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:S7-13-94 | Rulemaking:Reconciliation of the Accounting by Foreign Private Issuers for Business Combinations |
Status:
Final
Rule
Reconciliation of the Accounting by Foreign Private Issuers for Business Combinations
33-7119,
34-35095,
International Series Release No. 759
|
Issue Date: | File Number:S7-26-94 | Rulemaking:Limited Partnership Roll-Up Transactions |
Status:
Final
Rule
Limited Partnership Roll-Up Transactions
33-7113,
34-35036
|
Issue Date: | File Number:S7-1-92 | Rulemaking:Notice of Assumption or Termination of Transfer Agent Services |
Status:
Final
Rule
Notice of Assumption or Termination of Transfer Agent Services
34-35039
|
Issue Date: | File Number:S7-5-94 | Rulemaking:Municipal Securities Disclosure |
Status:
Final
Rule
Municipal Securities Disclosure
34-34961
|
Issue Date: | File Number:S7-6-94 | Rulemaking:Confirmation of Transactions |
Status:
Final
Rule
Confirmation of Transactions
34-34962
|
Issue Date: | File Number:S7-16-94 | Rulemaking:Exemptive Relief and Simplification of Filing Requirements for Debt Securities To Be Listed on a National Securities Exchange |
Status:
Final
Rule
Exemptive Relief and Simplification of Filing Requirements for Debt Securities To Be Listed on a National Securities Exchange
34-34922
|
Issue Date: | File Number:S7-29-93 | Rulemaking:Payment for Order Flow |
Status:
Final
Rule
Payment for Order Flow
34-34902
|
Issue Date: | File Number:S7-33-93 | Rulemaking:Amendments to Proxy Rules for Registered Investment Companies |
Status:
Final
Rule
Amendments to Proxy Rules for Registered Investment Companies
33-7102,
34-34832,
IC-20614
|
Issue Date: | File Number: | Rulemaking:Rulemaking for EDGAR System: Financial Data Schedules |
Status:
Final
Rule
Rulemaking for EDGAR System: Financial Data Schedules
33-7072,
34-34330,
35-26079,
IC-20388
|
Issue Date: | File Number: | Rulemaking:Executive Compensation Disclosure; Securityholder Lists and Mailing Requests |
Status:
Final
Rule
Executive Compensation Disclosure; Securityholder Lists and Mailing Requests
33-7032
|
Issue Date: | File Number: | Rulemaking:Adoption of Additional Small Business Initiatives |
Status:
Final
Rule
Adoption of Additional Small Business Initiatives
33-6996
|
Issue Date: | File Number: | Rulemaking:Disclosure of Mutual Fund Performance and Portfolio Managers |
Status:
Final
Rule
Disclosure of Mutual Fund Performance and Portfolio Managers
33-6988,
IC-19382
|
Issue Date: | File Number: | Rulemaking:Adoption of Small Business Initiatives |
Status:
Final
Rule
Adoption of Small Business Initiatives
33-6949
|
Issue Date: | File Number: | Rulemaking:Final Temporary Risk Assessment Rules |
Status:
Final
Rule
Final Temporary Risk Assessment Rules
34-30929
|
Issue Date: | File Number: | Rulemaking:Penny Stock Disclosure Rules |
Status:
Final
Rule
Penny Stock Disclosure Rules
34-30608
|
Issue Date: | File Number: | Rulemaking:Acceptance of Signature Guarantees from Eligible Guarantor Institutions |
Status:
Final
Rule
Acceptance of Signature Guarantees from Eligible Guarantor Institutions
34-30146
|
Issue Date: | File Number: | Rulemaking:Registration Requirements for Foreign Broker-Dealers |
Status:
Final
Rule
Registration Requirements for Foreign Broker-Dealers
34-27017
|
Issue Date: | File Number: | Rulemaking:Municipal Securities Disclosure |
Status:
Final
Rule
Municipal Securities Disclosure
34-26985
|
Issue Date: | File Number: | Rulemaking:The Commission is adopting Rule 3a4-1 specifying a non--exclusive safe harbor under which persons associated with an issuer of securities who participate in sales of that issuer's securities will not be considered to be acting as "brokers" as that term is defined in the Securities Exchange Act of 1934. |
Status:
Final
Rule
The Commission is adopting Rule 3a4-1 specifying a non--exclusive safe harbor under which persons associated with an issuer of securities who participate in sales of that issuer's securities will not be considered to be acting as "brokers" as
34-22172
|
Issue Date: | File Number: | Rulemaking:Processing of Tender Offers within the National Clearance and SettlementSystem |
Status:
Final
Rule
Processing of Tender Offers within the National Clearance and SettlementSystem
34-20581
|
Issue Date: | File Number: | Rulemaking:Maintenance of Accurate Securityholder Files and safeguarding of Funds and Securities by Registered Transfer Agents |
Status:
Final
Rule
Maintenance of Accurate Securityholder Files and safeguarding of Funds and Securities by Registered Transfer Agents
34-19860
|
Issue Date: | File Number: | Rulemaking:Securities Position Listing Rule |
Status:
Final
Rule
Securities Position Listing Rule
34-16443
|
Issue Date: | File Number:S7-687 | Rulemaking:Filing and Reporting Requirements Relating to Institutional lnvestment Managers |
Status:
Final
Rule
Filing and Reporting Requirements Relating to Institutional lnvestment Managers
34-14852
|
Issue Date: | File Number: | Rulemaking:Regulation of Transfer Agents |
Status:
Final
Rule
Regulation of Transfer Agents
34-13636
|
Issue Date: | File Number: | Rulemaking:Adoption of Rule 15ba2-1, Related Form MSD, Rule 15ba2-2 and Temporary Rule 15ba2-3(T) Relating to the Registration Of Municipal Securities Dealers Under Section 15b(a) of the Securities Exchange Act of 1934; Adoption of Temporary Rule 15a-1 (T) Relating to the Registration Of Municipal Securities Brokers and Dealers Under Section 15 of the Act; and Delegation of Authority to the Staff of The Commission |
Status:
Final
Rule
Adoption of Rule 15ba2-1, Related Form MSD, Rule 15ba2-2 and Temporary Rule 15ba2-3(T) Relating to the Registration Of Municipal Securities Dealers Under Section 15b(a) of the Securities Exchange Act of 1934; Adoption of Temporary Rule 15a-1 (T) Relating
34-11742
|
Issue Date: | File Number: | Rulemaking:Nonpublic Offering Exemption |
Status:
Final
Rule
Nonpublic Offering Exemption
33-4552
|
Displaying 1501 - 1533 of 1533
Modified: Feb. 20, 2024