Published on Jun 16th, 2021 |

SEC Release: SEC Announces Annual Regulatory Agenda


Vigilant Insights


On June 11th, 2021, the SEC announced the Spring 2021 Unified Agenda of Regulatory and Deregulatory Actions.

The SEC highlighted that this agenda includes both short and long term regulatory actions that administrative agencies aspire to grasp.

Notable SEC rulemaking areas on this agenda are below:

  • Declaration connected to human capital, workforce diversity, climate risk, and cybersecurity risk.
  • Rules related to Investment Companies and Investment Advisers to address matters relating to Environmental, Social and Governance Factors (ESG).
  • Market structure modernization within treasury markets, equity markets, and other fixed income markets.
  • Amendments to the Custody Rules for Investment Advisers.
  • Broker-Dealer liquidity stress testing, early warning, and account transfer requirements.

SEC Chair, Gary Gensler, provided a statement towards the agenda saying, “To meet our mission of protecting investors, maintaining fair, orderly, and efficient markets, and facilitating capital formation, the SEC has a lot of regulatory work ahead of us.” He followed up on that statement concluding “I look forward collaborating with my fellow commissioners and the dedicated staff to propose and finalize rules that will strengthen our markets, increase transparency, and safeguard investors.”

To view the full SEC Release click HERE to learn more.


Want to view the full Regulatory Agenda? Click the image below!