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:S7-05-19 |
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
|
Issue Date: | File Number:S7-13-19 |
Rulemaking:Amendments to the National Market System Plan Governing the Consolidated Audit Trail
Trading and Markets
|
Status:
Final
Rule
Amendments to the National Market System Plan Governing the Consolidated Audit Trail
34-88890
|
Issue Date: | File Number:S7-23-16 |
Rulemaking:Definition of "Covered Clearing Agency"
Trading and Markets
|
Status:
Final
Rule
Definition of "Covered Clearing Agency"
34-88616
|
Issue Date: | File Number:S7-03-19 |
Rulemaking:Securities Offering Reform for Closed-End Investment Companies
Investment Management
|
Status:
Final
Rule
Securities Offering Reform for Closed-End Investment Companies
33-10771,
34–88606,
IC–33836
|
Issue Date: | File Number:S7-06-19 |
Rulemaking:Accelerated Filer and Large Accelerated Filer Definitions
Corporation Finance
|
Status:
Final
Rule
Accelerated Filer and Large Accelerated Filer Definitions
34-88365
|
Issue Date: | File Number:S7-23-18 |
Rulemaking:Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
Investment Management
|
Status:
Final
Rule
Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
33-10765,
34-88358,
IC-33814, 33-10605
|
Issue Date: | File Number:S7-19-18 |
Rulemaking:Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities
Corporation Finance
|
Status:
Final
Rule
Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities
33-10762,
34-88307,
33-10526
|
Issue Date: | File Number: | Rulemaking:Exemptions From Investment Adviser Registration for Advisers to Certain Rural Business Investment Companies |
Status:
Final
Rule
Exemptions From Investment Adviser Registration for Advisers to Certain Rural Business Investment Companies
IA-5454
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to the General Counsel of the Commission |
Status:
Final
Rule
Delegation of Authority to the General Counsel of the Commission
33-10757,
34-88245,
IA-5446,
IC-33802
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10749,
34-88040,
39-2530,
IC-33792
|
Issue Date: | File Number:S7-07-19 |
Rulemaking:Cross-Border Application of Certain Security-Based Swap Requirements
Trading and Markets
|
Status:
Final
Rule
Cross-Border Application of Certain Security-Based Swap Requirements
34-87780
|
Issue Date: | File Number:S7-28-18 |
Rulemaking:Risk Mitigation Techniques for Uncleared Security-Based Swaps
Trading and Markets
|
Status:
Final
Rule
Risk Mitigation Techniques for Uncleared Security-Based Swaps
34-87782
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10709,
34-87148,
39-2529,
IC-33650
|
Issue Date: | File Number:S7-15-18 |
Rulemaking:Exchange-Traded Funds
Investment Management
|
Status:
Final
Rule
Exchange-Traded Funds
33-10695,
: IC-33646
|
Issue Date: | File Number:S7-01-19 |
Rulemaking:Solicitations of Interest Prior to a Registered Public Offering
Corporation Finance, Investment Management
|
Status:
Final
Rule
Solicitations of Interest Prior to a Registered Public Offering
33-10699
|
Issue Date: | File Number:S7-05-14 |
Rulemaking:Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers
Trading and Markets
|
Status:
Final
Rule
Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers
34-87005
|
Issue Date: | File Number:S7-14-18 |
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-7
|
Issue Date: | File Number:S7-09-17 |
Rulemaking:Amendments to the Commission's Freedom of Information Act Regulations
General Counsel
|
Status:
Final
Rule
Technical Amendments To Update Cross-References to Commission's FOIA Regulations
34-86982
|
Issue Date: | File Number:S7-22-18 |
Rulemaking:Amendments to Rules for Nationally Recognized Statistical Rating Organizations
Credit Ratings
|
Status:
Final
Rule
Amendments to Rules for Nationally Recognized Statistical Rating Organizations
34-86590
|
Issue Date: | File Number:S7-08-17 |
Rulemaking:FAST Act Modernization and Simplification of Regulation S-K
Corporation Finance, Investment Management
|
Status:
Final
Rule
FAST Act Modernization and Simplification of Regulation S-K; Correction
33-10618A,
34-85381A,
IA-5206A,
IC-33426A
|
Issue Date: | File Number:S7-30-18 | Rulemaking:Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds |
Status:
Final
Rule
Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
BHCA-6
|
Issue Date: | File Number:S7-08-12 |
Rulemaking:Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers
Trading and Markets
|
Status:
Final
Rule
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers
34-86175
|
Issue Date: | File Number:S7-10-18 |
Rulemaking:Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships
Chief Accountant
|
Status:
Final
Rule
Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships
33-10648,
34-86127,
FR-85,
IA-5255,
IC-33511
|
Issue Date: | File Number:S7-21-18 |
Rulemaking:Amendment to Single Issuer Exemption for Broker-Dealers
Trading and Markets
|
Status:
Final
Rule
Amendment to Single Issuer Exemption for Broker-Dealers
34-86073
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10645,
34-86070,
39-2526, IC-33504
|
Issue Date: | File Number:S7-07-18 |
Rulemaking:Regulation Best Interest: The Broker-Dealer Standard of Conduct
Trading and Markets, Investment Management
|
Status:
Final
Rule
Regulation Best Interest: The Broker-Dealer Standard of Conduct
34-86031
|
Issue Date: | File Number:S7-08-18 |
Rulemaking:Form CRS Relationship Summary; Amendments to Form ADV
Investment Management
|
Status:
Final
Rule
Form CRS Relationship Summary; Amendments to Form ADV
34-86032,
IA-5247
|
Issue Date: | File Number:S7-14-16 |
Rulemaking:Disclosure of Order Handling Information
Trading and Markets
|
Status:
Final
Rule
Disclosure of Order Handling Information
34-85714
|
Issue Date: | File Number: | Rulemaking:Public Company Accounting Oversight Board Hearing Officers |
Status:
Final
Rule
Public Company Accounting Oversight Board Hearing Officers
34-85437
|
Issue Date: | File Number:S7-08-17 |
Rulemaking:FAST Act Modernization and Simplification of Regulation S-K
Corporation Finance, Investment Management
|
Status:
Final
Rule
FAST Act Modernization and Simplification of Regulation S-K
33-10618,
34-85381,
IA-5206,
IC-33426
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10615,
34-85296,
39-2525,
IC-33398
|
Issue Date: | File Number:S7-01-15 |
Rulemaking:Disclosure of Hedging by Employees, Officers and Directors
Corporation Finance
|
Status:
Final
Rule
Disclosure of Hedging by Employees, Officers and Directors
33-10593
|
Issue Date: | File Number:S7-29-18 |
Rulemaking:Conditional Small Issues Exemption Under the Securities Act of 1933 (Regulation A)
Corporation Finance
|
Status:
Final
Rule
Conditional Small Issues Exemption Under the Securities Act of 1933 (Regulation A)
33-10591
|
Issue Date: | File Number:S7-14-15 |
Rulemaking:Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved in Effecting Security-Based Swaps
Trading and Markets
|
Status:
Final
Rule
Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved in Effecting Security-Based Swaps
34-84858
|
Issue Date: | File Number:S7-05-18 |
Rulemaking:Transaction Fee Pilot for NMS Stocks
Trading and Markets
|
Status:
Final
Rule
Transaction Fee Pilot for NMS Stocks
34-84875
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10585,
34-84825,
39-2524,
IC-33324
|
Issue Date: | File Number:S7-11-18 |
Rulemaking:Covered Investment Fund Research Reports
Corporation Finance, Investment Management, Trading and Markets
|
Status:
Final
Rule
Covered Investment Fund Research Reports
33-10580,
34-84710,
IC-33311
|
Issue Date: | File Number:S7-08-15, S7-04-18 |
Rulemaking:Investment Company Reporting Modernization
Investment Management
|
Status:
Final
Rule
Form N-1A; Correction
33-10577
|
Issue Date: | File Number:S7-23-15 |
Rulemaking:Regulation of NMS Stock Alternative Trading Systems
Trading and Markets
|
Status:
Final
Rule
Regulation of NMS Stock Alternative Trading Systems
34-84541
|
Issue Date: | File Number:S7-14-16 |
Rulemaking:Disclosure of Order Handling Information
Trading and Markets
|
Status:
Final
Rule
Disclosure of Order Handling Information
34-84528
|
Issue Date: | File Number:S7-10-16 |
Rulemaking:Modernization of Property Disclosures for Mining Registrants
Corporation Finance
|
Status:
Final
Rule
Modernization of Property Disclosures for Mining Registrants
33-10570,
34-84509
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual; Correction |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual; Correction
33-10566A,
34-84325A,
39-2522A,
IC-33261A
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to General Counsel of the Commission |
Status:
Final
Rule
Delegation of Authority to General Counsel of the Commission
33-10537,
34-83911,
IA-4994,
IC-33212
|
Issue Date: | File Number:S7-01-17 |
Rulemaking:Amendments to Municipal Securities Disclosure
Municipal Securities
|
Status:
Final
Rule
Amendments to Municipal Securities Disclosure
34-83885
|
Issue Date: | File Number:S7-15-16 |
Rulemaking:Disclosure Update and Simplification
Corporation Finance
|
Status:
Final
Rule
Disclosure Update and Simplification
33-10532
|
Issue Date: | File Number:S7-17-18 |
Rulemaking:Exempt Offerings Pursuant to Compensatory Arrangements
Corporation Finance
|
Status:
Final
Rule
Exempt Offerings Pursuant to Compensatory Arrangements
33-10520
|
Issue Date: | File Number:S7-23-15 |
Rulemaking:Regulation of NMS Stock Alternative Trading Systems
Trading and Markets
|
Status:
Final
Rule
Regulation of NMS Stock Alternative Trading Systems
34-83663
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10518,
34-83614,
39-2521,
IC-33153
|
Issue Date: | File Number:S7-12-16 |
Rulemaking:Smaller Reporting Company Definition
Corporation Finance
|
Status:
Final
Rule
Smaller Reporting Company Definition
33-10513,
34-83550
|
Issue Date: | File Number:S7-03-17 |
Rulemaking:Inline XBRL Filing of Tagged Data
Corporation Finance
|
Status:
Final
Rule
Inline XBRL Filing of Tagged Data
33-10514
|
Issue Date: | File Number:S7-04-18 |
Rulemaking:Investment Company Liquidity Disclosure
Investment Management
|
Status:
Final
Rule
Investment Company Liquidity Disclosure
IC-33142
|
Displaying 201 - 300 of 1533
Modified: Feb. 20, 2024