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SEC 2023 Regulatory Agenda

Continuing a brisk pace and breadth of activity

KPMG Regulatory Insight

  • Key SEC final and proposed rules (including climate change, public company cyber risk governance, and human capital) pushed to October/Fall 2023.
  • Market Structure proposals (including rules covering order competition, order execution, best execution, and minimum pricing) to be finalized in April 2024.
  • Re-engagement on interagency incentive-based compensation and prohibitions on conflicts of interest.
  • The lengthy list of agenda items continues the SEC’s brisk pace and breadth of activity.

June 2023

The Securities and Exchange Commission (SEC) releases its Spring 2023 Regulatory Agenda (here). Notable planned final and proposed rulemakings, including related KPMG Regulatory Alerts include:

Title

Stage of Rulemaking

Expected Release

KPMG Regulatory Alert

Climate Change Disclosure

Final rule

October 2023

click here

ESG Investment Practices Disclosure

Final rule

October 2023

click here

Investment Company Names

Final rule

October 2023

click here

Corporate Board Diversity Disclosure

Proposal

April 2024

n/a

Human Capital Management Disclosure

Proposal

October 2023

n/a

Incentive-Based Compensation Arrangements

Proposal

April 2024

n/a

Cyber Risk Governance (public companies)

Final rule

October 2023

click here

Cybersecurity Risk Management (investment advisers, funds)

Final rule

October 2023

click here

Cybersecurity Risk Management (market entities) 

Final rule

April 2024

click here

Amendments to Form PF reporting requirements (two separate rules)

Final rule

October 2023

here and here

Private Fund Advisers

Final rule

October 2023

click here

Money Market Fund Reforms

Final rule

October 2023

click here

Fund Fee Disclosure and Reform

Proposal

April 2024

n/a

Prohibitions on Conflicts of Interest in Certain Securitizations

Final rule

April 2024

n/a

Prohibitions on Conflicted Practices for Broker-Dealers That Use Certain TechnologiesProposalOctober 2023n/a

Regulation S-P, Privacy of Consumer Financial Information

Final rule

April 2024

click here

Short Sale Disclosure Reform

Final rule

October 2023

click here

Market Structure: Order Competition; Order Execution; Best Execution; Minimum Pricing

Final rules

April 2024

click here

Dive into our thinking:

SEC 2023 Regulatory Agenda

Download PDF

Explore more

Meet our team

Image of Amy S. Matsuo
Amy S. Matsuo
Principal, U.S. Regulatory Insights & Compliance Transformation Lead, KPMG LLP

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