SEC Rulemaking Activity

SEC Adopts Final Amendments for Holding Foreign Insiders Accountable Act

The SEC has adopted final amendments to rules and forms under the Exchange Act to implement the Holding Foreign Insiders Accountable Act. These amendments require directors and officers of foreign private issuers with U.S. registered equity securities to disclose beneficial ownership and transactions. The rule becomes effective on March 18, 2026.

SEC Proposes Amendments to Form N-PORT Reporting for Investment Companies

The SEC has proposed amendments to Form N-PORT reporting for investment companies, including open-end funds, closed-end funds, and ETFs. The proposal would extend the filing deadline, restore quarterly publication, and streamline reporting items. Public comments are due 60 days after publication in the Federal Register.

SEC Technical Amendments to Commission Forms

The SEC has issued a final rule making technical amendments to its commission forms. These amendments are administrative in nature and do not alter existing disclosure requirements or regulatory obligations for public companies, broker-dealers, or fund managers.

SEC Technical Amendments to Commission Rules and Forms

The SEC has issued a final rule making technical amendments to its existing rules and forms. This action is part of routine administrative updates to ensure clarity and accuracy in regulatory filings and procedures.

SEC Delegation of Authority to Director of Investment Management

The SEC has issued a final rule amending its delegation of authority to the Director of the Division of Investment Management. This rule clarifies and updates the specific functions and responsibilities that can be delegated to the Director. The changes are effective upon publication in the Federal Register.

SEC Technical Amendment to Delegation of Authority Rules

The SEC has adopted a technical amendment to its delegation of authority rules. This amendment corrects an outdated cross-reference in the rules that delegate authority to the Commission's staff to grant certain exemptions from Rule 612 of Regulation NMS.

SEC Proposes Amending Small Business Definitions for Investment Companies and Advisers

The SEC has proposed amendments to the definitions of 'small business' and 'small organization' for investment companies and advisers under the Regulatory Flexibility Act. The proposal aims to increase asset-based thresholds and establish a mechanism for future inflation adjustments. Public comments are due by March 13, 2026.