Vanderbilt Insights

7 Big Rules on the SEC’s 2023 To-Do List

7 Big Rules on the SEC’s 2023 To-Do List | ThinkAdvisor   By Melanie Waddell

The Securities and Exchange Commission plans to propose and finalize some big rules in 2023 — some of which are very unpopular with advisors.

The agency’s just-released regulatory flexibility agenda sets out the securities regulator’s planned rulemaking schedule for the year. However, reg flex agendas are placeholders and the SEC’s rulemaking agenda can change throughout the year.

What You Need to Know

  • Advisor custody regs are a priority this year, along with a few controversial rules.
  • The SEC is heavily focused on advisors and funds this year, compliance consultant Amy Lynch notes.



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