SEC.gov | Rulemaking Activity

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.


Issue Date	File Number	Rulemaking	Status
Aug. 2, 2024	S7-2024-05	Financial Data Transparency Act Joint Data Standards Corporation Finance	Proposed Rule Financial Data Transparency Act Joint Data Standards 33-11295, 34-100647, IA-6644, IC-35290
May 13, 2024	S7-2024-02	Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers Investment Management	Proposed Rule Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers BSA-1
Feb. 14, 2024	S7-2024-01	Qualifying Venture Capital Funds Inflation Adjustment Investment Management	Proposed Rule Qualifying Venture Capital Funds Inflation Adjustment IC-35129 View Related Activity
Oct. 18, 2023	S7-18-23	Volume-Based Exchange Transaction Pricing for NMS Stocks Trading and Markets	Proposed Rule Volume-Based Exchange Transaction Pricing for NMS Stocks 34-98766 View Related Activity
Sept. 29, 2023	S7-16-23	Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities Investment Management	Proposed Rule Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities 33-11250, 34-98624, IC-35028 View Related Activity
Sept. 13, 2023	S7-15-23	EDGAR Filer Access and Account Management EDGAR Business Office	Proposed Rule EDGAR Filer Access and Account Management 33-11232, 34-98368, 39-2551, IC-34996 View Related Activity
Aug. 23, 2023	S7-04-23	Safeguarding Advisory Client Assets Investment Management	Proposed Rule Safeguarding Advisory Client Assets; Reopening of Comment Period IA-6384 View Related Activity
July 26, 2023	S7-13-23	Exemption for Certain Investment Advisers Operating Through the Internet Investment Management	Proposed Rule Exemption for Certain Investment Advisers Operating Through the Internet IA-6354 View Related Activity
July 26, 2023	S7-12-23	Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers Trading and Markets, Investment Management	Proposed Rule Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers 34-97990 View Related Activity
July 12, 2023	S7-11-23	Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule Trading and Markets	Proposed Rule Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule 34-97877 View Related Activity
June 20, 2023	S7-32-10	Reopening of Comment Period for Position Reporting of Large Security-Based Swap Trading and Markets	Proposed Rule Reopening of Comment Period for Position Reporting of Large Security-Based Swap Positions 34-97762
May 17, 2023	S7-10-23	Covered Clearing Agency Resilience and Recovery and Wind-Down Plans Trading and Markets	Proposed Rule Covered Clearing Agency Resilience and Recovery and Wind-Down Plans 34-97516 View Related Activity
April 28, 2023	S7-06-22	Modernization of Beneficial Ownership Reporting Corporation Finance	Proposed Rule Reopening of Comment Period for Modernization of Beneficial Ownership Reporting 33-11180 View Related Activity
April 14, 2023	S7-02-22	Amendments Regarding the Definition of "Exchange" and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency Securities, National Market System (NMS) Stocks, and Other Securities Trading and Markets	Proposed Rule Supplemental Information and Reopening of Comment Period for Amendments Regarding the Definition of “Exchange” 34-97309 View Related Activity
March 22, 2023	S7-08-23	Electronic Submission of Certain Material Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report Trading and Markets	Proposed Rule Electronic Submission of Certain Material Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report Other Rel. Nos.: 34-97182; IC-34864 33-11176, 34-97182, IC-34864 View Related Activity
March 15, 2023	S7-07-23	Regulation Systems Compliance and Integrity Trading and Markets	Proposed Rule Regulation Systems Compliance and Integrity 34-97143 View Related Activity
March 15, 2023	S7-06-23	Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, the Municipal Securities Rulemaking Board, National Securities Associations, National Securities Exchanges, Security-Based Swap Data Repositories, Security-Based Swap Dealers, and Transfer Agents Trading and Markets	Proposed Rule Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, the Municipal Securities Rulemaking Board, National Securities Associations, National Securities Exchanges, Security-Based Swap Data Reposito 34-97142 View Related Activity
March 15, 2023	S7-05-23	Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information Investment Management, Trading and Markets	Proposed Rule Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information 34-97141, IA-6262, IC-34854 View Related Activity
Feb. 15, 2023	S7-04-23	Safeguarding Advisory Client Assets Investment Management	Proposed Rule Safeguarding Advisory Client Assets IA-6240 View Related Activity
Feb. 14, 2023	S7-03-23	The Commission's Privacy Act Regulations FOIA Services	Proposed Rule The Commission's Privacy Act Regulations 34-96906, PA-59 View Related Activity
Jan. 30, 2023	S7-02-23	Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission Ethics Counsel	Proposed Rule Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission 34-96768 View Related Activity
Jan. 25, 2023	S7-01-23	Prohibition Against Conflicts of Interest in Certain Securitizations Corporation Finance	Proposed Rule Prohibition Against Conflicts of Interest in Certain Securitizations 33-11151 View Related Activity
Dec. 14, 2022	S7-32-22	Regulation Best Execution Trading and Markets	Proposed Rule Regulation Best Execution 34-96496 View Related Activity
Dec. 14, 2022	S7-31-22	Order Competition Rule Trading and Markets	Proposed Rule Order Competition Rule 34-96495 View Related Activity
Dec. 14, 2022	S7-30-22	Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders Trading and Markets	Proposed Rule Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders 34-96494 View Related Activity
Dec. 14, 2022	S7-29-22	Disclosure of Order Execution Information Trading and Markets	Proposed Rule Disclosure of Order Execution Information 34-96493 View Related Activity
Dec. 7, 2022	S7-21-21	Share Repurchase Disclosure Modernization Corporation Finance, Investment Management	Proposed Rule Reopening of Comment Period for Share Repurchase Disclosure Modernization 34-96458, IC-34768 View Related Activity
Nov. 2, 2022	S7-26-22	Form N-PORT and Form N-CEN Reporting; Guidance on Open-End Fund Liquidity Risk Investment Management	Proposed Rule Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting 33-11130 View Related Activity
Oct. 26, 2022	S7-25-22	Outsourcing by Investment Advisers Investment Management	Proposed Rule Outsourcing by Investment Advisers IA-6176 View Related Activity
Oct. 7, 2022	S7-18-22	Request for Comment on Certain Information Providers Acting as Investment Advisers Trading and Markets	Proposed Rule Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments 33-11117, 34-96005, IA-6162, IC-34724 View Related Activity
Oct. 7, 2022	S7-17-22	Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment Practices Investment Management	Proposed Rule Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments 33-11117, 34-96005, IA-6162, IC-34724 View Related Activity
Oct. 7, 2022	S7-16-22	Investment Company Names Investment Management	Proposed Rule Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments 33-11117, 34-96005, IA-6162, IC-34724 View Related Activity
Oct. 7, 2022	S7-13-22	Special Purpose Acquisition Companies, Shell Companies, and Projections Corporation Finance	Proposed Rule Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments 33-11117, 34-96005, IA-6162, IC-34724 View Related Activity
Oct. 7, 2022	S7-10-22	The Enhancement and Standardization of Climate-Related Disclosures for Investors Corporation Finance	Proposed Rule Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments 33-11117, 34-96005, IA-6162, IC-34724 View Related Activity
Oct. 7, 2022	S7-09-22	Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure Corporation Finance	Proposed Rule Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments 33-11117, 34-96005, IA-6162, IC-34724 View Related Activity
Oct. 7, 2022	S7-08-22	Short Position and Short Activity Reporting by Institutional Investment Managers Investment Management, Trading and Markets	Proposed Rule Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments 33-11117, 34-96005, IA-6162, IC-34724 View Related Activity
Oct. 7, 2022	S7-03-22	Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews Investment Management	Proposed Rule Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments 33-11117, 34-96005, IA-6162, IC-34724 View Related Activity
Oct. 7, 2022	S7-22-21	Money Market Fund Reforms Investment Management	Proposed Rule Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments 33-11117, 34-96005, IA-6162, IC-34724 View Related Activity
Oct. 7, 2022	S7-21-21	Share Repurchase Disclosure Modernization Corporation Finance, Investment Management	Proposed Rule Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments 33-11117, 34-96005, IA-6162, IC-34724 View Related Activity
Oct. 7, 2022	S7-18-21	Reporting of Securities Loans Trading and Markets	Proposed Rule Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments 33-11117, 34-96005, IA-6162, IC-34724 View Related Activity
Oct. 7, 2022	S7-32-10	Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers Trading and Markets	Proposed Rule Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments 33-11117, 34-96005, IA-6162, IC-34724 View Related Activity
Sept. 14, 2022	S7-23-22	Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities Trading and Markets	Proposed Rule Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities 34-95763 View Related Activity
Aug. 10, 2022	S7-22-22	Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers Investment Management	Proposed Rule Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers IA-6083 View Related Activity
Aug. 8, 2022	S7-21-22	Clearing Agency Governance and Conflicts of Interest Trading and Markets	Proposed Rule Clearing Agency Governance and Conflicts of Interest 34-95431 View Related Activity
July 29, 2022	S7-05-15	Exemption for Certain Exchange Members Trading and Markets	Proposed Rule Exemption for Certain Exchange Members 34-95388 View Related Activity
July 13, 2022	S7-20-22	Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8 Corporation Finance	Proposed Rule Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8 34-95267, IC-34647 View Related Activity
June 8, 2022	S7-12-15	Listing Standards for Recovery of Erroneously Awarded Compensation Corporation Finance	Proposed Rule Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation 33-11071, 34-95057, IC-34610 View Related Activity

Last Reviewed or Updated: Sept. 13, 2024

Rules & Regulations

Enforcement & Litigation

Compliance

Rulemaking Activity

More in this Section

Rulemaking Activity