SEC Rulemaking Agenda Released

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Last week, the Office of Information and Regulatory Affairs released the Spring 2021 Unified Agenda of Regulatory and Deregulatory Actions, which includes the Securities and Exchange Commission’s rulemaking agenda.

The rulemaking agenda identifies short-term and long-term actions to be taken by the SEC.  There are a number of items that are noted in the final rulemaking stages that we have previously mentioned on this blog, including the following:

  • Disclosure relating to climate risk
  • Disclosure relating to corporate board diversity
  • Short sale disclosure reform
  • Share repurchase disclosure modernization
  • Disclosure regarding beneficial ownership and swaps
  • Rules relating to SPACs
  • Amendments to Rule 10b5-1
  • Changes to the exempt offering framework

In addition, the rulemaking agenda also lists as near-term the following:

  • Market structure modernization within equity markets, treasury markets, and other fixed income markets
  • Investment fund rules, including money market funds, private funds, and ESG funds
  • Unfinished work directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, including, among other things, securities-based swaps and related rules, incentive-based compensation arrangements, and conflicts of interest in securitizations
  • Enhancing shareholder democracy
  • Mandated electronic filings and transfer agents

You can access the agenda here.

[View source.]

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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