Recent Securities and Exchange Commission regulations affecting small businesses
Page 13 of 14 • Last updated April 13, 2026
199 Securities and Exchange Commission regulations have been published in the past 30 days, covering rule changes, notices, and final actions affecting small businesses.
- Sunshine Act MeetingsApril 13, 2026
I'm ready to write a one-sentence summary of the Sunshine Act Meetings document, but I need the description or details about what this regulation covers, any deadlines, dollar amounts, affected industries, or scope. Please provide the input descript…
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Securities Act Rule 477April 13, 2026
SEC seeks OMB approval to extend information collection requirements under Securities Act Rule 477, which governs post-effective amendments to registration statements; public comments due 30 days from Federal Register publication.
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Regulation 14A (Commission Rules 14a-1 Through 14a-21 and Schedule 14A)April 13, 2026
SEC Regulation 14A requires public companies to file proxy statements on Schedule 14A before shareholder meetings; the agency seeks comment on this information collection extension.
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Regulation 14C (Commission Rules 14c-1 through 14c-7 and Schedule 14C)April 13, 2026
SEC Regulation 14C requires companies to file proxy statements and related materials for shareholder meetings, with the agency seeking public comment on information collection burden through [date not specified in input].
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 22d-1April 13, 2026
SEC proposes to extend Rule 22d-1 information collection requirements for open-end management companies regarding distribution agreements and sales literature; public comment period open.
- Sunshine Act MeetingsApril 13, 2026
I'm ready to write a single-sentence summary of the Sunshine Act Meetings document, but I need the description or details from the input. Please provide the description that contains the key facts (deadline, dollar amount, affected industry, scope, …
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Customer Account Statements (17 CFR 242.607)April 13, 2026
The SEC's Customer Account Statements rule requires broker-dealers to deliver account statements to customers at least quarterly, with a comment period open for regulatory feedback on this existing information collection requirement.
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 22e-4April 10, 2026
The SEC requests OMB approval to extend Rule 22e-4 information collection requirements for money market funds regarding liquidity and pricing disclosures.
- Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Limited Liability Agreement of 24X US Holdings LLC Related to a TransactionApril 10, 2026
24X National Exchange LLC amends its limited liability agreement to facilitate a transaction, effective immediately upon filing.
- Self-Regulatory Organizations; the Options Clearing Corporation; Order Approving Proposed Rule Change by the Options Clearing Corporation Concerning a Change in Types of Acceptable Collateral and an Update To Mitigate Wrong-Way RiskApril 10, 2026
Options Clearing Corporation expands acceptable collateral types and updates wrong-way risk mitigation procedures for options clearing members.
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and 5131 (New Issue Allocations and Distributions)April 10, 2026
FINRA proposes amendments to rules governing initial public offering allocations and restrictions on purchases and sales of IPO shares to update allocation procedures and eligibility requirements for member firms.
- Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Corrections, Clarifications and Certain Other Changes to the DTC Rules and ProceduresApril 10, 2026
The Depository Trust Company proposes corrections and clarifications to DTC Rules and Procedures affecting securities settlement and custody operations for financial institutions.
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Adopt New Rule 5.2(j)(9) To Permit the Generic Listing and Trading of Class Exchange-Traded Fund SharesApril 10, 2026
NYSE amends rules to permit generic listing and trading of Class Exchange-Traded Fund shares under new Rule 5.2(j)(9), effective upon SEC approval.
- Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To: Amend and Restate the Seventh Amended and Restated Stockholders' Agreement of TXSE Group Inc. as the Eighth Amended and Restated Stockholders' Agreement; Adopt the Texas Certificate of Formation of TXSE Group Inc. To Replace the Sixth Amended and Restated Certification of Incorporation of TXSE Group Inc.; Adopt the Bylaws of TXSE Group Inc. To Replace the Second Amended and Restated Bylaws of TXSE Group Inc.; Adopt the Texas Certificate of Formation of the Texas Stock Exchange LLC To Replace the Delaware Certificate of Formation of the Texas Stock Exchange LLC; and Adopt the Company Agreement of the Texas Stock Exchange LLC To Replace the Third Amended and Restated Limited Liability Company Agreement of the Texas Stock Exchange LLCApril 10, 2026
Texas Stock Exchange LLC restructures its governing documents by transitioning from Delaware to Texas incorporation and updating its stockholders' agreement, bylaws, and company agreement.
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Amendments to Rule 8000 and Rule 9000April 10, 2026
New York Stock Exchange proposes amendments to Rule 8000 and Rule 9000 regarding self-regulatory organization procedures; effective immediately upon filing.