TIMELINE OF SEC RULEMAKING SEC RIA Cybersecurity
Description: TIMELINE OF SEC RULEMAKING SEC RIA Cybersecurity Proposal - final rule was originally expected to be published, is now delayed SEC Safeguarding Advisory Client Assets (Custody Rule) - final rule was originally expected to be published,
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slide1. TIMELINE OF SEC RULEMAKING SEC RIA Cybersecurity Proposal - final rule was originally expected to be published, is now delayed
SEC Safeguarding Advisory Client Assets (“Custody Rule”) - final rule was originally expected to be published, but is now delayed due to a reopened comment period; new final rule is now expected in 2024
SEC Predictive Data Analytics - proposal comment period complete October 2023 DOL Retirement Security (“Fiduciary Rule”) - proposed rule is published in the Federal Register on November 3; final rule expected in early 2024
DOL Employee or Independent Contractor Classification Under the Fair Labor Standards Act - final rule is released to the Office of Management and Budget; expected anytime now. November 2023 DOL Retirement Security (“Fiduciary Rule”) - comment period ends January 2 January 2024 SEVERAL FINAL RULES EXPECTED AT ONCE
SEC BD Cybersecurity Proposal
SEC Regulation SP: Privacy of Consumer Financial Information and Safeguarding Customer Information
SEC Outsourcing by Investment Advisers
SEC Reg Best Execution/Market Structure
DOL Fiduciary Rule expected 1st Quarter 2024, possibly as early as February April 2024<br>
SEC Safeguarding Advisory Client Assets (“Custody Rule”) - final rule was originally expected to be published, but is now delayed due to a reopened comment period; new final rule is now expected in 2024
SEC Predictive Data Analytics - proposal comment period complete October 2023 DOL Retirement Security (“Fiduciary Rule”) - proposed rule is published in the Federal Register on November 3; final rule expected in early 2024
DOL Employee or Independent Contractor Classification Under the Fair Labor Standards Act - final rule is released to the Office of Management and Budget; expected anytime now. November 2023 DOL Retirement Security (“Fiduciary Rule”) - comment period ends January 2 January 2024 SEVERAL FINAL RULES EXPECTED AT ONCE
SEC BD Cybersecurity Proposal
SEC Regulation SP: Privacy of Consumer Financial Information and Safeguarding Customer Information
SEC Outsourcing by Investment Advisers
SEC Reg Best Execution/Market Structure
DOL Fiduciary Rule expected 1st Quarter 2024, possibly as early as February April 2024<br>