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Securities and Exchange Commission

184 documents across 20 days of the archive, 1 of them final rules. The five most recent days are below.

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Comment deadlines and effective dates from anything this agency published in the archive, still ahead of 4 September 2026.

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as_of

  1. today Takes effect Transfer Agent Rules Securities and Exchange Commission
  2. +10d Comments close Regulatory Flexibility Agenda Securities and Exchange Commission
  3. +46d Comments close Regulation Crypto Assets Securities and Exchange Commission
  4. +59d Comments close Exemption of Debt Obligations Issued by the European Union Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities Securities and Exchange Commission
  5. +60d Comments close Transfer Agent Rules Securities and Exchange Commission

4 September 2026 7 documents

Machine-written from the fields above · claude-haiku-4-5-20251001

The Securities and Exchange Commission published a proposed rule to modernize transfer agent regulations and six notices regarding self-regulatory organization filings.

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Proposed RuleSIGNIFICANT · E.O. 12866Securities and Exchange Commission

Transfer Agent Rules

The U.S. Securities and Exchange Commission ("SEC" or "Commission") is proposing to adopt new rules, amend existing rules, amend the existing form for registration with the Commission as a transfer agent (Form TA-1) and the existing form for reporting activities of transfer agents (Form TA-2), and rescind an existing rule governing registered transfer agents. The proposals are designed to modernize the rules governing registered transfer agents.

  • Comments close in 60 days
  • Takes effect today

91 FR 56946FR Doc. 2026-18190official PDFfederalregister.gov

3 September 2026 7 documents

Machine-written from the fields above · claude-haiku-4-5-20251001

The SEC and CFTC published a rule extending the Form PF compliance date for private fund advisers from October 1, 2026, to July 1, 2027.

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RuleCommodity Futures Trading CommissionSecurities and Exchange Commission

Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Further Extension of Compliance Date

The Commodity Futures Trading Commission (the "CFTC") and the Securities and Exchange Commission (the "SEC") (collectively, "we" or the "Commissions") are further extending the compliance date for the amendments to Form PF that were adopted on February 8, 2024, from October 1, 2026, to July 1, 2027. Form PF is the confidential reporting form for certain SEC-registered investment advisers to private funds, including those that also are registered with the CFTC as a commodity pool operator (a "CPO") or a commodity trading adviser (a "CTA").

  • Takes effect 1 days ago

91 FR 56593FR Doc. 2026-18104official PDFfederalregister.gov

2 September 2026 14 documents

Machine-written from the fields above · claude-haiku-4-5-20251001

The SEC published a proposed rule to exempt European Union debt obligations from securities registration for futures trading and approved or filed 13 self-regulatory organization rule changes.

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Proposed RuleSecurities and Exchange Commission

Exemption of Debt Obligations Issued by the European Union Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities

The Securities and Exchange Commission (the "Commission" or the "SEC") is proposing an amendment to designate debt obligations issued by the European Union as "exempted securities" for the purposes of marketing and trading futures contracts on those securities in the United States or to U.S. persons. The amendment is designed to permit futures trading on debt obligations issued by the European Union to be regulated as futures on "exempted securities," subject to the Commodity Exchange Act. The proposal is intended to increase U.S. persons' access to the market for these products, which may improve opportunities for hedging; lower transaction costs; contribute to greater market depth; reduce operational friction; and increase competition.

  • Comments close in 59 days
  • Takes effect 2 days ago

91 FR 56387FR Doc. 2026-17939official PDFfederalregister.gov

1 September 2026 9 documents

Machine-written from the fields above · claude-haiku-4-5-20251001

The Securities and Exchange Commission published nine notices on September 1, 2026, regarding investment company deregistration, exchange listing rules, and standardized options procedures.

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NoticeSecurities and Exchange Commission

Deregistration Under Section 8(f) of the Investment Company Act of 1940

Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. The applicant has transferred its assets to First Trust Active Global Quality Income ETF, a series of First Trust Exchange-Traded Fund VIII, and on November 11, 2023 made a final distribution to its shareholders based on net asset value. Expenses of $509,897.68 incurred in connection with the reorganization were paid by the applicant. Filing Date: The application was filed on July 29, 2026. Applicant's Address: 120 East Liberty Drive, Suite 400, Wheaton, Illinois 60187.

91 FR 56260FR Doc. 2026-17892official PDFfederalregister.gov

31 August 2026 14 documents

Machine-written from the fields above · claude-haiku-4-5-20251001

The Securities and Exchange Commission published fourteen notices on August 31, 2026, concerning clearing agency exemptions, self-regulatory organization rule changes, and information collection activities.

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Earlier

15 further days of this agency's activity are in the long-form archive, oldest to newest, on one page.

Everything Securities and Exchange Commission has published, 2026-08-10 to 2026-09-04 →

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