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Securities and Exchange Commission (SEC) › Compliance Dates › Rulemaking Process

Goodwin

FinCEN to Postpone Effective Date and Reopen Anti-Money Laundering Rule for Investment Advisers

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On July 21, 2025, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) announced its intent to postpone the effective date of the Anti-Money Laundering/Countering the Financing of Terrorism...more

Morrison & Foerster LLP

U.S. SEC Extends Compliance Deadline for Recent Amendments to the Customer Protection Rule

Morrison & Foerster LLP on

On June 25, 2025, the U.S. Securities and Exchange Commission (SEC) voted to extend the compliance deadline for recent amendments to Exchange Act Rule 15c3-3 (the “Customer Protection Rule”) to June 30, 2026. The amendments,...more

Eversheds Sutherland (US) LLP

SEC extends security-based swap reporting requirements safe harbor to 2029

Eversheds Sutherland (US) LLP on

On April 17, 2025, the Securities and Exchange Commission (SEC) extended the expiration date of a no-action statement (Compliance Statement) regarding compliance with reporting rules for security-based swap data repositories...more

Goodwin

SEC Proposes Regulatory Changes to Open-End Fund Liquidity Requirements

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On November 2, 2022, the U.S. Securities and Exchange Commission (“SEC”), by a vote of 3-2, proposed amendments to rules under the Investment Company Act of 1940 that would modify the existing liquidity risk management...more

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