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
S7-24-95 Status of Investment Advisory Programs Under the Investment Company Act of 1940
Final Rule
Status of Investment Advisory Programs Under the Investment Company Act of 1940
IC-22579, IC-21260
View Related Activity
Adoption of Updated EDGAR Filer Manual; Correction and Delay of Implementation
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual; Correction and Delay of Implementation
33-7405, 34-38419, 35-26688, 39-2348, IC-22571
S7-20-96 Implementation of Section 10A of the Securities Exchange Act of 1934
Final Rule
Implementation of Section 10A of the Securities Exchange Act of 1934
34-38387
S7-11-96 Anti-Manipulation Rules Concerning Securities Offerings; Corrections
Final Rule
Anti-Manipulation Rules Concerning Securities Offerings; Corrections
33-7400
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-7394, 34-38319, 35-26672, 39-2346, IC-22522
S7-17-95 Revision of Holding Period Requirements in Rules 144 and 145
Final Rule
Revision of Holding Period Requirements in Rules 144 and 145
33-7390
S7-12-95 Exemption of Acquisition by Registered Public-Utility Holding Companies of Securities of Nonutility Companies Engaged in Certain Energy-Related and Gas-Related Activities; Exemption of Capital Contributions and Advances to Such Companies
Final Rule
Exemption of Acquisition by Registered Public-Utility Holding Companies of Securities of Nonutility Companies Engaged in Certain Energy-Related and Gas-Related Activities; Exemption of Capital Contributions and Advances to Such Companies
35-26667
S7-7-94 Net Capital Rule
Final Rule
Net Capital Rule
34-38248
S7-21-93 Reporting Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934
Final Rule
Reporting Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934
34-38245
S7-35-95 Disclosure of Accounting Policies for Derivative Financial Instruments and Derivative Commodity Instruments and Disclosure of Quantitative and Qualitative Information About Market Risk Inherent in Derivative Financial Instruments, Other Financial Instruments, and Derivative Commodity Instruments
Final Rule
Disclosure of Accounting Policies for Derivative Financial Instruments and Derivative Commodity Instruments and Disclosure of Quantitative and Qualitative Information About Market Risk Inherent in Derivative Financial Instruments, Other Financial Instrume
33-7386
S7-30-95 Order Execution Obligations
Final Rule
Order Execution Obligations
34-38139
S7-30-95 Order Execution Obligations
Final Rule
Order Execution Obligations
34-38110
S7-32-96 Securities Transactions Exempt From Transaction Fees
Final Rule
Securities Transactions Exempt From Transaction Fees
34-38073, IC-22415
S7-12-96 Odd-Lot Tender Offers by Issuers
Final Rule
Odd-Lot Tender Offers by Issuers
33-7376, 33-7283, 34-38068, IC-22413
View Related Activity
Suspension of Form ADV-S
Final Rule
Suspension of Form ADV-S
IA-1602
S7-11-96 Anti-manipulation Rules Concerning Securities Offerings
Final Rule
Anti-manipulation Rules Concerning Securities Offerings
33-7375, 34-38067, IC-22412, International Series Release No. 1039
Revisions to Forms SB-1, SB-2, Regulation A and Regulation S-T With Regard to the Appropriate Place for Filing for Registrants in the Regions Covered by the Northeast, Southeast, Midwest, Central and Pacific Regional Offices
Final Rule
Revisions to Forms SB-1, SB-2, Regulation A and Regulation S-T With Regard to the Appropriate Place for Filing for Registrants in the Regions Covered by the Northeast, Southeast, Midwest, Central and Pacific Regional Offices
33-7373
S7-15-94 Custody of Investment Company Assets With Futures Commission Merchants and Commodity Clearing Organizations
Final Rule
Custody of Investment Company Assets With Futures Commission Merchants and Commodity Clearing Organizations
IC-22389
S7-30-95 Order Execution Obligations
Final Rule
Order Execution Obligations
34-37972, 34-37619A
View Related Activity
Delegation of Authority to the General Counsel
Final Rule
Delegation of Authority to the General Counsel
34-37893
S7-19-95 Periodic Reporting of Unregistered Equity Sales
Final Rule
Periodic Reporting of Unregistered Equity Sales
34-37801
S7-19-95 Streamlining Disclosure Requirements Relating to Significant Business Acquisitions
Final Rule
Streamlining Disclosure Requirements Relating to Significant Business Acquisitions
33-7355
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-7351, 34-37774, 35-26585, 39-2343, IC-22257
S7-14-96 Changes Selected Rules in Order To Eliminate Fees Previously Adopted by the Commission Pursuant to the Independent Offices Appropriations Act of 1952
Final Rule
Changes Selected Rules in Order To Eliminate Fees Previously Adopted by the Commission Pursuant to the Independent Offices Appropriations Act of 1952
33-7331
S7-2-96 Technical Amendments to Rule Relating to Payments for the Distribution of Shares by a Registered Open-End Management Investment Company
Final Rule
Technical Amendments to Rule Relating to Payments for the Distribution of Shares by a Registered Open-End Management Investment Company
IC-22201
S7-8-95 Exemption for Certain Open-End Management Investment Companies to Impose Deferred Sales Loads
Final Rule
Exemption for Certain Open-End Management Investment Companies to Impose Deferred Sales Loads
IC-22202
S7-30-95 Order Execution Obligations
Final Rule
Order Execution Obligations
34-37619A, 34-37972
View Related Activity
S7-2-95 Form BD Amendments
Final Rule
Form BD Amendments
34-37632, 34-37431
View Related Activity
S7-34-93 Revisions to Rules Regulating Money Market Funds
Final Rule
Revisions to Rules Regulating Money Market Funds
33-7320, 33-7275, IC-21837
View Related Activity
S7-2-95 Form BD Amendments
Final Rule
Form BD Amendments
34-37431, 34-37632
View Related Activity
S7-21-94 Ownership Reports and Trading by Officers, Directors and Principal Security Holders
Final Rule
Ownership Reports and Trading by Officers, Directors and Principal Security Holders
34-37260 Part 1
S7-21-94 Ownership Reports and Trading by Officers, Directors and Principal Security Holders
Final Rule
Ownership Reports and Trading by Officers, Directors and Principal Security Holders
34-37260 Part 2
Employee Benefit Plan Exemptive Rules Under Section 16 of the Securities Exchange Act of 1934
Final Rule
Employee Benefit Plan Exemptive Rules Under Section 16 of the Securities Exchange Act of 1934
34-37261
S7-6-96 Phase One Recommendations of Task Force on Disclosure Simplification
Final Rule
Phase One Recommendations of Task Force on Disclosure Simplification
33-7300
S7-31-95 Use of Electronic Media for Delivery Purposes
Final Rule
Use of Electronic Media for Delivery Purposes
33-7289, 33-7233
View Related Activity
Delegation of Authority to Director of Division of Enforcement
Final Rule
Delegation of Authority to Director of Division of Enforcement
34-37159
S7-15-95 Exemption for Certain California Limited Issues
Final Rule
Exemption for Certain California Limited Issues
33-7285
S7-16-95 Relief From Reporting by Small Issuers
Final Rule
Relief From Reporting by Small Issuers
34-37157
S7-40-92 Correction: Rules of Practice (the Commission's procedural rules that govern administrative proceedings)
Final Rule
Correction: Rules of Practice (the Commission's procedural rules that govern administrative proceedings)
200-30
S7-34-93 Revisions to Rules Regulating Money Market Funds
Final Rule
Revisions to Rules Regulating Money Market Funds
33-7275, IC-21837, 33-7320
View Related Activity
S7-34-95 Exemption of the Securities of the Federative Republic of Brazil, the Republic of Argentina, and the Republic of Venezuela Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on those Securities
Final Rule
Exemption of the Securities of the Federative Republic of Brazil, the Republic of Argentina, and the Republic of Venezuela Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on those Securities
34-36940
Delegation of Authority to the Secretary of the Commission
Final Rule
Delegation of Authority to the Secretary of the Commission
34-36824, 34-45848
View Related Activity
Adoption of Updated EDGAR Filer Manual and Technical Rule Amendments
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual and Technical Rule Amendments
33-7241, 34-36479, 35-26407, IC-21500
S7-26-95 Exemption of the Securities of the United Mexican States Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
Final Rule
Exemption of the Securities of the United Mexican States Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
34-36530
S7-22-94 Payment for Investment Company Services With Brokerage Commissions
Final Rule
Payment for Investment Company Services With Brokerage Commissions
33-7197, IC-21221, FR-46
S7-17-92 Exemption of Issuance and Sale of Certain Securities by Public Utility and Nonutility Subsidiary Companies of Registered Public Utility Holding Companies; Exemption of Acquisition by Companies in a Registered Public Utility Holding Company System of Certain Securities of Associate Companies; Exemption of Capital Contributions and Open Account Advances, Without Interest, by Parent Companies to Subsidiary Companies
Final Rule
Exemption of Issuance and Sale of Certain Securities by Public Utility and Nonutility Subsidiary Companies of Registered Public Utility Holding Companies; Exemption of Acquisition by Companies in a Registered Public Utility Holding Company System of Certa
35-26311
S7-40-92 Rules of Practice
Final Rule
Rules of Practice
34-35844
S7-7-95 Prospectus Delivery; Securities Transactions Settlement
Final Rule
Prospectus Delivery; Securities Transactions Settlement
33-7168, 34-35705
Establishment of Commission Quorum Requirement
Final Rule
Establishment of Commission Quorum Requirement
34-35548
S7-32-93 Exemption for Open-End Management Investment Companies Issuing Multiple Classes of Shares; Disclosure by Multiple Class and Master- Feeder Funds; Class Voting on Distribution Plans
Final Rule
Exemption for Open-End Management Investment Companies Issuing Multiple Classes of Shares; Disclosure by Multiple Class and Master- Feeder Funds; Class Voting on Distribution Plans
33-7143, IC-20915
S7-24-88 Exemption for Certain Open-End Management Investment Companies To Impose Contingent Deferred Sales Loads
Final Rule
Exemption for Certain Open-End Management Investment Companies To Impose Contingent Deferred Sales Loads
IC-20916
SR-AMEX-94-59, SR-CBOE-94-49, SR-CHX-94-27, SR-MSRB-94-17, SR-NASD-94-72, SR-NYSE-94-43, SR-PSE-94-35, SR-PHLX-94-52 Order Approving Proposed Rule Changes by the American Stock Exchange, Inc., Chicago Board Options Exchange, Inc., Chicago Stock Exchange, Inc., Municipal Securities Rulemaking Board, National Association of Securities Dealers, Inc., New York Stock Exchange, Inc., Pacific Stock Exchange Inc., and Philadelphia Stock Exchange, Inc., Relating to a Continuing Education Requirement for Registered Persons
Final Rule
Order Approving Proposed Rule Changes by the American Stock Exchange, Inc., Chicago Board Options Exchange, Inc., Chicago Stock Exchange, Inc., Municipal Securities Rulemaking Board, National Association of Securities Dealers, Inc., New York Stock Exchang
34-35341
S7-36-94 Adoption of Amendments To Clarify Safe Harbors for Broker-Dealer Research Reports
Final Rule
Adoption of Amendments To Clarify Safe Harbors for Broker-Dealer Research Reports
33-7132
S7-17-94 Proposed Rule Changes of Self Regulatory Organizations; Annual Filing of Amendments to Registration Statements of National Securities Exchanges, Securities Associations, and Reports of the Municipal Securities Rulemaking Board
Final Rule
Proposed Rule Changes of Self Regulatory Organizations; Annual Filing of Amendments to Registration Statements of National Securities Exchanges, Securities Associations, and Reports of the Municipal Securities Rulemaking Board
34-35123
S7-3-94 Recordkeeping and Reporting Requirements for Trading Systems Operated by Brokers and Dealers
Final Rule
Recordkeeping and Reporting Requirements for Trading Systems Operated by Brokers and Dealers
34-35124
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-7123, 34-35114, 35-26192, 39-2327, IC-20784
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Last Reviewed or Updated: Sept. 13, 2024