SEC Regulatory Deadlines
There are 14 upcoming SEC regulatory deadlines. The next is "Political Contributions by Certain Investment Advisers", on 9 November 2026. Reg Monitoring tracks 55 SEC deadlines in total, including 41 that have closed.
Securities and Exchange Commission · United States · All SEC updates
Open deadlines
November 2026 7
- Raymond Lawrence Lent (Dba the Putney Financial Group and Registered Investment Advisors)
Comments due: 30 days from date of this Notice
- Christopher Williams
Respondent shall, within 10 days of the entry of this Order, pay a civil money penalty in the amount of $60,000 to the Securities and Exchange Commission.
- United Planners’ Financial Services of America A Limited Partner
Respondent United Planners shall, within 30 days of the entry of this Order, pay a civil money penalty in the amount of $600,000 to the Securities and Exchange Commission.
December 2026 6
- SEC Issues Exemptive Relief from Treasury Clearing Requirements for Certain Inter-Affiliate and Non-U.S. Repo Transactions
Compliance date for applicable eligible secondary market cash transactions involving U.S. Treasury securities.
February 2027 1
- Amendments to the “Small Business” and “Small Organization” Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act
The amendments to Advisers Act rule 203-3(b) and Form ADV become effective and compliance is required.
Recently closed
Kept for reference — useful when checking when a consultation closed or when a rule came into force.
November 2026 3
- Stephen Kenneth Leech II
Defendant shall satisfy this obligation by paying $3,000,000 to the Securities and Exchange Commission within 30 days after entry of this Final Judgment.
October 2026 5
- Ecomax, Inc.
The revocation is effective as of October 30, 2026.
- SEC Establishes Joint Data Standards as Required Under the Financial Data Transparency Act of 2022
Effective Date: The joint rule is effective on October 1, 2026.
September 2026 6
- Newpoint Financial Corp.
Respondent shall file an Answer to the allegations contained in this Order within ten (10) days after service of this Order.
- SEC Proposes New E-Delivery Approach to Make Information More Readily Accessible and Useful for Investors
Comments should be received on or before September 21, 2026.
- Statement on Proposed Regulation E-Delivery
Deadline for public comments on the proposal
- Paper Taper: Statement on Proposed Regulation E-Delivery
Public comments due on the proposal
- Tai Mo Shan Limited
Comments Due: 30 days from date of this Notice
August 2026 11
- SEC, CFTC Seek Public Comment on the Harmonization of Portfolio Margining Frameworks
DATES: Comments must be received on or before August 31, 2026.
- SEC Seeks Public Comment on Novel Exchange-Traded Funds
The public comment period will remain open for 60 days following publication of the request for comment in the Federal Register.
- SEC, CFTC Seek Public Input on Data Reporting Frameworks for Security-Based Swap and Swap Markets
Comments must be submitted by August 24, 2026.
- SEC, CFTC Seek Public Comment to Further Clarify and Harmonize Derivatives Product Definitions
Comments must be received by August 24, 2026.
- Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC
Payment deadline for the $28 million penalty by Wells Fargo Clearing Services, LLC and the $7 million penalty by Wells Fargo Advisors Financial Network, LLC, within 10 days of entry of the order
- Statement on the Proposed Amendments to Regulation NMS
Public comment period closes according to contemporaneous SEC practitioner coverage of the proposal
- SEC Proposes Rescission of Regulation NMS Rules 611 and 610(e)
Comments on the Proposal are due by Monday, August 17, 2026.
- Disorder Protection Rule: Statement on the Proposed Amendments to Rule 611 and Other Provisions of Regulation NMS
Comment period end date if counted as 60 days from the June 17, 2026 Federal Register publication date stated in the source materials
- Statement at the SEC Open Meeting on the Trade-Through Rule and Locked and Crossed Markets Provisions of Regulation NMS
Comment period deadline if measured as 60 days after the June 11, 2026 Federal Register publication date reflected in the SEC materials
- SEC Proposes Rescission of Climate-Related Disclosure Rules
Comments should be received on or before August 3, 2026.
July 2026 3
- SEC Proposes Transformative Reforms to Help Public Companies Conduct Registered Offerings and Simplify Reporting Requirements
Public Comments Due July 27, 2026
- SEC Proposes Amendments to Permit Optional Semiannual Reporting by Public Companies
Comments should be received on or before July 6, 2026.
June 2026 2
- SEC and CFTC Jointly Propose Amendments to Reduce Private Fund Reporting Burdens
Comments should be received on or before June 23, 2026.
- SEC Seeks Public Comment on the Consolidated Audit Trail and Other Audit Trails and Data Sources
The public comment period will remain open for 60 days following publication of the concept release in the Federal Register.