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
S7-29-22 Disclosure of Order Execution Information
Trading and Markets
Final Rule
Extension of Compliance Date for Disclosure of Order Execution Information
34-104147
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S7-2025-04 Concept Release on Residential Mortgage-Backed Securities Disclosures and Enhancements to Asset-Backed Securities Registration
Concept Release
Concept Release on Residential Mortgage-Backed Securities Disclosures and Enhancements to Asset-Backed Securities Registration
33-11391, 34-104102
Amendments to the Commission’s Rules of Practice
Final Rule
Amendments to the Commission’s Rules of Practice
34-103980
S7-22-22 Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
Investment Management
Final Rule
Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Further Extension of Compliance Date
IA-6919
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S7-08-23 Electronic Submission of Certain Material Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report
Trading and Markets
Final Rule
Extension of Compliance Dates for Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report
33-11386
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S7-2025-02 Regulatory Flexibility Agenda
Final Rule
Regulatory Flexibility Agenda
33-11379, 34-103337, IA-6891, IC-35635
Other Commission Orders, Notices, and Information Rule
Regulatory Flexibility Agenda
33-11379, 34-103337, IA-6891, IC-35635
S7-11-23 Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule
Trading and Markets
Final Rule
Extension of Compliance Date for Required Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule
34-103320
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Adoption of Updated EDGAR Filer Manual
Final Rule
Adoption of Updated EDGAR Filer Manual
33-11378, 34-103258, 39-2561, IC-35636
S7-20-22 Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8
Corporation Finance
Final Rule
Withdrawal of Proposed Regulatory Actions
33-11377, 34-103247, IA-6885, IC-35635
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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
Final Rule
Withdrawal of Proposed Regulatory Actions
33-11377, 34-103247, IA-6885, IC-35635
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S7-04-23 Safeguarding Advisory Client Assets
Investment Management
Final Rule
Withdrawal of Proposed Regulatory Actions
33-11377, 34-103247, IA-6885, IC-35635
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S7-04-22 Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies
Investment Management, Investment Management
Final Rule
Withdrawal of Proposed Regulatory Actions
33-11377, 34-103247, IA-6885, IC-35635
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S7-17-22 Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment Practices
Investment Management
Final Rule
Withdrawal of Proposed Regulatory Actions
33-11377, 34-103247, IA-6885, IC-35635
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S7-25-22 Outsourcing by Investment Advisers
Investment Management
Final Rule
Withdrawal of Proposed Regulatory Actions
33-11377, 34-103247, IA-6885, IC-35635
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S7-32-10 Position Reporting of Large Security-Based Swap Positions
Trading and Markets
Final Rule
Withdrawal of Proposed Regulatory Actions
33-11377, 34-103247, IA-6885, IC-35635
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S7-18-23 Volume-Based Exchange Transaction Pricing for NMS Stocks
Trading and Markets
Final Rule
Withdrawal of Proposed Regulatory Actions
33-11377, 34-103247, IA-6885, IC-35635
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S7-32-22 Regulation Best Execution
Trading and Markets
Final Rule
Withdrawal of Proposed Regulatory Actions
33-11377, 34-103247, IA-6885, IC-35635
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S7-31-22 Order Competition Rule
Trading and Markets
Final Rule
Withdrawal of Proposed Regulatory Actions
33-11377, 34-103247, IA-6885, IC-35635
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S7-07-23 Regulation Systems Compliance and Integrity
Trading and Markets
Final Rule
Withdrawal of Proposed Regulatory Actions
33-11377, 34-103247, IA-6885, IC-35635
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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
Final Rule
Withdrawal of Proposed Regulatory Actions
33-11377, 34-103247, IA-6885, IC-35635
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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
Final Rule
Withdrawal of Proposed Regulatory Actions
33-11377, 34-103247, IA-6885, IC-35635
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S7-12-20 Regulation ATS for ATSs That Trade U.S. Government Securities, NMS Stock, and Other Securities; Regulation SCI for ATSs That Trade U.S. Treasury Securities and Agency Securities; and Electronic Corporate Bond and Municipal Securities Markets
Trading and Markets
Final Rule
Withdrawal of Proposed Regulatory Actions
33-11377, 34-103247, IA-6885, IC-35635
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S7-10-20 Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail To Enhance Data Security
Trading and Markets
Final Rule
Withdrawal of Proposed Regulatory Actions
33-11377, 34-103247, IA-6885, IC-35635
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S7-22-22 Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
Investment Management
Final Rule
Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Further Extension of Compliance Date
IA-6883
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S7-2025-01 Concept Release on Foreign Private Issuer Eligibility
Concept Release
Concept Release on Foreign Private Issuer Eligibility
33-11376, 34-103176
S7-26-22 Form N-PORT and Form N-CEN Reporting; Guidance on Open-End Fund Liquidity Risk
Investment Management
Final Rule
Form N-PORT Reporting; Extension of Effective and Compliance Dates
IC-35538
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S7-22-22 Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
Investment Management
Final Rule
Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
IA-6865
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Adoption of Updated EDGAR Filer Manual
Final Rule
Adoption of Updated EDGAR Filer Manual
33-11369
S7-16-22 Investment Company Names
Investment Management
Final Rule
Investment Company Names; Extension of Compliance Date
33-11368, 34-102680, IC-35500
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Delegation of Authority to Director of the Division of Enforcement
Final Rule
Delegation of Authority to Director of the Division of Enforcement
33-11366
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
Final Rule
Extension of Compliance Dates for 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
34-102487
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S7-22-22 Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
Investment Management
Final Rule
Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Extension of Compliance Date
IA-6838
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Technical Amendments to Commission Rules and Forms
Final Rule
Technical Amendments to Commission Rules and Forms
33-11361, 34-102243
S7-11-23 Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule
Trading and Markets
Final Rule
Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule
34-102022
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S7-08-23 Electronic Submission of Certain Material Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report
Trading and Markets
Final Rule
Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report
33-11342, 34-101925, IC-35420
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Adoption of Updated EDGAR Filer Manual
Final Rule
Adoption of Updated EDGAR Filer Manual
33-11341, 34-101914, 39-2559, IC-35419
Update to the Commission’s Organization and Program Management Regulations
Final Rule
Update to the Commission’s Organization and Program Management Regulations
33-11337, 34-101867
S7-03-22 Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
Investment Management
Final Rule
Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
IA-6773
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Last Reviewed or Updated: Sept. 13, 2024