{"as_of":"2026-09-17T11:23:46.613Z","total_matching":5,"count":5,"documents":[{"document_number":"2026-18424","title":"Political Contributions by Certain Investment Advisers","type":"Proposed Rule","action":"Proposed rule; rescission.","agencies":["Securities and Exchange Commission"],"publication_date":"2026-09-10","effective_on":"2026-09-10","comments_close_on":"2026-11-09","significant":null,"abstract":"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.","docket_ids":["Release No. IA-6994","File No. S7-2026-31"],"regulation_id_numbers":["3235-AN65"],"cfr_references":["17 CFR 275"],"topics":["Administrative practice and procedure","Reporting and recordkeeping requirements","Securities"],"url":"https://www.federalregister.gov/documents/2026/09/10/2026-18424/political-contributions-by-certain-investment-advisers","flags":[],"days_to_comment_close":53,"days_to_effective":-7},{"document_number":"2026-18190","title":"Transfer Agent Rules","type":"Proposed Rule","action":"Proposed rule.","agencies":["Securities and Exchange Commission"],"publication_date":"2026-09-04","effective_on":"2026-09-04","comments_close_on":"2026-11-03","significant":true,"abstract":"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.","docket_ids":["Release No. 34-106246","File No. S7-2026-30"],"regulation_id_numbers":["3235-AL55"],"cfr_references":["17 CFR 240","17 CFR 249"],"topics":["Reporting and recordkeeping requirements","Securities"],"url":"https://www.federalregister.gov/documents/2026/09/04/2026-18190/transfer-agent-rules","flags":["significant"],"days_to_comment_close":47,"days_to_effective":-13},{"document_number":"2026-18104","title":"Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Further Extension of Compliance Date","type":"Rule","action":"Joint final rule; further extension of compliance date.","agencies":["Commodity Futures Trading Commission","Securities and Exchange Commission"],"publication_date":"2026-09-03","effective_on":"2026-09-03","comments_close_on":null,"significant":false,"abstract":"The Commodity Futures Trading Commission (the \"CFTC\") and the Securities and Exchange Commission (the \"SEC\") (collectively, \"we\" or the \"Commissions\") are further extending the compliance date for the amendments to Form PF that were adopted on February 8, 2024, from October 1, 2026, to July 1, 2027. Form PF is the confidential reporting form for certain SEC-registered investment advisers to private funds, including those that also are registered with the CFTC as a commodity pool operator (a \"CPO\") or a commodity trading adviser (a \"CTA\").","docket_ids":["Release No. IA-6992","File No. S7-22-22"],"regulation_id_numbers":["3038-AF31","3235-AN13"],"cfr_references":["17 CFR None","17 CFR 279"],"topics":[],"url":"https://www.federalregister.gov/documents/2026/09/03/2026-18104/form-pf-reporting-requirements-for-all-filers-and-large-hedge-fund-advisers-further-extension-of","flags":[],"days_to_comment_close":null,"days_to_effective":-14},{"document_number":"2026-17939","title":"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","type":"Proposed Rule","action":"Proposed rule.","agencies":["Securities and Exchange Commission"],"publication_date":"2026-09-02","effective_on":"2026-09-02","comments_close_on":"2026-11-02","significant":null,"abstract":"The Securities and Exchange Commission (the \"Commission\" or the \"SEC\") is proposing an amendment to designate debt obligations issued by the European Union as \"exempted securities\" for the purposes of marketing and trading futures contracts on those securities in the United States or to U.S. persons. The amendment is designed to permit futures trading on debt obligations issued by the European Union to be regulated as futures on \"exempted securities,\" subject to the Commodity Exchange Act. The proposal is intended to increase U.S. persons' access to the market for these products, which may improve opportunities for hedging; lower transaction costs; contribute to greater market depth; reduce operational friction; and increase competition.","docket_ids":["Release No. 34-106225","File No. S7-2026-29"],"regulation_id_numbers":["3235-AN82"],"cfr_references":["17 CFR 240"],"topics":["Reporting and recordkeeping requirements","Securities"],"url":"https://www.federalregister.gov/documents/2026/09/02/2026-17939/exemption-of-debt-obligations-issued-by-the-european-union-under-the-securities-exchange-act-of-1934","flags":[],"days_to_comment_close":46,"days_to_effective":-15},{"document_number":"2026-17183","title":"Regulation Crypto Assets","type":"Proposed Rule","action":"Proposed rule.","agencies":["Securities and Exchange Commission"],"publication_date":"2026-08-21","effective_on":"2026-08-21","comments_close_on":"2026-10-20","significant":true,"abstract":"The Securities and Exchange Commission (\"Commission\") is proposing new rules to create a tailored offering regime for certain investment contracts involving crypto assets. The proposed offering regime is intended to facilitate capital formation and accommodate innovation within the crypto asset markets while, at the same time, ensuring that investors are adequately protected and provided with the information they need to make informed investment decisions. The proposed rules would be set forth in a new regulation titled \"Regulation Crypto Assets\" and would include two exemptions from the registration requirements of section 5 of the Securities Act of 1933. The first exemption would permit offerings of up to $5 million during a four-year period. The second exemption would permit offerings of up to $75 million during each 12-month period. Under both exemptions, issuers would be required to make certain principles-based narrative disclosures available to their investors. In addition, issuers under the second exemption would be required to provide financial statements and would be subject to ongoing reporting requirements. Issuers that rely on these exemptions would remain subject to the antifraud and antimanipulation provisions of the Federal securities laws. The proposed rules also would include a conditional safe harbor from the term \"investment contract\" in the definitions of \"security\" in the Securities Act of 1933 and the Securities Exchange Act of 1934. If the conditions of that proposed safe harbor are satisfied, then a crypto asset would be deemed not to be subject to an investment contract for purposes of those definitions of \"security.\"","docket_ids":["Release Nos. 33-11434","34-106150","File No. S7-2026-27"],"regulation_id_numbers":["3235-AN38"],"cfr_references":["17 CFR 200","17 CFR 201","17 CFR 228","17 CFR 230","17 CFR 232","17 CFR 239"],"topics":["Administrative practice and procedure","Authority delegations (Government agencies)","Electronic filing","Investment companies","Organization and functions (Government agencies)","Reporting and recordkeeping requirements","Securities"],"url":"https://www.federalregister.gov/documents/2026/08/21/2026-17183/regulation-crypto-assets","flags":["significant"],"days_to_comment_close":33,"days_to_effective":-27}],"next_since":null,"method_id":"reg_views_rules_v1","disclaimer":"Regulatory information from the Federal Register (public domain); not legal advice.","refresh_after":"2026-09-18T00:00:00.000Z"}