This index of the SEC’s rulemaking activity can be filtered by year, status (proposed or final), or division/office that recommended the rulemaking to the Commission.
Twice a year under the Regulatory Flexibility Act, the SEC is required to publish an agenda identifying rules that the agency estimates it may consider in the next 12 months. View the latest SEC RegFlex agenda.
Rulemaking Activity Table
Issue Date
|
File Number
|
Rulemaking
|
Status
|
---|---|---|---|
Issue Date: | File Number:S7-17-21 |
Rulemaking:Proxy Voting Advice
Corporation Finance
|
Status:
Final
Rule
Proxy Voting Advice
34-95266,
IA-6068
|
Issue Date: | File Number:S7-15-21 |
Rulemaking:Electronic Submission of Applications for Orders Under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F
Investment Management
|
Status:
Final
Rule
Electronic Submission of Applications for Orders Under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F
34-95148,
IA-6056,
IC-34635
|
Issue Date: | File Number:S7-24-20 |
Rulemaking:Updating EDGAR Filing Requirements and Form 144 Filings
Corporation Finance
|
Status:
Final
Rule
Updating EDGAR Filing Requirements and Form 144 Filings
33-11070,
34-95025
|
Issue Date: | File Number: | Rulemaking:Technical Amendments to Commission Rules and Forms |
Status:
Final
Rule
Technical Amendments to Commission Rules and Forms
33-11047,
IA-5985,
IC-34547
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-11043,
34-94479,
39-2543,
IC-34536
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-11016,
34-93827,
39-2542,
IC-34444
|
Issue Date: | File Number:S7-03-21 |
Rulemaking:Holding Foreign Companies Accountable Act Disclosure
Corporation Finance
|
Status:
Final
Rule
Holding Foreign Companies Accountable Act Disclosure
34-93701,
IC-34431
|
Issue Date: | File Number:S7-24-16 |
Rulemaking:Universal Proxy
Corporation Finance
|
Status:
Final
Rule
Universal Proxy
34-93596,
IC-34419
|
Issue Date: | File Number: | Rulemaking:Performance-Based Investment Advisory Fees |
Status:
Final
Rule
Performance-Based Investment Advisory Fees
IA-5904
|
Issue Date: | File Number:S7-20-19 |
Rulemaking:Filing Fee Disclosure and Payment Methods Modernization
Corporation Finance, Economic and Risk Analysis
|
Status:
Final
Rule
Filing Fee Disclosure and Payment Methods Modernization
33-10997,
34-93285,
IC-34396
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual, Form ID Amendments |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual, Form ID Amendments
33-10984,
34-93056,
39-2540,
IC-34376
|
Issue Date: | File Number: | Rulemaking:Freedom of Information Act Regulations |
Status:
Final
Rule
Freedom of Information Act Regulations
34-92727,
FOIA-194
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10948,
34-92216,
39-2539,
IC-34304
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual, Form ID Amendments |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual, Form ID Amendments
33-10935,
34-91352,
39-2538, IC-34226
|
Issue Date: | File Number: | Rulemaking:Modernization of Delegations of Authority to Commission Staff and Division and Office Descriptions |
Status:
Final
Rule
Modernization of Delegations of Authority to Commission Staff and Division and Office Descriptions
33-10913,
34-90787,
IA-5656,
IC-34151
|
Issue Date: | File Number:S7-21-19 |
Rulemaking:Investment Adviser Marketing
Investment Management
|
Status:
Final
Rule
Investment Adviser Marketing
IA-5653
|
Issue Date: | File Number:S7-24-19 |
Rulemaking:Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
|
Status:
Final
Rule
Disclosure of Payments by Resource Extraction Issuers
34-90679,
34-87783
|
Issue Date: | File Number:S7-08-11 |
Rulemaking:Exemption From the Definition of "Clearing Agency" for Certain Activities of Security-Based Swap Dealers and Security-Based Swap Execution Facilities
Trading and Markets
|
Status:
Final
Rule
Exemption From the Definition of "Clearing Agency" for Certain Activities of Security-Based Swap Dealers and Security-Based Swap Execution Facilities
34-90667
|
Issue Date: | File Number:S7-11-20 |
Rulemaking:Administration of the Electronic Data Gathering, Analysis, and Retrieval System
Edgar Business Office
|
Status:
Final
Rule
Administration of the Electronic Data Gathering, Analysis, and Retrieval System
33-10901,
34-90636,
39-2535,
IC-34136
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual, Proposed Collection and Comment Request for Form ID |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual, Proposed Collection and Comment Request for Form ID
33-10902,
34-90637,
39-2536,
IC-34137
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to Director of the Division of Enforcement |
Status:
Final
Rule
Delegation of Authority to Director of the Division of Enforcement
33-10900,
34-90623,
IA-5644,
IC-34134
|
Issue Date: | File Number:S7-03-20 |
Rulemaking:Market Data Infrastructure
Trading and Markets
|
Status:
Final
Rule
Market Data Infrastructure
34-90610
|
Issue Date: | File Number:S7-07-20 |
Rulemaking:Good Faith Determinations of Fair Value
Investment Management
|
Status:
Final
Rule
Good Faith Determinations of Fair Value
IC-34128
|
Issue Date: | File Number:S7-01-20 |
Rulemaking:Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information
Corporation Finance
|
Status:
Final
Rule
Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information
33-10890,
34-90459,
IC-34100
|
Issue Date: | File Number: |
Rulemaking:Electronic Signatures in Regulation S-T Rule 302
Corporation Finance
|
Status:
Final
Rule
Electronic Signatures in Regulation S-T Rule 302
33-10889,
34-90441,
39-2534,
IC-34096
|
Issue Date: | File Number:S7-19-15 |
Rulemaking:Amendments to the Commission's Rules of Practice (Conformed to Federal Register version) Effective Date: The final rules are effective January 29, 2021, except for Instruction 8 which is effective July 12, 2021 Compliance Date: April 12, 2021
General Counsel
|
Status:
Final
Rule
Amendments to the Commission's Rules of Practice (Conformed to Federal Register version) Effective Date: The final rules are effective January 29, 2021, except for Instruction 8 which is effective July 12, 2021 Compliance Date: April 12, 2021
34-90442A
|
Issue Date: | File Number:S7-05-20 |
Rulemaking:Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets
Corporation Finance
|
Status:
Final
Rule
Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets
33-10884,
34-90300,
IC-34082
|
Issue Date: | File Number:S7-24-15 |
Rulemaking:Use of Derivatives by Registered Investment Companies and Business Development Companies
Investment Management
|
Status:
Final
Rule
Use of Derivatives by Registered Investment Companies and Business Development Companies
IC-34084
|
Issue Date: | File Number:S7-09-19 |
Rulemaking:Customer Margin Rules Relating to Security Futures
Trading and Markets
|
Status:
Final
Rule
Customer Margin Rules Relating to Security Futures
34-90244
|
Issue Date: | File Number:S7-26-19 |
Rulemaking:Qualifications of Accountants
Investment Management
|
Status:
Final
Rule
Qualifications of Accountants
33-10876,
34-90210,
FR-88,
IA-5613,
IC-34052
|
Issue Date: | File Number:S7-27-18 |
Rulemaking:Fund of Funds Arrangements
Investment Management
|
Status:
Final
Rule
Fund of Funds Arrangements
33-10871,
IC-34045
|
Issue Date: | File Number:S7-16-18 |
Rulemaking:Whistleblower Program Rules
Enforcement, General Counsel
|
Status:
Final
Rule
Whistleblower Program Rules
34-89963
|
Issue Date: | File Number:S7-23-19 |
Rulemaking:Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8
Corporation Finance
|
Status:
Final
Rule
Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8
34-89964
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10845,
34-89920,
39-2533,
IC-34015
|
Issue Date: | File Number:S7-14-19 |
Rulemaking:Publication or Submission of Quotations Without Specified Information
Trading and Markets
|
Status:
Final
Rule
Publication or Submission of Quotations Without Specified Information
33-10842,
34-89891
|
Issue Date: | File Number:S7-02-17 |
Rulemaking:Update of Statistical Disclosures for Bank and Savings and Loan Registrants
Corporation Finance
|
Status:
Final
Rule
Update of Statistical Disclosures for Bank and Savings and Loan Registrants
33-10835,
34-89835
|
Issue Date: | File Number:S7-25-19 |
Rulemaking:Accredited Investor Definition
Corporation Finance
|
Status:
Final
Rule
Accredited Investor Definition
33-10824
|
Issue Date: | File Number:S7-11-19 |
Rulemaking:Modernization of Regulation S-K Items 101, 103, and 105
Corporation Finance
|
Status:
Final
Rule
Modernization of Regulation S-K Items 101, 103, and 105
33-10825,
34-89670
|
Issue Date: | File Number:S7-15-19 |
Rulemaking:Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments and Modified Procedures for Proposed NMS Plans and Plan Amendments
Trading and Markets
|
Status:
Final
Rule
Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments and Modified Procedures for Proposed NMS Plans and Plan Amendments
34-89618
|
Issue Date: | File Number:S7-02-16 |
Rulemaking:Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Trading and Markets
|
Status:
Final
Rule
Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
34-89394
|
Issue Date: | File Number:S7-22-19 |
Rulemaking:Exemptions From the Proxy Rules for Proxy Voting Advice
Corporation Finance
|
Status:
Final
Rule
Exemptions From the Proxy Rules for Proxy Voting Advice
34-89372
|
Issue Date: | File Number:S7-19-19 |
Rulemaking:Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940
Investment Management
|
Status:
Final
Rule
Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940
IC-33921
|
Issue Date: | File Number:S7-02-20 |
Rulemaking:Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Trading and Markets, Investment Management
|
Status:
Final
Rule
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
BHCA-9
|
Issue Date: | File Number:S7-05-19 |
Rulemaking:Amendments to Financial Disclosures About Acquired and Disposed Businesses
Chief Accountant, Corporation Finance, Investment Management
|
Status:
Final
Rule
Amendments to Financial Disclosures About Acquired and Disposed Businesses
33-10786,
34-88914,
IC-33872
|
Displaying 101 - 200 of 1533
Modified: Feb. 20, 2024