On June 11, 2021, the SEC’s Office of Information and Regulatory Affairs published the Spring 2021 Unified Agenda of Regulatory and Deregulatory Actions. The report is comprised of contributions related to the SEC and a list of short- and long-term regulatory measures that administrative agencies plan to take. With the mission of safeguarding investing investors, facilitating capital formation, and maintaining fair, orderly, and efficient markets, the SEC proposes and finalizes rules that strengthen markets and increase transparency.
Significant proposed and final SEC rulemaking areas include:
- market structure updates within treasury markets, equity markets, and other fixed income markets
- investment fund rules, including money market funds, private funds, and ESG funds
- 10b5-1 affirmative defense provisions
- unfinished work directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, including securities-based swaps and related rules, incentive-based compensation arrangements, and conflicts of interest in securitizations
- strengthening shareholder democracy
- transparency concerning stock buybacks, short sale disclosure, securities-based swaps ownership, and the stock loan market
- special purpose acquisition companies
- required electronic filings and transfer agents
- disclosure associated with climate risk, cybersecurity risk, and human capital, including workforce diversity and corporate board diversity
For more information on this annual report, refer to the SEC’s full agenda.
Sources:
SEC Announces Annual Regulatory Agenda (sec.gov)
Agency Rule List - Spring 2021 (reginfo.gov)
