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:S7-12-07 | Rulemaking:Electronic Filing and Revision of Form D |
Status:
Final
Rule
Electronic Filing and Revision of Form D
33-8891,
34-57280,
39-2453,
IC-28145
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to the Director of the Division of Corporation Finance |
Status:
Final
Rule
Delegation of Authority to the Director of the Division of Corporation Finance
34-57262
|
Issue Date: | File Number: | Rulemaking:Amendment of Procedures for Payment of Fees |
Status:
Final
Rule
Amendment of Procedures for Payment of Fees
33-8885,
34-57218,
39-2452,
IC-28137
|
Issue Date: | File Number:S7-16-07 | Rulemaking:Electronic Shareholder Forums |
Status:
Final
Rule
Electronic Shareholder Forums
34-57172,
IC-28124
|
Issue Date: | File Number: | Rulemaking:Technical Amendments to Forms MSD, MSDW, BD-N, BD, BDW, ADV, and ADV-W and to Exchange Act Rules 15b1-1, 15b3-1, 15b6-1, 15Ba2-2, 15Bc3-1, 15Ca1-1, 15Ca2-1, 15Cc1-1, and 17a-3, and Advisers Act Rules 203-1, 203-3, and 204-1 |
Status:
Final
Rule
Technical Amendments to Forms MSD, MSDW, BD-N, BD, BDW, ADV, and ADV-W and to Exchange Act Rules 15b1-1, 15b3-1, 15b6-1, 15Ba2-2, 15Bc3-1, 15Ca1-1, 15Ca2-1, 15Cc1-1, and 17a-3, and Advisers Act Rules 203-1, 203-3, and 204-1
34-57166,
IA-2695
|
Issue Date: | File Number:S7-13-07 | Rulemaking:Acceptance From Foreign Private Issuers of Financial Statements Prepared in Accordance With International Financial Reporting Standards Without Reconciliation to U.S. GAAP |
Status:
Final
Rule
Acceptance From Foreign Private Issuers of Financial Statements Prepared in Accordance With International Financial Reporting Standards Without Reconciliation to U.S. GAAP
33-8879,
34-57026,
International Series Release No. 1306
|
Issue Date: | File Number:S7-15-07 | Rulemaking:Smaller Reporting Company Regulatory Relief and Simplification |
Status:
Final
Rule
Smaller Reporting Company Regulatory Relief and Simplification
33-8876,
34 56994,
39-2451
|
Issue Date: | File Number:S7-10-07 | Rulemaking:Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 and F-3 |
Status:
Final
Rule
Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 and F-3
33-8878
|
Issue Date: | File Number:S7-11-07 | Rulemaking:Revisions to Rules 144 and 145 |
Status:
Final
Rule
Revisions to Rules 144 and 145
33-8869
|
Issue Date: | File Number:S7-17-07 | Rulemaking:Shareholder Proposals Relating to the Election of Directors |
Status:
Final
Rule
Shareholder Proposals Relating to the Election of Directors
34-56914,
IC-28075
|
Issue Date: | File Number:S7-14-07 | Rulemaking:Exemption of Compensatory Employee Stock Options From Registration Under Section 12(G) of the Securities Exchange Act of 1934 |
Status:
Final
Rule
Exemption of Compensatory Employee Stock Options From Registration Under Section 12(G) of the Securities Exchange Act of 1934
34-56887
|
Issue Date: | File Number:S7-22-06 | Rulemaking:Definitions of Terms and Exemptions Relating to the "Broker" Exceptions for Banks |
Status:
Final
Rule
Definitions of Terms and Exemptions Relating to the "Broker" Exceptions for Banks
34-56501
|
Issue Date: | File Number:S7-23-06 | Rulemaking:Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act of 1934 and Related Rules |
Status:
Final
Rule
Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act of 1934 and Related Rules
34-56502
|
Issue Date: | File Number:S7-23-07 | Rulemaking:Principal Trades with Certain Advisory Clients |
Status:
Final
Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
IA-2653
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-8834,
34-56256,
39-2448,
IC-27928
|
Issue Date: | File Number:S7-12-06 | Rulemaking:Amendments to Regulation SHO |
Status:
Final
Rule
Amendments to Regulation SHO
34-56212
|
Issue Date: | File Number: | Rulemaking:Deletion of References to IRS Identification Numbers |
Status:
Final
Rule
Deletion of References to IRS Identification Numbers
33-8830,
34-56205,
IC-27923
|
Issue Date: | File Number:S7-20-06 | Rulemaking:Short Selling in Connection With a Public Offering |
Status:
Final
Rule
Short Selling in Connection With a Public Offering
34-56206,
34-54888
|
Issue Date: | File Number:S7-24-06 | Rulemaking:Definition of the Term Significant Deficiency |
Status:
Final
Rule
Definition of the Term Significant Deficiency
33-8829,
34-56203
|
Issue Date: | File Number:S7-25-06 | Rulemaking:Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles |
Status:
Final
Rule
Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles
IA-2628
|
Issue Date: | File Number:S7-03-07 | Rulemaking:Shareholder Choice Regarding Proxy Materials |
Status:
Final
Rule
Shareholder Choice Regarding Proxy Materials
34-56135,
IC-27911
|
Issue Date: | File Number:S7-05-07 | Rulemaking:Extension of Interactive Data Voluntary Reporting Program on the Edgar System To Include Mutual Fund Risk/Return Summary Information |
Status:
Final
Rule
Extension of Interactive Data Voluntary Reporting Program on the Edgar System To Include Mutual Fund Risk/Return Summary Information
33-8823,
IC-27884
|
Issue Date: | File Number:S7-21-06 | Rulemaking:Regulation SHO and Rule 10a-1 |
Status:
Final
Rule
Regulation SHO and Rule 10a-1
34-55970
|
Issue Date: | File Number:S7-24-06 | Rulemaking:Amendments to Rules Regarding Management's Report on Internal Control Over Financial Reporting |
Status:
Final
Rule
Amendments to Rules Regarding Management's Report on Internal Control Over Financial Reporting
33-8809,
34-55928,
33-8811 FR-76
|
Issue Date: | File Number:S7-04-07 | Rulemaking:Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical Rating Organizations |
Status:
Final
Rule
Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical Rating Organizations
34-55857,
34-55231
|
Issue Date: | File Number: | Rulemaking:Technical Amendments to Form BD and Form BDW |
Status:
Final
Rule
Technical Amendments to Form BD and Form BDW
34-55643
|
Issue Date: | File Number:S7-18-06 | Rulemaking:Covered Securities Pursuant to Section 18 of the Securities Act of 1933 |
Status:
Final
Rule
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
33-8791
|
Issue Date: | File Number:S7-12-05 | Rulemaking:Termination of a Foreign Private Issuer's Registration of a Class of Securities Under Section 12(g) and Duty To File Reports Under Section 13(a) or 15(d) of the Securities Exchange Act of 1934 |
Status:
Final
Rule
Termination of a Foreign Private Issuer's Registration of a Class of Securities Under Section 12(g) and Duty To File Reports Under Section 13(a) or 15(d) of the Securities Exchange Act of 1934
34-55540
|
Issue Date: | File Number: | Rulemaking:Technical Amendment to Regulation S-T |
Status:
Final
Rule
Technical Amendment to Regulation S-T
34-55502
|
Issue Date: | File Number:S7-10-04 | Rulemaking:Regulation NMS |
Status:
Final
Rule
Regulation NMS
34-55160
|
Issue Date: | File Number:S7-10-05 | Rulemaking:Internet Availability of Proxy Materials |
Status:
Final
Rule
Internet Availability of Proxy Materials
34-55146,
IC-27671
|
Issue Date: | File Number:S7-13-98 | Rulemaking:Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products; Correction |
Status:
Final
Rule
Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products; Correction
34-40761A
|
Issue Date: | File Number:S7-03-06 | Rulemaking:Executive Compensation Disclosure |
Status:
Final
Rule
Executive Compensation Disclosure
33-8765,
34-55009
|
Issue Date: | File Number:S7-06-03 | Rulemaking:Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers and Newly Public Companies |
Status:
Final
Rule
Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers and Newly Public Companies
33-8760,
34-54942
|
Issue Date: | File Number:S7-14-06 | Rulemaking:Electronic Filing of Transfer Agent Forms |
Status:
Final
Rule
Electronic Filing of Transfer Agent Forms
34-54864
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to Chief Administrative Law Judge |
Status:
Final
Rule
Delegation of Authority to Chief Administrative Law Judge
34-54867
|
Issue Date: | File Number:S7-11-05 | Rulemaking:Amendments to the Tender Offer Best-Price Rules |
Status:
Final
Rule
Amendments to the Tender Offer Best-Price Rules
34-54684,
IC-27542
|
Issue Date: | File Number:S7-37-04 | Rulemaking:Definition of Eligible Portfolio Company Under the Investment Company Act of 1940 |
Status:
Final
Rule
Definition of Eligible Portfolio Company Under the Investment Company Act of 1940
IC-27538
|
Issue Date: | File Number:S7-06-06, 4-512 | Rulemaking:Mutual Fund Redemption Fees |
Status:
Final
Rule
Mutual Fund Redemption Fees
IC-27504
|
Issue Date: | File Number:S7-03-06 | Rulemaking:Executive Compensation and Related Person Disclosure |
Status:
Final
Rule
33-8732A
33-8732A,
34-54302A,
IC-27444A
|
Issue Date: | File Number:S7-06-03 | Rulemaking:Internal Control Over Financial Reporting In Exchange Act Periodic Reports of Foreign Private Issuers That Are Accelerated Filers [Corrected August 11, 2006] |
Status:
Final
Rule
Internal Control Over Financial Reporting In Exchange Act Periodic Reports of Foreign Private Issuers That Are Accelerated Filers [Corrected August 11, 2006]
33-8730A,
34-54294A
|
Issue Date: | File Number: | Rulemaking:Amendments to the Informal and Other Procedures; Public Company Accounting Oversight Board Budget Approval Process |
Status:
Final
Rule
Amendments to the Informal and Other Procedures; Public Company Accounting Oversight Board Budget Approval Process
33-8724,
34-54168
|
Issue Date: | File Number:S7-07-06 | Rulemaking:Joint Final Rules: Application of the Definition of Narrow-Based Security Index to Debt Securities Indexes and Security Futures on Debt Securities |
Status:
Final
Rule
Joint Final Rules: Application of the Definition of Narrow-Based Security Index to Debt Securities Indexes and Security Futures on Debt Securities
34-54106
|
Issue Date: | File Number:S7-18-03 | Rulemaking:Fund of Funds Investments |
Status:
Final
Rule
Fund of Funds Investments
33-8713,
IC-27399,
33-8297
|
Issue Date: | File Number:S7-10-06 | Rulemaking:Findings of Scientific Misconduct |
Status:
Final
Rule
Findings of Scientific Misconduct
34-53937
|
Issue Date: | File Number:S7-10-04 | Rulemaking:Regulation NMS |
Status:
Final
Rule
Regulation NMS
34-53829
|
Issue Date: | File Number: | Rulemaking:Description of Duties of the General Counsel |
Status:
Final
Rule
Description of Duties of the General Counsel
34-53755
|
Issue Date: | File Number: | Rulemaking:Technical Amendments to Form ADV, Form ADV-W, Form ADV-H, Form ADV-E |
Status:
Final
Rule
Technical Amendments to Form ADV, Form ADV-W, Form ADV-H, Form ADV-E
IA-2504
|
Issue Date: | File Number:S7-16-04 | Rulemaking:Rulemaking for EDGAR System |
Status:
Final
Rule
Rulemaking for EDGAR System
33-8590A,
34-52052A,
35-28002A,
39-2437A,
IC-26990A
|
Issue Date: | File Number:S7-38-04 | Rulemaking:Securities Offering Reform |
Status:
Final
Rule
Securities Offering Reform; Correction
33-8591A,
34-52056A,
IC-26993A,
FR-75A,
International Series Release No. 1294A
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-8656,
34-53186,
35-28081,
39-2441,
IC-27219
|
Issue Date: | File Number:S7-10-04 | Rulemaking:Regulation NMS |
Status:
Final
Rule
Regulation NMS
34-51808A
|
Issue Date: | File Number:S7-08-05 | Rulemaking:Revisions to Accelerated Filer Definition and Accelerated Deadlines for Filing Periodic Reports |
Status:
Final
Rule
Revisions to Accelerated Filer Definition and Accelerated Deadlines for Filing Periodic Reports
33-8644,
34-52989
|
Displaying 801 - 900 of 1533
Modified: Feb. 20, 2024