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:S7-09-17 |
Rulemaking:Amendments to the Commission's Freedom of Information Act Regulations
General Counsel
|
Status:
Final
Rule
Amendments to the Commission's Freedom of Information Act Regulations
34-83506,
FOIA-193
|
Issue Date: | File Number:S7-08-15 |
Rulemaking:Optional Internet Availability of Investment Company Shareholder Reports
Investment Management
|
Status:
Final
Rule
Optional Internet Availability of Investment Company Shareholder Reports
33-10506
|
Issue Date: | File Number: | Rulemaking:Technical Amendments to Rules of Practice and Rules of Organization; Conduct and Ethics; and Information and Requests |
Status:
Final
Rule
Technical Amendments to Rules of Practice and Rules of Organization; Conduct and Ethics; and Information and Requests
34-83325
|
Issue Date: | File Number: | Rulemaking:Amendments to Forms and Schedules To Remove Provision of Certain Personally Identifiable Information |
Status:
Final
Rule
Amendments to Forms and Schedules To Remove Provision of Certain Personally Identifiable Information
33-10486,
34-83097,
IC-33077
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10467,
34-82830,
39-2520,
IC-33041
|
Issue Date: | File Number: | Rulemaking:Amendments to Forms and Schedules To Remove Voluntary Provision of Social Security Numbers |
Status:
Final
Rule
Amendments to Forms and Schedules To Remove Voluntary Provision of Social Security Numbers
33-7424A
|
Issue Date: | File Number:S7-05-17 |
Rulemaking:Exemptions From Investment Adviser Registration for Advisers to Small Business Investment Companies
Investment Management
|
Status:
Final
Rule
Exemptions From Investment Adviser Registration for Advisers to Small Business Investment Companies
IA-4839
|
Issue Date: | File Number:S7-09-14 |
Rulemaking:Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
Corporation Finance
|
Status:
Final
Rule
Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
33-10450
|
Issue Date: | File Number:S7-08-15 |
Rulemaking:Investment Company Reporting Modernization
Investment Management
|
Status:
Final
Rule
Investment Company Reporting Modernization
33-10442,
33-9776,
33-10231,
34-82241,
IC-32936
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10444,
34-82246,
39-2519,
IC-32938
|
Issue Date: | File Number:S7-06-17 |
Rulemaking:Covered Securities Pursuant to Section 18 of the Securities Act of 1933
Trading and Markets
|
Status:
Final
Rule
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
33-10428
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10413,
34-81592,
39-2518,
IC-32818
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10385,
34-81080,
39-2517,
IC-32724
|
Issue Date: | File Number: | Rulemaking:Technical Amendments to Form ADV and Form ADV-W |
Status:
Final
Rule
Technical Amendments to Form ADV and Form ADV-W
IA-4698
|
Issue Date: | File Number: | Rulemaking:Inflation Adjustments and Other Technical Amendments under Titles I and III of the JOBS Act |
Status:
Final
Rule
Inflation Adjustments and Other Technical Amendments Under Titles I and III of the Jobs Act
33-10332,
34-80355
|
Issue Date: | File Number:S7-22-16 |
Rulemaking:Securities Transaction Settlement Cycle
Trading and Markets
|
Status:
Final
Rule
Securities Transaction Settlement Cycle
34-80295
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10324,
34-80182,
39-2516,
IC-32527
|
Issue Date: | File Number:S7-19-16 |
Rulemaking:Exhibit Hyperlinks and HTML Format
Corporation Finance
|
Status:
Final
Rule
Exhibit Hyperlinks and HTML Format
33-10322,
34-80132
|
Issue Date: | File Number:S7-22-15 |
Rulemaking:Exemptions To Facilitate Intrastate and Regional Securities Offerings
Corporation Finance
|
Status:
Final
Rule
Exemptions to Facilitate Intrastate and Regional Securities Offerings, Technical Correction
33-10238A,
34-79161A
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10295,
34-79878,
39-2514,
IC-32452
|
Issue Date: | File Number: |
Rulemaking:Adjustments to Civil Monetary Penalty Amounts
Enforcement
|
Status:
Final
Rule
Adjustments to Civil Monetary Penalty Amounts
33-10276,
34-79749,
IA-4599,
IC-32414
|
Issue Date: | File Number:S7-12-14 |
Rulemaking:Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act
Corporation Finance
|
Status:
Final
Rule
Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act; Correction
33-10075A,
34-77757A,
33-9693
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10265,
34-79519,
39-2513,
IC-32387
|
Issue Date: | File Number:S7-22-15 |
Rulemaking:Exemptions To Facilitate Intrastate and Regional Securities Offerings
Corporation Finance
|
Status:
Final
Rule
Exemptions To Facilitate Intrastate and Regional Securities Offerings
33-10238,
34-79161
|
Issue Date: | File Number:S7-16-15 |
Rulemaking:Investment Company Liquidity Risk Management Programs
Investment Management
|
Status:
Final
Rule
Investment Company Liquidity Risk Management Programs
33-10233,
IC-32315
|
Issue Date: | File Number:S7-16-15 |
Rulemaking:Investment Company Swing Pricing
Investment Management
|
Status:
Final
Rule
Investment Company Swing Pricing
33-10234,
IC-32316
|
Issue Date: | File Number:S7-08-15 |
Rulemaking:Investment Company Reporting Modernization
Investment Management
|
Status:
Final
Rule
Investment Company Reporting Modernization
33-10231,
33-9776, 33-10442, 34-79095,
IC-32314
|
Issue Date: | File Number:S7-03-14 |
Rulemaking:Standards for Covered Clearing Agencies
Trading and Markets
|
Status:
Final
Rule
Standards for Covered Clearing Agencies
34-78961
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10217,
34-78883,
39-2512,
IC-32269
|
Issue Date: | File Number:S7-15-15 |
Rulemaking:Access to Data Obtained by Security-Based Swap Data Repositories
Trading and Markets
|
Status:
Final
Rule
Access to Data Obtained by Security-Based Swap Data Repositories
34-78716
|
Issue Date: | File Number:S7-09-15 |
Rulemaking:Form ADV and Investment Advisers Act Rules
Investment Management
|
Status:
Final
Rule
Form ADV and Investment Advisers Act Rules
IA-4509
|
Issue Date: | File Number:S7-03-15 |
Rulemaking:Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Trading and Markets
|
Status:
Final
Rule
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
34-78321
|
Issue Date: | File Number:S7-18-15 |
Rulemaking:Amendments to the Commission's Rules of Practice
General Counsel
|
Status:
Final
Rule
Amendments to the Commission's Rules of Practice
34-78319
|
Issue Date: | File Number:S7-25-15 |
Rulemaking:Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
|
Status:
Final
Rule
Disclosure of Payments by Resource Extraction Issuers
34-78167
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10095,
34-78044,
39-2510,
IC-32145
|
Issue Date: | File Number:S7-03-11 |
Rulemaking:Trade Acknowledgment and Verification of Security-Based Swap Transactions
Trading and Markets
|
Status:
Final
Rule
Trade Acknowledgment and Verification of Security-Based Swap Transactions
34-78011
|
Issue Date: | File Number:S7-30-11 |
Rulemaking:Retail Foreign Exchange Transactions
Trading and Markets
|
Status:
Final
Rule
Retail Foreign Exchange Transactions
34-77874
|
Issue Date: | File Number:S7-12-14 |
Rulemaking:Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act
Corporation Finance
|
Status:
Final
Rule
Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act
33-10075,
34-77757
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10071,
34-77693,
39-2509,
IC-32091
|
Issue Date: | File Number:S7-25-11 |
Rulemaking:Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
Trading and Markets
|
Status:
Final
Rule
Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
34-77617
|
Issue Date: | File Number:S7-06-15 |
Rulemaking:Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent; Security-Based Swap Dealer De Minimis Exception
Trading and Markets
|
Status:
Final
Rule
Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent; Security-Based Swap Dealer De Minimi
34-77104
|
Issue Date: | File Number:S7-01-13 |
Rulemaking:Regulation Systems Compliance and Integrity
Trading and Markets
|
Status:
Final
Rule
Regulation Systems Compliance and Integrity; Correction
34-73639A
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9987,
34-76619,
39-2508,
IC-31932
|
Issue Date: | File Number:S7-09-13 |
Rulemaking:Crowdfunding
Corporation Finance, Trading and Markets
|
Status:
Final
Rule
Crowdfunding
33-9974,
34-76324
|
Issue Date: | File Number:S7-07-11 |
Rulemaking:Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule
Investment Management
|
Status:
Final
Rule
Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule
IC-31828
|
Displaying 301 - 400 of 1533
Modified: Feb. 20, 2024