG> By the Commission. <NAME>Vanessa A. Countryman,</NAME> Secretary. </SIG> <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="xs60,r100,14"> <TTITLE>3 OOD—Final Rule Stage</TTITLE> <CHED H="1">Sequence No.</CHED> <CHED H="1">Title</CHED> <CHED H="1"> Regulation Identifier No. </CHED> <ROW> <ENT I="01">365</ENT> <ENT>EDGAR Filer Access and Account Management</ENT> <ENT>3235-AM58</ENT> </ROW> </GPOTABLE> <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="xs60,r100,14"> <TTITLE>Division of Corporation Finance—Proposed Rule Stage</TTITLE> <CHED H="1">Sequence No.</CHED> <CHED H="1">Title</CHED> <CHED H="1"> Regulation Identifier No. </CHED> <ROW> <ENT I="01">366</ENT> <ENT>Rule 144 Holding Period</ENT> <ENT>3235-AM78</ENT> </ROW> </GPOTABLE> <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="xs60,r100,14"> <TTITLE>Division of Corporation Finance—Final Rule Stage</TTITLE> <CHED H="1">Sequence No.</CHED> <CHED H="1">Title</CHED> <CHED H="1"> Regulation Identifier No. </CHED> <ROW> <ENT I="01">367</ENT> <ENT>Rule 14a-8 Amendments</ENT> <ENT>3235-AM91</ENT> </ROW> </GPOTABLE> <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="xs60,r100,14"> <TTITLE>Division of Corporation Finance—Completed Actions</TTITLE> <CHED H="1">Sequence No.</CHED> <CHED H="1">Title</CHED> <CHED H="1"> Regulation Identifier No. </CHED> <ROW> <ENT I="01">368</ENT> <ENT>Prohibition Against Conflicts of Interest in Certain Securitizations</ENT> <ENT>3235-AL04</ENT> </ROW> <ROW> <ENT I="01">369</ENT> <ENT>The Enhancement and Standardization of Climate-Related Disclosures for Investors</ENT> <ENT>3235-AM87</ENT> </ROW> <ROW> <ENT I="01">370</ENT> <ENT>Special Purpose Acquisition Companies, Shell Companies, and Projections</ENT> <ENT>3235-AM90</ENT> </ROW> </GPOTABLE> <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="xs60,r100,14"> <TTITLE>Division of Investment Management—Proposed Rule Stage</TTITLE> <CHED H="1">Sequence No.</CHED> <CHED H="1">Title</CHED> <CHED H="1"> Regulation Identifier No. </CHED> <ROW> <ENT I="01">371</ENT> <ENT>Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers</ENT> <ENT>3235-AN34</ENT> </ROW> </GPOTABLE> <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="xs60,r100,14"> <TTITLE>Division of Investment Management—Final Rule Stage</TTITLE> <CHED H="1">Sequence No.</CHED> <CHED H="1">Title</CHED> <CHED H="1"> Regulation Identifier No. </CHED> <ROW> <ENT I="01">372</ENT> <ENT>Enhanced Disclosures by Certain Investment Advisers and Investment Companies about Environmental, Social, and Governance Investment Practices</ENT> <ENT>3235-AM96</ENT> </ROW> <ROW> <ENT I="01">373</ENT> <ENT>Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies</ENT> <ENT>3235-AN08</ENT> </ROW> <ROW> <ENT I="01">374</ENT> <ENT>Outsourcing by Investment Advisers</ENT> <ENT>3235-AN18</ENT> </ROW> </GPOTABLE> <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="xs60,r100,14"> <TTITLE>Division of Investment Management—Completed Actions</TTITLE> <CHED H="1">Sequence No.</CHED> <CHED H="1">Title</CHED> <CHED H="1"> Regulation Identifier No. </CHED> <ROW> <ENT I="01">375</ENT> <ENT>Regulation S P: Privacy of Consumer Financial Information and Safeguarding Customer Information</ENT> <ENT>3235-AN26</ENT> </ROW> <ROW> <ENT I="01">376</ENT> <ENT>Exemption for Certain Investment Advisers Operating Through the Internet</ENT> <ENT>3235-AN31</ENT> </ROW> </GPOTABLE> <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="xs60,r100,14"> <TTITLE>Division of Trading and Markets—Final Rule Stage</TTITLE> <CHED H="1">Sequence No.</CHED> <CHED H="1">Title</CHED> <CHED H="1"> Regulation Identifier No. </CHED> <ROW> <ENT I="01">377</ENT> <ENT>Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding FOCUS Report</ENT> <ENT>3235-AL85</ENT> </ROW> <ROW> <ENT I="01">378</ENT> <ENT>Amendments to Exchange Act Rule 3b-16 re Definition of “Exchange”; Regulation ATS and Regulation SCI for ATSs That Trade U.S. Government Securities, NMS Stocks and Other Securities</ENT> <ENT>3235-AM45</ENT> </ROW> <ROW> <ENT I="01">379</ENT> <ENT>Cybersecurity Risk Management Rules for Broker-Dealers, Clearing Agencies, MSBSPs, the MSRB, National Securities Associations, National Securities Exchanges, SBSDRs, SBS Dealers, and Transfer Agents</ENT> <ENT>3235-AN15</ENT> </ROW> <ROW> <ENT I="01">380</ENT> <ENT>Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders</ENT> <ENT>3235-AN23</ENT> </ROW> <ROW> <ENT I="01">381</ENT> <ENT>Regulation Best Execution</ENT> <ENT>3235-AN24</ENT> </ROW> </GPOTABLE> <HD SOURCE="HD1"> <E T="0742">SECURITIES AND EXCHANGE COMMISSION (SEC)</E> </HD> <HD SOURC ━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━━ Preview showing 10k of 51k characters. 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