The SEC has reopened the public comment period for 11 rule proposals and one request-for-comment after discovering a technical glitch that prevented some comments from being posted.
The Internet submission form the SEC provides to allow members of the public to comment on rule proposals appeared to work correctly but sometimes failed to complete all the steps required to automatically store, submit and post comments, according to an Oct. 7 from the SEC.
The commission offered little detail about the nature of the problem but said it could have appeared as early as June 21, 2021. The glitch affected, as far as the SEC can tell, fewer than 200 comment letters, out of the 25,000 unique comments filed during that period, Reuters reported.
Most of the affected comments were submitted in August, but the commission suggests that anyone who submitted public comments using the Internet comment form should check the comments section of the relevant rule proposal and use the links posted with the original rule proposal or the list of links included in the posted notice that the comment period had been reopened.
Comments will be open for 14 days after the notice appears in the Federal Register.
See the table below for the titles and identifying numbers of the rule proposals affected.
- Reporting of Securities Loans
- Release No. 34-93613
- Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions
- Release No. 34-93784
- Money Market Fund Reforms
- Release No. IC-34441
- Share Repurchase Disclosure Modernization
- Release Nos. 34-93783, IC-34440
- Short Position and Short Activity Reporting by Institutional Investment Managers
- Release No. 34-94313
- See also: Notice of the Text of the Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail for Purposes of Short Sale-Related Data Collection
- Release No. 34-94314
- Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure
- Release Nos. 33-11038, 34-94382, IC-34529
- Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
- Release No. IA-5955
- The Enhancement and Standardization of Climate-Related Disclosures for Investors
- Release Nos. 33-11042, 34-94478
- Special Purpose Acquisition Companies, Shell Companies, and Projections
- Release Nos. 33-11048, 34-94546, IC-34549
- Investment Company Names
- Release Nos. 33-11067, 34-94981, IC-34593
- Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment Practices
- Release Nos. 33-11068, 34-94985, IA-6034, IC-34594
- Request for Comment on Certain Information Providers Acting as Investment Advisers
- Release Nos. IA-6050, IC-3461
