Investment Company Act Filing Rules Get Routine Extension
Published Date: 6/3/2026
Notice
Summary
The SEC is asking for comments to keep the rules about how companies apply for special permission under the Investment Company Act of 1940. This affects investment companies that need to file paperwork showing they’re authorized to request exemptions. No big changes or costs are expected, but companies should keep following the clear filing steps to stay in the game.
No Economic Impacts Identified for this Document
Your PRIA Score
Personalized for You
How does this regulation affect your finances?
Sign up for a PRIA Policy Scan to see your personalized alignment score for this federal register document and every other regulation we track. We analyze your financial profile against policy provisions to show you exactly what matters to your wallet.
Key Dates
Department and Agencies
Related Federal Register Documents
2026-12163 — The Trade-Through Rule and Locked and Crossed Markets Provisions of Regulation NMS
The SEC wants to scrap some old rules that stop stocks from being traded at worse prices and prevent confusing market quotes. This change affects stock traders and exchanges, aiming to simplify trading and possibly speed things up. If you want to share your thoughts, you’ve got until August 17, 2026, so don’t miss out!
2026-10373 — Registered Offering Reform
The SEC wants to make it easier and cheaper for more companies to sell their stocks and bonds to the public. They’re opening up special forms and benefits to more businesses, updating rules to be more modern, and cutting red tape by overriding some state rules. If you’re a company planning to raise money, these changes could speed things up and save you money, with feedback due by July 27, 2026.
2026-10222 — Enhancement of Emerging Growth Company Accommodations and Simplification of Filer Status for Reporting Companies
The SEC is making it easier for companies that report their finances by simplifying their categories into just two groups: big and small filers. Smaller companies, including emerging growth ones, will get more time to file reports and enjoy simpler rules, while big companies keep stricter standards. These changes aim to save time and money, with feedback open until July 20, 2026.
2026-07651 — Concept Release on Consolidated Audit Trail and Other Audit Trails and Data Sources
The SEC wants your thoughts on how it tracks stock market trades using the Consolidated Audit Trail and other data tools. They’re thinking about updating rules to keep up with new tech, privacy, and security needs, and to make sure the system is fair and cost-effective. If you’re involved in the stock market or data tracking, speak up by June 22, 2026!
2026-14620 — Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt the Initial Schedule of Fees and Rebates Applicable to Members of the Exchange and Adopt a Monthly Membership Fee
The Texas Stock Exchange is rolling out its first-ever fee and rebate schedule for its members, plus a monthly membership fee. This means anyone trading on TXSE will see new costs and potential rebates starting as soon as the exchange opens. It’s all about setting clear rules and fees to keep things running smoothly from day one.
2026-14624 — Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Providing Clearing Services for Fee Grid for the Triparty Collateral Mechanism
LCH SA is updating its rules to allow certain securities to be used as initial margin through a special triparty collateral system. They’re also adding new fees for this service, which take effect immediately. This change mainly affects financial firms using LCH SA’s clearing services and means some new costs will apply starting now.
Previous / Next Documents
Previous: 2026-11131 — Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form S-6, for Registration Under the Securities Act of 1933 of Unit Investment Trusts Registered on Form N-8B-2
The SEC is extending the use of Form S-6, which unit investment trusts (UITs) use to update their registration and keep investors informed. This means UITs must keep their paperwork fresh, usually updating yearly, so they can keep selling their units smoothly. There’s no new cost or big changes, just a continued commitment to clear, up-to-date info for investors.
Next: 2026-11133 — Agency Information Collection Activities; Submission to the Office of Management and Budget (OMB) for Review and Approval; Comment Request; Limits of Application of Take Prohibitions
NOAA is asking for public feedback on how it collects information about rules that protect threatened salmon species from harm. This helps make sure the rules are clear and don’t create extra paperwork for people. Comments are open until August 3, 2026, and the goal is to keep protecting salmon while making reporting easier and more efficient.