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:S7-42-10 |
Rulemaking:Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
|
Status:
Final
Rule
Disclosure of Payments by Resource Extraction Issuers
34-67717A
|
Issue Date: | File Number:S7-07-11 |
Rulemaking:Purchase of Certain Debt Securities by Business and Industrial Development Companies Relying on an Investment Company Act Exemption
Investment Management
|
Status:
Final
Rule
Purchase of Certain Debt Securities by Business and Industrial Development Companies Relying on an Investment Company Act Exemption
IC-30268
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9364,
34-67978,
39-2486,
IC-30227
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9353,
34-67747,
39-2485,
IC-30185
|
Issue Date: | File Number:S7-42-10 |
Rulemaking:Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
|
Status:
Final
Rule
Disclosure of Payments by Resource Extraction Issuers
34-67717
|
Issue Date: | File Number:S7-40-10 |
Rulemaking:Conflict Minerals
Corporation Finance
|
Status:
Final
Rule
Conflict Minerals
34-67716
|
Issue Date: | File Number:S7-11-10 |
Rulemaking:Consolidated Audit Trail
Trading and Markets
|
Status:
Final
Rule
Consolidated Audit Trail
34-67457
|
Issue Date: | File Number:S7-16-11 |
Rulemaking:Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
Trading and Markets
|
Status:
Final
Rule
Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
33-9338,
34-67453,
33-9681,
34-74936
|
Issue Date: | File Number:S7-44-10 |
Rulemaking:Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations
Trading and Markets
|
Status:
Final
Rule
Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations
34-67286
|
Issue Date: | File Number:S7-13-11 |
Rulemaking:Listing Standards for Compensation Committees
Corporation Finance
|
Status:
Final
Rule
Listing Standards for Compensation Committees
33-9330,
34-67220
|
Issue Date: | File Number:S7-18-09 |
Rulemaking:Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Extension of Compliance Date
Investment Management
|
Status:
Final
Rule
Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Extension of Compliance Date
IA-3418
|
Issue Date: | File Number:S7-36-10 | Rulemaking:Political Contributions by Certain Investment Advisers |
Status:
Final
Rule
Political Contributions by Certain Investment Advisers
IA-3403
|
Issue Date: | File Number:S7-39-10 |
Rulemaking:Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant"
Trading and Markets
|
Status:
Final
Rule
Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant"
34-66868
|
Issue Date: | File Number:S7-22-11 |
Rulemaking:Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies
Corporation Finance
|
Status:
Final
Rule
Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies
33-9308,
34-66703,
39-2484
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9303,
34-66654,
39-2483,
IC-30008
|
Issue Date: | File Number:S7-04-11 |
Rulemaking:Net Worth Standard for Accredited Investors
Corporation Finance
|
Status:
Final
Rule
Net Worth Standard for Accredited Investors
33-9287A,
33-9177,
IA-3341A,
IC-29891A
|
Issue Date: | File Number: | Rulemaking:Rules of Organization; Conduct and Ethics; and Information and Requests |
Status:
Final
Rule
Rules of Organization; Conduct and Ethics; and Information and Requests
34-66502
|
Issue Date: | File Number:S7-17-11 |
Rulemaking:Investment Adviser Performance Compensation
Investment Management
|
Status:
Final
Rule
Investment Adviser Performance Compensation
IA-3372
|
Issue Date: | File Number: | Rulemaking:Reporting Line for the Commission's Inspector General |
Status:
Final
Rule
Reporting Line for the Commission's Inspector General
34-66355
|
Issue Date: | File Number:S7-31-11 |
Rulemaking:Covered Securities of Bats Exchange, Inc.
Trading and Markets
|
Status:
Final
Rule
Covered Securities of Bats Exchange, Inc.
33-9295
|
Issue Date: | File Number:S7-41-10 |
Rulemaking:Mine Safety Disclosure
Corporation Finance
|
Status:
Final
Rule
Mine Safety Disclosure
33-9286,
34-66019
|
Issue Date: | File Number:S7-04-11 |
Rulemaking:Net Worth Standard for Accredited Investors
Corporation Finance
|
Status:
Final
Rule
Net Worth Standard for Accredited Investors
33-9287,
IA-3341,
IC-29891,
33-9177
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9281,
34-65803,
39-2481,
IC-29868
|
Issue Date: | File Number: | Rulemaking:Reporting Line for the Commission's Ethics Counsel |
Status:
Final
Rule
Reporting Line for the Commission's Ethics Counsel
34-65742
|
Issue Date: | File Number: | Rulemaking:Rescission of Outdated Rules and Forms, and Amendments To Correct References |
Status:
Final
Rule
Rescission of Outdated Rules and Forms, and Amendments To Correct References
33-9273,
34-65686,
39-2480,
IA-3310,
IC-29855
|
Issue Date: | File Number:S7-05-11 |
Rulemaking:Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
Investment Management
|
Status:
Final
Rule
Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
IA-3308
|
Issue Date: | File Number: | Rulemaking:Technical Amendment to Delegation of Authority to the Director of the Division of Trading and Markets |
Status:
Final
Rule
Technical Amendment to Delegation of Authority to the Director of the Division of Trading and Markets
34-65628
|
Issue Date: | File Number: | Rulemaking:Consolidation of the Office of the Executive Director With the Office of the Chief Operating Officer |
Status:
Final
Rule
Consolidation of the Office of the Executive Director With the Office of the Chief Operating Officer
34-65385
|
Issue Date: | File Number:S7-10-09 |
Rulemaking:Facilitating Shareholder Director Nominations
Corporation Finance
|
Status:
Final
Rule
Facilitating Shareholder Director Nominations
33-9259,
34-65343,
IC-29788
|
Issue Date: | File Number:S7-19-11 |
Rulemaking:Privacy Act of 1974: Implementation and Amendment of Exemptions
Information Technology
|
Status:
Final
Rule
Privacy Act of 1974: Implementation and Amendment of Exemptions
PA-47
|
Issue Date: | File Number: | Rulemaking:Amendments To Include New Applicant Types on Form ID |
Status:
Final
Rule
Amendments To Include New Applicant Types on Form ID
33-9256,
34-65244,
39-2478,
IC-29780
|
Issue Date: | File Number:S7-24-10 |
Rulemaking:Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Corporation Finance
|
Status:
Final
Rule
Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
33-9175A,
34-63741A
|
Issue Date: | File Number:S7-02-11 |
Rulemaking:Suspension of the Duty To File Reports for Classes of Asset-Backed Securities Under Section 15(D) of the Securities Exchange Act of 1934
Corporation Finance
|
Status:
Final
Rule
Suspension of the Duty To File Reports for Classes of Asset-Backed Securities Under Section 15(D) of the Securities Exchange Act of 1934
34-65148
|
Issue Date: | File Number: | Rulemaking:Commission Rules and Forms Related to the FASB's Accounting Standards Codification |
Status:
Final
Rule
Commission Rules and Forms Related to the FASB's Accounting Standards Codification
33-9250,
34-65052,
IC-29748
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9246
|
Issue Date: | File Number:S7-18-08 |
Rulemaking:Security Ratings
Corporation Finance, Investment Management, Trading and Markets
|
Status:
Final
Rule
Security Ratings
33-9245,
34-64975
|
Issue Date: | File Number:S7-10-10 |
Rulemaking:Large Trader Reporting
Trading and Markets
|
Status:
Final
Rule
Large Trader Reporting
34-64976
|
Issue Date: | File Number: | Rulemaking:Technical Amendment to Commission Procedures for Filing Applications for Orders for Exemptive Relief Under Section 36 of the Exchange Act |
Status:
Final
Rule
Technical Amendment to Commission Procedures for Filing Applications for Orders for Exemptive Relief Under Section 36 of the Exchange Act
34-64913
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to the Director of Its Division of Enforcement |
Status:
Final
Rule
Delegation of Authority to the Director of Its Division of Enforcement
34-64778
|
Issue Date: | File Number:S7-03-10 |
Rulemaking:Risk Management Controls for Brokers or Dealers With Market Access
Trading and Markets
|
Status:
Final
Rule
Risk Management Controls for Brokers or Dealers With Market Access
34-64748
|
Issue Date: | File Number:S7-25-10 |
Rulemaking:Family Offices
Investment Management
|
Status:
Final
Rule
Family Offices
IA-3220
|
Issue Date: | File Number:S7-36-10 |
Rulemaking:Rules Implementing Amendments to the Investment Advisers Act of 1940
Investment Management
|
Status:
Final
Rule
Rules Implementing Amendments to the Investment Advisers Act of 1940
IA-3221
|
Issue Date: | File Number:S7-37-10 |
Rulemaking:Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers
Investment Management
|
Status:
Final
Rule
Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers
IA-3222
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to the Director of Its Division of Enforcement |
Status:
Final
Rule
Delegation of Authority to the Director of Its Division of Enforcement
34-64649
|
Issue Date: | File Number:S7-10-11 |
Rulemaking:Beneficial Ownership Reporting Requirements and Security-Based Swaps
Corporation Finance
|
Status:
Final
Rule
Beneficial Ownership Reporting Requirements and Security-Based Swaps
34-64628
|
Issue Date: | File Number:S7-33-10 | Rulemaking:Securities Whistleblower Incentives and Protections |
Status:
Final
Rule
Securities Whistleblower Incentives and Protections
34-64545
|
Issue Date: | File Number: | Rulemaking:Amendment to Procedures for Holding Funds in Dormant Filing Fee Accounts |
Status:
Final
Rule
Amendment to Procedures for Holding Funds in Dormant Filing Fee Accounts
33-9208,
34-64495,
IC-29670
|
Issue Date: | File Number: | Rulemaking:Technical Amendment to Rule 19b-4: Filings With Respect to Proposed Rule Changes by Self-Regulatory Organizations |
Status:
Final
Rule
Technical Amendment to Rule 19b-4: Filings With Respect to Proposed Rule Changes by Self-Regulatory Organizations
34-64251
|
Issue Date: | File Number: | Rulemaking:Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission |
Status:
Final
Rule
Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
34-64172
|
Issue Date: | File Number: | Rulemaking:Technical Amendments to Rule 17a-8: Financial Recordkeeping and Reporting of Currency and Foreign Transactions |
Status:
Final
Rule
Technical Amendments to Rule 17a-8: Financial Recordkeeping and Reporting of Currency and Foreign Transactions
34-63949
|
Issue Date: | File Number:S7-31-10 |
Rulemaking:Shareholder Approval of Executive Compensation and Golden Parachute Compensation
Corporation Finance
|
Status:
Final
Rule
Shareholder Approval of Executive Compensation and Golden Parachute Compensation
33-9178,
34-63768
|
Issue Date: | File Number:S7-24-10 |
Rulemaking:Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Corporation Finance
|
Status:
Final
Rule
Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
33-9175,
34-63741
|
Issue Date: | File Number:S7-26-10 |
Rulemaking:Issuer Review of Assets in Offerings of Asset-Backed Securities
Corporation Finance
|
Status:
Final
Rule
Issuer Review of Assets in Offerings of Asset-Backed Securities
33-9176,
34-63742
|
Issue Date: | File Number: | Rulemaking:Rules of Practice |
Status:
Final
Rule
Rules of Practice
34-63723
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to the Chief Accountant |
Status:
Final
Rule
Delegation of Authority to the Chief Accountant
34-63699
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9169,
34-63646,
39-2473,
IC-29547
|
Displaying 501 - 600 of 1536
Modified: Feb. 20, 2024