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:S7-06-04 | Rulemaking:Confirmation Requirements and Point of Sale Disclosure Requirements for Transactions in Certain Mutual Funds and Other Securities, and Other Confirmation Requirement Amendments, and Amendments to the Registration Form for Mutual Funds |
Status:
Proposed
Rule
Point of Sale Disclosure Requirements and Confirmation Requirements for Transactions in Mutual Funds, College Savings Plans, and Certain Other Securities, and Amendments to the Registration Form for Mutual Funds
33-8544,
34-51274,
IC-26778
|
Issue Date: | File Number:S7-39-04 | Rulemaking:Fair Administration and Governance of Self-Regulatory Organizations; Disclosure and Regulatory Reporting by Self-Regulatory Organizations; Recordkeeping Requirements for Self-Regulatory Organizations; Ownership and Voting Limitations for Members of Self-Regulatory Organizations; Ownership Reporting Requirements for Members of Self-Regulatory Organizations; Listing and Trading of Affiliated Securities by a Self-Regulatory Organization |
Status:
Proposed
Rule
Fair Administration and Governance of Self-Regulatory Organizations; Disclosure and Regulatory Reporting by Self-Regulatory Organizations; Recordkeeping Requirements for Self-Regulatory Organizations; Ownership and Voting Limitations for Members of Self-R
34-51019
|
Issue Date: | File Number:S7-25-99 | Rulemaking:Certain Broker-Dealers Deemed Not To Be Investment Advisers |
Status:
Proposed
Rule
Certain Broker-Dealers Deemed Not To Be Investment Advisers
34-50980
|
Issue Date: | File Number:S7-10-04 | Rulemaking:Establishing a Docket for the Development of Plasma Standards Public Workshop; Notice |
Status:
Proposed
Rule
Establishing a Docket for the Development of Plasma Standards Public Workshop; Notice
34-50870
|
Issue Date: | File Number:S7-41-04 | Rulemaking:Amendments to Regulation M: Anti-Manipulation Rules Concerning Securities Offerings |
Status:
Proposed
Rule
Amendments to Regulation M: Anti-Manipulation Rules Concerning Securities Offerings
33-8511,
34-50831,
IC-26691
|
Issue Date: | File Number:S7-39-04 | Rulemaking:Fair Administration and Governance of Self-Regulatory Organizations; Disclosure and Regulatory Reporting by Self-Regulatory Organizations; Recordkeeping Requirements for Self-Regulatory Organizations; Ownership and Voting Limitations for Members of Self-Regulatory Organizations; Ownership Reporting Requirements for Members of Self-Regulatory Organizations; Listing and Trading of Affiliated Securities by a Self-Regulatory Organization |
Status:
Proposed
Rule
Fair Administration and Governance of Self-Regulatory Organizations; Disclosure and Regulatory Reporting by Self-Regulatory Organizations; Recordkeeping Requirements for Self-Regulatory Organizations; Ownership and Voting Limitations for Members of Self-R
34-50699
|
Issue Date: | File Number:S7-38-04 | Rulemaking:Securities Offering Reform |
Status:
Proposed
Rule
Securities Offering Reform
33-8501,
34-50624, IC-26649,
International Series Release No. 1282
|
Issue Date: | File Number:S7-37-04 | Rulemaking:Definition of Eligible Portfolio Company Under the Investment Company Act of 1940 |
Status:
Proposed
Rule
Definition of Eligible Portfolio Company Under the Investment Company Act of 1940
IC-26647,
IC-28266
|
Issue Date: | File Number:S7-35-04 | Rulemaking:XBRL Voluntary Financial Reporting Program on the EDGAR System |
Status:
Proposed
Rule
XBRL Voluntary Financial Reporting Program on the EDGAR System
33-8496,
34-50453,
35-27894,
39-2498,
IC-26622
|
Issue Date: | File Number:S7-33-04 | Rulemaking:Disposal of Consumer Report Information |
Status:
Proposed
Rule
Disposal of Consumer Report Information
34-50361,
IA-2293,
IC-26596
|
Issue Date: | File Number:S7-32-04 | Rulemaking:Temporary Postponement of the Final Phase-In Period for Acceleration of Periodic Report Filing Dates |
Status:
Proposed
Rule
Temporary Postponement of the Final Phase-in Period for Acceleration of Periodic Report Filing Dates
33-8477,
34-50254
|
Issue Date: | File Number:S7-25-99 | Rulemaking:Certain Broker-Dealers Deemed Not To Be Investment Advisers |
Status:
Proposed
Rule
Certain Broker-Dealers Deemed Not To Be Investment Advisers
34-50213,
IA-2278
|
Issue Date: | File Number:S7-26-04 | Rulemaking:Regulation B |
Status:
Proposed
Rule
Regulation B
34-50056
|
Issue Date: | File Number:S7-30-04 | Rulemaking:Registration Under the Advisers Act of Certain Hedge Fund Advisers |
Status:
Proposed
Rule
Registration Under the Advisers Act of Certain Hedge Fund Advisers
IA-2266
|
Issue Date: | File Number:S7-29-04 | Rulemaking:Regulation S-AM: Limitations on Affiliate Marketing |
Status:
Proposed
Rule
Limitations on Affiliate Marketing (Regulation S-AM)
34-49985,
IC-26494,
IA-2259
|
Issue Date: | File Number:S7-27-04 | Rulemaking:Ownership Reports and Trading by Officers, Directors and Principal Security Holders |
Status:
Proposed
Rule
Ownership Reports and Trading by Officers, Directors and Principal Security Holders
34-49895,
35-27861,
IC-26471
|
Issue Date: | File Number:S7-26-04 | Rulemaking:Regulation B |
Status:
Proposed
Rule
Regulation B
34-49879,
34-50056 International Series Release No. 1278
|
Issue Date: | File Number:S7-25-04 | Rulemaking:Removal From Listing and Registration of Securities Pursuant to Section 12(d) of the Securities Exchange Act of 1934 |
Status:
Proposed
Rule
Removal From Listing and Registration of Securities Pursuant to Section 12(d) of the Securities Exchange Act of 1934
34-49858
|
Issue Date: | File Number:S7-10-04 | Rulemaking:Regulation NMS |
Status:
Proposed
Rule
Regulation NMS
34-49749
|
Issue Date: | File Number:S7-20-04 | Rulemaking:Certain Thrift Institutions Deemed Not To Be Investment Advisers |
Status:
Proposed
Rule
Certain Thrift Institutions Deemed Not To Be Investment Advisers
34-49639
|
Issue Date: | File Number:S7-21-04 | Rulemaking:Asset-Backed Securities |
Status:
Proposed
Rule
Asset-Backed Securities
33-8419
|
Issue Date: | File Number:S7-19-04 | Rulemaking:Use of Form S-8, Form 8-K, and Form 20-F by Shell Companies |
Status:
Proposed
Rule
Use of Form S-8 and Form 8-K by Shell Companies
33-8407
|
Issue Date: | File Number:S7-18-04 | Rulemaking:Proposed Rule Changes of Self-Regulatory Organizations |
Status:
Proposed
Rule
Proposed Rule Changes of Self-Regulatory Organizations
34-49505
|
Issue Date: | File Number:S7-17-04 | Rulemaking:Covered Securities Pursuant to Section 18 of the Securities Act of 1933 |
Status:
Proposed
Rule
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
33-8404
|
Issue Date: | File Number:S7-15-04 | Rulemaking:First-Time Application of International Financial Reporting Standards |
Status:
Proposed
Rule
First-Time Application of International Financial Reporting Standards; Correction
33-8397A
|
Issue Date: | File Number:S7-16-04 | Rulemaking:Rulemaking for EDGAR System |
Status:
Proposed
Rule
Rulemaking for EDGAR System
33-8401
|
Issue Date: | File Number:S7-14-04 | Rulemaking:Mandated Electronic Filing for Form ID |
Status:
Proposed
Rule
Mandated Electronic Filing for Form ID
33-8399
|
Issue Date: | File Number:S7-15-04 | Rulemaking:First-Time Application of International Financial Reporting Standards |
Status:
Proposed
Rule
First-Time Application of International Financial Reporting Standards
33-8397
|
Issue Date: | File Number:S7-12-04 | Rulemaking:Disclosure Regarding Portfolio Managers of Registered Management Investment Companies |
Status:
Proposed
Rule
Disclosure Regarding Portfolio Managers of Registered Management Investment Companies
33-8396
|
Issue Date: | File Number:S7-11-04 | Rulemaking:Mutual Fund Redemption Fees |
Status:
Proposed
Rule
Mandatory Redemption Fees for Redeemable Fund Securities
IC-26375A
|
Issue Date: | File Number:S7-10-04 | Rulemaking:Regulation NMS |
Status:
Proposed
Rule
Regulation NMS
34-49325
|
Issue Date: | File Number:S7-09-04 | Rulemaking:Prohibition on the Use of Brokerage Commissions To Finance Distribution |
Status:
Proposed
Rule
Prohibition on the Use of Brokerage Commissions To Finance Distribution
IC-26356
|
Issue Date: | File Number:S7-08-04 | Rulemaking:Disclosure Regarding Approval of Investment Advisory Contracts by Directors of Investment Companies |
Status:
Proposed
Rule
Disclosure Regarding Approval of Investment Advisory Contracts by Directors of Investment Companies
33-8364
|
Issue Date: | File Number:S7-06-04 | Rulemaking:Confirmation Requirements and Point of Sale Disclosure Requirements for Transactions in Certain Mutual Funds and Other Securities, and Other Confirmation Requirement Amendments, and Amendments to the Registration Form for Mutual Funds |
Status:
Proposed
Rule
Confirmation Requirements and Point of Sale Disclosure Requirements for Transactions in Certain Mutual Funds and Other Securities, and Other Confirmation Requirement Amendments, and Amendments to the Registration Form for Mutual Funds
33-8358,
33-8544
|
Issue Date: | File Number:S7-05-04 | Rulemaking:Collection Practices Under Section 31 of the Exchange Act |
Status:
Proposed
Rule
Collection Practices Under Section 31 of the Exchange Act
34-49104
|
Issue Date: | File Number:S7-04-04 | Rulemaking:Investment Adviser Codes of Ethics |
Status:
Proposed
Rule
Investment Adviser Codes of Ethics
IA-2209
|
Issue Date: | File Number:S7-03-04 | Rulemaking:Investment Company Governance |
Status:
Proposed
Rule
Investment Company Governance
IC-26323,
IC-26985
|
Issue Date: | File Number:S7-02-04 | Rulemaking:Amendments to the Penny Stock Rules |
Status:
Proposed
Rule
Amendments to the Penny Stock Rules
34-49037
|
Issue Date: | File Number:S7-28-03 | Rulemaking:Disclosure of Breakpoint Discounts by Mutual Funds |
Status:
Proposed
Rule
Disclosure of Breakpoint Discounts by Mutual Funds
33-8347
|
Issue Date: | File Number:S7-27-03 | Rulemaking:Amendments to Rules Governing Pricing of Mutual Fund Shares |
Status:
Proposed
Rule
Amendments to Rules Governing Pricing of Mutual Fund Shares
IC-26288
|
Issue Date: | File Number:S7-26-03 | Rulemaking:Disclosure Regarding Market Timing and Selective Disclosure of Portfolio Holdings |
Status:
Proposed
Rule
Disclosure Regarding Market Timing and Selective Disclosure of Portfolio Holdings
33-8343,
33-8408
|
Issue Date: | File Number:S7-25-03 | Rulemaking:Adoption of Amendments to the Rules of Practice and Delegations of Authority of the Commission |
Status:
Proposed
Rule
Proposed Amendments to the Rules of Practice and Related Provisions
34-48832
|
Issue Date: | File Number:S7-23-03 | Rulemaking:Short Sales |
Status:
Proposed
Rule
Short Sales
34-48709
|
Issue Date: | File Number:S7-22-03 | Rulemaking:Supervised Investment Bank Holding Companies |
Status:
Proposed
Rule
Supervised Investment Bank Holding Companies
34-48694
|
Issue Date: | File Number:S7-21-03 | Rulemaking:Alternative Net Capital Requirements for Broker-Dealers That Are Part of Consolidated Supervised Entities |
Status:
Proposed
Rule
Alternative Net Capital Requirements for Broker-Dealers That Are Part of Consolidated Supervised Entities
34-48690
|
Issue Date: | File Number:S7-20-03 | Rulemaking:Exemption From Shareholder Approval for Certain Subadvisory Contracts |
Status:
Proposed
Rule
Exemption From Shareholder Approval for Certain Subadvisory Contracts
33-8312
|
Issue Date: | File Number:S7-18-03 | Rulemaking:Fund of Funds Investments |
Status:
Proposed
Rule
Fund of Funds Investments
33-8297,
33-8713
|
Issue Date: | File Number:S7-15-03 | Rulemaking:Foreign Bank Exemption from the Insider Lending Prohibition of Exchange Act Section 13(k) |
Status:
Proposed
Rule
Foreign Bank Exemption From the Insider Lending Prohibition of Exchange Act Section 13(k)
34-48481
|
Issue Date: | File Number:S7-16-03 | Rulemaking:Additional Form F-6 Eligibility Requirement Related to the Listed Status of Deposited Securities Underlying American Depositary Receipts |
Status:
Proposed
Rule
Additional Form F-6 Eligibility Requirement Related to the Listed Status of Deposited Securities Underlying American Depositary Receipts
33-8287
|
Issue Date: | File Number:S7-14-03 | Rulemaking:Disclosure Regarding Nominating Committee Functions and Communications Between Security Holders and Boards of Directors; Republication |
Status:
Proposed
Rule
Disclosure Regarding Nominating Committee Functions and Communications Between Security Holders and Boards of Directors
34-48301
|
Issue Date: | File Number:S7-13-03 | Rulemaking:Recordkeeping Requirements for Registered Transfer Agents |
Status:
Proposed
Rule
Recordkeeping Requirements for Registered Transfer Agents
34-48036
|
Issue Date: | File Number:S7-06-03 | Rulemaking:Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports |
Status:
Proposed
Rule
Certification of Disclosure in Certain Exchange Act Reports
33-8212
|
Issue Date: | File Number:S7-04-03 | Rulemaking:Rules of Practice |
Status:
Proposed
Rule
Rules of Practice
33-8190
|
Issue Date: | File Number:S7-03-03 | Rulemaking:Compliance Programs of Investment Companies and Investment Advisers |
Status:
Proposed
Rule
Compliance Programs of Investment Companies and Investment Advisers
IC-25925
|
Issue Date: | File Number:S7-45-02 | Rulemaking:Implementation of Standards of Professional Conduct for Attorneys |
Status:
Proposed
Rule
Implementation of Standards of Professional Conduct for Attorneys
33-8186
|
Issue Date: | File Number:S7-02-03 | Rulemaking:Standards Relating to Listed Company Audit Committees |
Status:
Proposed
Rule
Standards Relating to Listed Company Audit Committees
33-8173
|
Issue Date: | File Number:S7-52-02 | Rulemaking:Mandated Electronic Filing and Web Site Posting for Forms 3, 4 and 5 |
Status:
Proposed
Rule
Mandated Electronic Filing and Web Site Posting for Forms 3, 4 and 5
33-8170
|
Issue Date: | File Number:S7-51-02 | Rulemaking:Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies |
Status:
Proposed
Rule
Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies
33-8164,
33-8393A
|
Issue Date: | File Number:S7-50-02 | Rulemaking:Purchases of Certain Equity Securities by the Issuer and Others |
Status:
Proposed
Rule
Rule 10b-18 and Purchases of Certain Equity Securities by the Issuer and Others
33-8160
|
Issue Date: | File Number:S7-49-02 | Rulemaking:Strengthening the Commission's Requirements Regarding Auditor Independence |
Status:
Proposed
Rule
Strengthening the Commission's Requirements Regarding Auditor Independence
33-8154
|
Issue Date: | File Number:S7-47-02 | Rulemaking:Certain Research and Development Companies |
Status:
Proposed
Rule
Certain Research and Development Companies
IC-28535
|
Issue Date: | File Number:S7-48-02 | Rulemaking:Broker-Dealer Exemption From Sending Certain Financial Information to Customers |
Status:
Proposed
Rule
Broker-Dealer Exemption from Sending Certain Financial Information to Customers
34-46920,
34-48272
|
Issue Date: | File Number:S7-46-02 | Rulemaking:Retention of Records Relevant to Audits and Reviews |
Status:
Proposed
Rule
Retention of Records Relevant to Audits and Reviews
33-8151
|
Issue Date: | File Number:S7-45-02 | Rulemaking:Implementation of Standards of Professional Conduct for Attorneys |
Status:
Proposed
Rule
Implementation of Standards of Professional Conduct for Attorneys
33-8150
|
Issue Date: | File Number:S7-44-02 | Rulemaking:Insider Trades During Pension Fund Blackout Periods |
Status:
Proposed
Rule
Insider Trades During Pension Fund Blackout Periods
34-46778
|
Issue Date: | File Number:S7-43-02 | Rulemaking:Conditions for Use of Non-GAAP Financial Measures |
Status:
Proposed
Rule
Conditions for Use of Non-GAAP Financial Measures
33-8145
|
Issue Date: | File Number:S7-42-02 | Rulemaking:Disclosure in Management's Discussion and Analysis About Off-Balance Sheet Arrangements and Aggregate Contractual Obligations |
Status:
Proposed
Rule
Disclosure in Management's Discussion and Analysis About Off-Balance Sheet Arrangements, Contractual Obligations and Contingent Liabilities and Commitments
33-8144
|
Issue Date: | File Number:S7-41-02 | Rulemaking:Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934 |
Status:
Proposed
Rule
Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934
34-46745
|
Issue Date: | File Number:S7-40-02 | Rulemaking:Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002 |
Status:
Proposed
Rule
Disclosure Required by Sections 404, 406 and 407 of the Sarbanes-Oxley Act of 2002
33-8138
|
Issue Date: | File Number:S7-39-02 | Rulemaking:Improper Influence on Conduct of Audits |
Status:
Proposed
Rule
Improper Influence on Conduct of Audits
34-46685
|
Issue Date: | File Number:S7-38-02 | Rulemaking:Proxy Voting by Investment Advisers |
Status:
Proposed
Rule
Proxy Voting By Investment Advisers
IA-2059
|
Issue Date: | File Number:S7-36-02 | Rulemaking:Disclosure of Proxy Voting Policies and Proxy Voting Records by Registered Management Investment Companies |
Status:
Proposed
Rule
Disclosure of Proxy Voting Policies and Proxy Voting Records by Registered Management Investment Companies
33-8131
|
Issue Date: | File Number:S7-34-02 | Rulemaking:Rule 15c3-3 Reserve Requirements for Margin Related to Security Futures Products |
Status:
Proposed
Rule
Rule 15c3-3 Reserve Requirements for Margin Related to Security Futures Products
34-46492
|
Issue Date: | File Number:S7-33-02 | Rulemaking:Certification of Disclosure in Companies' Quarterly and Annual Reports |
Status:
Proposed
Rule
Certification of Management Investment Company Shareholder Reports and Designation of Certified Shareholder Reports as Exchange Act Periodic Reporting Forms
34-46441
|
Displaying 601 - 700 of 927
Modified: Feb. 20, 2024