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:S7-21-02 | Rulemaking:Certification of Disclosure in Companies' Quarterly and Annual Reports |
Status:
Proposed
Rule
Certification of Disclosure in Companies' Quarterly and Annual Reports
34-46300
|
Issue Date: | File Number:S7-30-02 | Rulemaking:Regulation Analyst Certification |
Status:
Proposed
Rule
Regulation Analyst Certification
33-8119
|
Issue Date: | File Number:S7-29-02 | Rulemaking:Exemption for Standardized Options From Provisions of the Securities Act of 1933 and From the Registration Requirements of the Securities Exchange Act of 1934 |
Status:
Proposed
Rule
Exemption for Standardized Options From Provisions of the Securities Act of 1933 and From the Registration Requirements of the Securities Exchange Act of 1934
33-8114
|
Issue Date: | File Number:S7-28-02 | Rulemaking:Custody of Funds or Securities of Clients by Investment Advisers |
Status:
Proposed
Rule
Custody of Funds or Securities of Clients by Investment Advisers
IA-2044
|
Issue Date: | File Number:S7-26-02 | Rulemaking:Customer Identification Programs for Mutual Funds |
Status:
Proposed
Rule
Customer Identification Programs for Mutual Funds
IC-25657
|
Issue Date: | File Number:S7-25-02 | Rulemaking:Customer Identification Programs for Broker-Dealers |
Status:
Proposed
Rule
Customer Identification Programs For Broker-Dealers
34-46192
|
Issue Date: | File Number:S7-24-02 | Rulemaking:Certification of Disclosure in Companies' Quarterly and Annual Reports |
Status:
Proposed
Rule
Framework for Enhancing the Quality of Financial Information Through Improvement of Oversight of the Auditing Process
33-8109
|
Issue Date: | File Number:S7-21-02 | Rulemaking:Certification of Disclosure in Companies' Quarterly and Annual Reports |
Status:
Proposed
Rule
Certification of Disclosure in Companies' Quarterly and Annual Reports
34-46079
|
Issue Date: | File Number:S7-22-02 | Rulemaking:Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date |
Status:
Proposed
Rule
Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date
33-8106
|
Issue Date: | File Number:S7-20-02 | Rulemaking:Customer Protection-Reserves and Custody of Securities; Delegation of Authority to the Director of the Division of Market Regulation |
Status:
Proposed
Rule
Customer Protection-Reserves and Custody of Securities
34-46019
|
Issue Date: | File Number:S7-19-02 | Rulemaking:Confirmation Requirements for Transactions of Security Futures Products Effected in Futures Accounts |
Status:
Proposed
Rule
Confirmation Requirements for Transactions of Security Futures Products Effected in Futures Accounts
34-46014
|
Issue Date: | File Number:S7-18-02 | Rulemaking:Repeal of the Trade-Through Disclosure Rules for Options |
Status:
Proposed
Rule
Repeal of Options Trade-Through Disclosure Rule
34-46002
|
Issue Date: | File Number:S7-17-02 | Rulemaking:Amendments to Investment Company Advertising Rules |
Status:
Proposed
Rule
Proposed Amendments to Investment Company Advertising Rules
33-8101
|
Issue Date: | File Number:S7-16-02 | Rulemaking:Disclosure in Management's Discussion and Analysis About the Application of Critical Accounting Policies |
Status:
Proposed
Rule
Disclosure in Management's Discussion and Analysis About the Application of Critical Accounting Policies
33-8098
|
Issue Date: | File Number:S7-14-02 | Rulemaking:Assessments on Security Futures Transactions and Fees on Sales of Securities Resulting from Physical Settlement of Security Futures Pursuant to Section 31 of the Exchange Act |
Status:
Proposed
Rule
Assessments on Security Futures Transactions and Fees on Sales of Securities Resulting From Physical Settlement of Security Futures Pursuant to Section 31 of the Exchange Act
34-45854
|
Issue Date: | File Number:S7-13-02 | Rulemaking:Transactions of Investment Companies With Portfolio and Subadviser Affiliates |
Status:
Proposed
Rule
Transactions of Investment Companies With Portfolio and Subadvisory Affiliates
IC-25557
|
Issue Date: | File Number:S7-08-02 | Rulemaking:Acceleration of Periodic Report Filing Dates and Disclosure Concerning Web Site Access to Reports |
Status:
Proposed
Rule
Acceleration of Periodic Report Filing Dates and Disclosure Concerning Website Access to Reports
33-8089
|
Issue Date: | File Number:S7-07-02 | Rulemaking:Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Annuity Contracts |
Status:
Proposed
Rule
Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Annuity Contracts
33-8087
|
Issue Date: | File Number:S7-10-02 | Rulemaking:Exemption for Certain Investment Advisers Operating Through the Internet |
Status:
Proposed
Rule
Exemption for Certain Investment Advisers Operating Through the Internet
IA-2028
|
Issue Date: | File Number:S7-09-02 | Rulemaking:Form 8-K Disclosure of Certain Management Transactions |
Status:
Proposed
Rule
Form 8-K Disclosure of Certain Management Transactions
33-8090
|
Issue Date: | File Number:S7-23-01 | Rulemaking:Defining the Term "Qualified Purchaser" Under the Securities Act of 1933 |
Status:
Proposed
Rule
Defining the Term "Qualified Purchaser" Under the Securities Act of 1933
33-8041
|
Issue Date: | File Number:S7-22-01 | Rulemaking:Custody of Investment Company Assets With a Securities Depository |
Status:
Proposed
Rule
Custody of Investment Company Assets With a Securities Depository
IC-25266
|
Issue Date: | File Number:S7-21-01 | Rulemaking:Investment Company Mergers |
Status:
Proposed
Rule
Investment Company Mergers
IC-25259
|
Issue Date: | File Number:S7-17-01 | Rulemaking:Customer Margin Rules Relating to Security Futures |
Status:
Proposed
Rule
Customer Margin Rules Relating to Security Futures; Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products
34-44996
|
Issue Date: | File Number:S7-18-01 | Rulemaking:Mandated EDGAR Filing For Foreign Issuers |
Status:
Proposed
Rule
Mandated EDGAR Filing for Foreign Issuers
33-8016
|
Issue Date: | File Number:S7-17-01 | Rulemaking:Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products |
Status:
Proposed
Rule
Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products
34-44854
|
Issue Date: | File Number:S7-16-01, 1-9641 | Rulemaking:Customer Margin Rules Relating to Security Futures |
Status:
Proposed
Rule
Customer Margin Rules Relating to Security Futures
34-44853
|
Issue Date: | File Number:S7-15-01 | Rulemaking:Cash Settlement and Regulatory Halt Requirements for Security Futures Products |
Status:
Proposed
Rule
Cash Settlement and Regulatory Halt Requirements for Security Futures Products
34-44743
|
Issue Date: | File Number:S7-11-01 | Rulemaking:Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index; Joint Final Rule |
Status:
Proposed
Rule
Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index
34-44475
|
Issue Date: | File Number:S7-13-01 | Rulemaking:Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934 |
Status:
Proposed
Rule
Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934
34-44455
|
Issue Date: | File Number:S7-11-01 | Rulemaking:Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index; Joint Final Rule |
Status:
Proposed
Rule
Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index
34-44288
|
Issue Date: | File Number:S7-10-01 | Rulemaking:Registration of National Securities Exchanges Pursuant to Section 6(g) of the Securities Exchange Act of 1934 and Proposed Rule Changes of Certain National Securities Exchanges and Limited Purpose National Securities Associations |
Status:
Proposed
Rule
Registration of National Securities Exchanges Pursuant to Section 6(g) of the Securities Exchange Act of 1934 and Proposed Rule Changes of National Securities Exchanges and Limited Purpose National Securities Associations
34-44279
|
Issue Date: | File Number:S7-07-01 | Rulemaking:Electronic Recordkeeping by Public Utility Holding Companies |
Status:
Proposed
Rule
Electronic Recordkeeping by Public Utility Holding Companies
35-27357
|
Issue Date: | File Number:S7-06-01 | Rulemaking:Electronic Recordkeeping by Investment Companies and Investment Advisers; Correction |
Status:
Proposed
Rule
Electronic Recordkeeping by Investment Companies and Investment Advisers
IC-24890
|
Issue Date: | File Number: | Rulemaking:Public Information: Advanced Notice of Proposed Rulemaking on Electronic Reporting and Recordkeeping and Delayed Effective Date of Recordkeeping Provisions in the Electronic Signatures in Global and National Commerce Act of 2000 |
Status:
Proposed
Rule
Public Information: Advanced Notice of Proposed Rulemaking on Electronic Reporting and Recordkeeping and Delayed Effective Date of Recordkeeping Provisions in the Electronic Signatures in Global and National Commerce Act of 2000
33-7955
|
Issue Date: | File Number:S7-05-01 | Rulemaking:Foreign Utility Companies |
Status:
Proposed
Rule
Foreign Utility Companies
35-27342
|
Issue Date: | File Number:S7-04-01 | Rulemaking:Disclosure of Equity Compensation Plan Information |
Status:
Proposed
Rule
Disclosure of Equity Compensation Plan Information
33-7944
|
Issue Date: | File Number:S7-03-01 | Rulemaking:Proposed Rule Changes of Self-Regulatory Organizations |
Status:
Proposed
Rule
Proposed Rule Changes of Self-Regulatory Organizations
34-43860
|
Issue Date: | File Number:S7-20-00 | Rulemaking:Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate |
Status:
Proposed
Rule
Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate
IC-24775
|
Issue Date: | File Number:S7-18-00 | Rulemaking:Processing Requirements for Cancelled Security Certificates |
Status:
Proposed
Rule
Processing Requirements for Cancelled Security Certificates
34-43401,
34-48931
|
Issue Date: | File Number:S7-13-00 | Rulemaking:Revision of the Commission's Auditor Independence Requirements |
Status:
Proposed
Rule
Revision of the Commission's Auditor Independence Requirements
33-7883
|
Issue Date: | File Number:S7-17-00 | Rulemaking:Firm Quote and Trade-Through Disclosure Rules for Options |
Status:
Proposed
Rule
Firm Quote and Trade-Through Disclosure Rules for Options
34-43085,
34-43591
|
Issue Date: | File Number:S7-16-00 | Rulemaking:Disclosure of Order Execution and Routing Practices |
Status:
Proposed
Rule
Disclosure of Order Routing and Execution Practices
34-43084
|
Issue Date: | File Number:S7-13-00 | Rulemaking:Revision of the Commission's Auditor Independence Requirements |
Status:
Proposed
Rule
Revision of the Commission's Auditor Independence Requirements
34-42994
|
Issue Date: | File Number:4-434 | Rulemaking:Options Price Reporting Authority |
Status:
Proposed
Rule
Options Price Reporting Authority
34-42755,
34-43621
|
Issue Date: | File Number:S7-12-00 | Rulemaking:Electronic Submission of Securities Transaction Information by Exchange Members, Brokers, and Dealers |
Status:
Proposed
Rule
Electronic Submission of Securities Trading Data by Exchange Members, Brokers and Dealers
34-42741
|
Issue Date: | File Number:S7-10-00 | Rulemaking:Electronic Filing by Investment Advisers; Amendments To Form ADV |
Status:
Proposed
Rule
Electronic Filing by Investment Advisers; Proposed Amendments to Form ADV
34-42620
|
Issue Date: | File Number:S7-31-99 | Rulemaking:Selective Disclosure and Insider Trading |
Status:
Proposed
Rule
Selective Disclosure and Insider Trading
33-7815
|
Issue Date: | File Number:S7-09-00 | Rulemaking:Disclosure of Mutual Fund After-Tax Returns |
Status:
Proposed
Rule
Disclosure of Mutual Fund After-Tax Returns
33-7809
|
Issue Date: | File Number:S7-6-00 | Rulemaking:Privacy of Consumer Financial Information (Regulation S-P) |
Status:
Proposed
Rule
Privacy of Consumer Financial Information (Regulation S-P) Reference: Rel. Nos. IC-24326, IA-1856
34-42484
|
Issue Date: | File Number:S7-05-00 | Rulemaking:Rulemaking for EDGAR System |
Status:
Proposed
Rule
Rulemaking for EDGAR System
34-42462
|
Issue Date: | File Number:S7-03-00 | Rulemaking:Supplementary Financial Information |
Status:
Proposed
Rule
Supplementary Financial Information
34-42354
|
Issue Date: | File Number:S7-31-99 | Rulemaking:Selective Disclosure and Insider Trading |
Status:
Proposed
Rule
Selective Disclosure and Insider Trading
34-42259
|
Issue Date: | File Number:S7-29-99 | Rulemaking:Unlisted Trading Privileges |
Status:
Proposed
Rule
Unlisted Trading Privileges
34-42209
|
Issue Date: | File Number:S7-26-99 | Rulemaking:Delivery of Proxy and Information Statements to Households |
Status:
Proposed
Rule
Delivery of Proxy and Information Statements to Households
33-7767
|
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
34-42099
|
Issue Date: | File Number:S7-23-99 | Rulemaking:Role of Independent Directors of Investment Companies |
Status:
Proposed
Rule
Role of Independent Directors of Investment Companies
34-42007,
33-7932
|
Issue Date: | File Number:S7-22-99 | Rulemaking:Audit Committee Disclosure |
Status:
Proposed
Rule
Audit Committee Disclosure
34-41987,
34-42266
|
Issue Date: | File Number:S7-21-99 | Rulemaking:Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities |
Status:
Proposed
Rule
Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities
IC-24050,
IC-25058
|
Issue Date: | File Number:S7-19-99 | Rulemaking:Political Contributions by Certain Investment Advisers |
Status:
Proposed
Rule
Political Contributions by Certain Investment Advisers
IA-1812
|
Issue Date: | File Number:S7-18-99 | Rulemaking:Exemption of the Securities of the Republic of Portugal Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities |
Status:
Proposed
Rule
Exemption of the Securities of the Republic of Portugal Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
34-41644
|
Issue Date: | File Number:S7-17-99 | Rulemaking:Recordkeeping Requirements for Transfer Agents |
Status:
Proposed
Rule
Recordkeeping Requirements for Transfer Agents
34-41442,
34-44227
|
Issue Date: | File Number:S7-11-99 | Rulemaking:Revised Transfer Agent Form and Related Rule |
Status:
Proposed
Rule
Revised Transfer Agent Form and Related Rule
34-41204,
34-42892
|
Issue Date: | File Number:S7-16-99 | Rulemaking:Broker-Dealer Registration and Reporting |
Status:
Proposed
Rule
Broker-Dealer Registration and Reporting
34-41351
|
Issue Date: | File Number:S7-15-99 | Rulemaking:Custody of Investment Company Assets Outside the United States |
Status:
Proposed
Rule
Custody of Investment Company Assets Outside the United States
IC-23815
|
Issue Date: | File Number:S7-14-99 | Rulemaking:Amendments to the Commission's Freedom of Information Act, Privacy Act, and Confidential Treatment Rules |
Status:
Proposed
Rule
Amendments to the Commission's Freedom of Information Act, Privacy Act, and Confidential Treatment Rules
34-41288
|
Issue Date: | File Number:S7-5-99 | Rulemaking:Publication or Submission of Quotations Without Specified Information |
Status:
Proposed
Rule
Publication or Submission of Quotations Without Specified Information
34-41261
|
Issue Date: | File Number:S7-30-98 | Rulemaking:The Regulation of Securities Offerings |
Status:
Proposed
Rule
The Regulation of Securities Offerings
33-7659
|
Issue Date: | File Number:S7-10-99 | Rulemaking:Offer and Sale of Securities to Canadian Tax-Deferred Retirement Savings Accounts |
Status:
Proposed
Rule
Offer and Sale of Securities to Canadian Tax-Deferred Retirement Savings Accounts
33-7656,
33-7860
|
Issue Date: | File Number:S7-9-99 | Rulemaking:Rulemaking for EDGAR System |
Status:
Proposed
Rule
Rulemaking for EDGAR System
33-7653
|
Issue Date: | File Number:S7-8-99 | Rulemaking:Operational Capability Requirements of Registered Broker-Dealers and Transfer Agents and Year 2000 Compliance |
Status:
Proposed
Rule
Operational Capability Requirements of Registered Broker-Dealers and Transfer Agents and Year 2000 Compliance
34-41142
|
Issue Date: | File Number:S7-5-99 | Rulemaking:Publication or Submission of Quotations Without Specified Information |
Status:
Proposed
Rule
Publication or Submission of Quotations Without Specified Information
34-41110,
34-41261
|
Issue Date: | File Number:S7-7-99 | Rulemaking:Financial Statements and Periodic Reports for Related Issuers and Guarantors |
Status:
Proposed
Rule
Financial Statements and Periodic Reports for Related Issuers and Guarantors
33-7649,
33-7878
|
Issue Date: | File Number:S7-2-98 | Rulemaking:Registration of Securities on Form S-8 |
Status:
Proposed
Rule
Registration of Securities on Form S-8
33-7647
|
Issue Date: | File Number:S7-2-99 | Rulemaking:Transition Rule for Ohio Investment Advisers |
Status:
Proposed
Rule
Transition Rule for Ohio Investment Advisers
IA-1787,
IA-1794
|
Issue Date: | File Number:S7-3-99 | Rulemaking:International Disclosure Standards |
Status:
Proposed
Rule
International Disclosure Standards
33-7637,
34-41936
|
Issue Date: | File Number:S7-31-98 | Rulemaking:Deregistration of Certain Registered Investment Companies |
Status:
Proposed
Rule
Deregistration of Certain Registered Investment Companies
IC-23588,
IC-23786
|
Issue Date: | File Number:S7-29-98 | Rulemaking:Cross-Border Tender Offers, Business Combinations and Rights Offerings |
Status:
Proposed
Rule
Cross-Border Tender Offers, Business Combinations and Rights Offerings
33-7611
|
Issue Date: | File Number:S7-30-98 | Rulemaking:The Regulation of Securities Offerings |
Status:
Proposed
Rule
The Regulation of Securities Offerings
33-7606A
|
Issue Date: | File Number:S7-26-98 | Rulemaking:Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 |
Status:
Proposed
Rule
Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
34-40643
|
Issue Date: | File Number:S7-28-98 | Rulemaking:Regulation of Takeovers and Security Holder Communications |
Status:
Proposed
Rule
Regulation of Takeovers and Security Holder Communications
33-7607,
33-7760
|
Issue Date: | File Number:S7-27-98 | Rulemaking:Purchases of Certain Equity Securities by the Issuer and Others |
Status:
Proposed
Rule
Purchases of Certain Equity Securities by the Issuer and Others
34-40617
|
Issue Date: | File Number:S7-26-98 | Rulemaking:Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 |
Status:
Proposed
Rule
Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
34-40518
|
Issue Date: | File Number:S7-25-98 | Rulemaking:Processing of Reorganization Events, Tender Offers, and Exchange Offers |
Status:
Proposed
Rule
Processing of Reorganization Events, Tender Offers, and Exchange Offers
34-40386
|
Displaying 701 - 800 of 927
Modified: Feb. 20, 2024