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.

SEC Proposed Rules RSS Feed

Issue Date File Number Rulemaking Status
S7-16-23 Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities
Investment Management
Final Rule
Registration for Index-Linked Annuities and Registered Market Value Adjustment Annuities; Amendments to Form N-4 for Index-Linked Annuities, Registered Market Value Adjustment Annuities, and Variable Annuities; Other Technical Amendments
33-11294, 34-100450, IC-35273
View Related Activity
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-11293
S7-05-23 Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information
Investment Management, Trading and Markets
Final Rule
Final rule; correction
34-100155A
View Related Activity
S7-05-23 Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information
Investment Management, Trading and Markets
Final Rule
Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information
34-100155, IA-6604, IC-35193
View Related Activity
S7-13-23 Exemption for Certain Investment Advisers Operating Through the Internet
Investment Management
Final Rule
Exemption for Certain Investment Advisers Operating Through the Internet
IA-6578
View Related Activity
S7-21-21 Share Repurchase Disclosure Modernization
Corporation Finance, Investment Management
Final Rule
Final Rule, Technical Amendment
34-99778, IC-35157
View Related Activity
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-11277, 34-99752, 39-2554, IC-35155
S7-29-22 Disclosure of Order Execution Information
Trading and Markets
Final Rule
Disclosure of Order Execution Information
34-99679
View Related Activity
S7-10-22 The Enhancement and Standardization of Climate-Related Disclosures for Investors
Corporation Finance
Final Rule
The Enhancement and Standardization of Climate-Related Disclosures for Investors
33-11275, 34-99678
View Related Activity
S7-02-23 Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
Ethics Counsel
Final Rule
Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
34-99582
View Related Activity
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-6546
View Related Activity
S7-12-22 Further Definition of "As a Part of a Regular Business" in the Definition of Dealer and Government Securities Dealer
Trading and Markets
Final Rule
Further Definition of “As a Part of a Regular Business”
34-99477
View Related Activity
S7-13-22 Special Purpose Acquisition Companies, Shell Companies, and Projections
Corporation Finance
Final Rule
Special Purpose Acquisition Companies, Shell Companies, and Projections
33-11265, 34-99418, IC-35096
View Related Activity
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-11259, 34-99193, 39-2553, IC-35068
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
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
34-99149
View Related Activity
S7-01-23 Prohibition Against Conflicts of Interest in Certain Securitizations
Corporation Finance
Final Rule
Prohibition Against Conflicts of Interest in Certain Securitizations
33-11254
View Related Activity
S7-21-22 Clearing Agency Governance and Conflicts of Interest
Trading and Markets
Final Rule
Clearing Agency Governance and Conflicts of Interest
34-98959
View Related Activity
S7-14-22 Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities
Trading and Markets
Final Rule
Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities
34-98845
View Related Activity
S7-08-22 Short Position and Short Activity Reporting by Institutional Investment Managers
Investment Management, Trading and Markets
Final Rule
Short Position and Short Activity Reporting by Institutional Investment Managers
34-98738
View Related Activity
S7-18-21 Reporting of Securities Loans
Trading and Markets
Final Rule
Reporting of Securities Loans
34-98737
View Related Activity
S7-06-22 Modernization of Beneficial Ownership Reporting
Corporation Finance
Final Rule
Modernization of Beneficial Ownership Reporting
33-11253, 34-98704
View Related Activity
S7-03-23 The Commission's Privacy Act Regulations
FOIA Services
Final Rule
The Commission’s Privacy Act Regulations
34-98437, PA-60
View Related Activity
S7-16-22 Investment Company Names
Investment Management
Final Rule
Investment Company Names
33-11238A, 34-98438A, IC-35000A
View Related Activity
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-11235, 34-98419, 39-2552, IC-34998
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-6383
View Related Activity
S7-05-15 Exemption for Certain Exchange Members
Trading and Markets
Final Rule
Exemption for Certain Exchange Members
34-98202
View Related Activity
S7-09-22 Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure
Corporation Finance
Final Rule
Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure
33-11216
View Related Activity
S7-22-21 Money Market Fund Reforms
Investment Management
Final Rule
Money Market Fund Reforms; Form PF Reporting Requirements for Large Liquidity Fund Advisers; Technical Amendments to Form N-CSR and Form N-1A
33-11211, 34-97876, IA-6344, IC-34959
View Related Activity
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-11205, 34-97735, 39-2550, IC-34942
S7-11-22 Removal of References to Credit Ratings From Regulation M
Trading and Markets
Final Rule
Removal of References to Credit Ratings from Regulation M
34-97657
View Related Activity
S7-32-10 Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers
Trading and Markets
Final Rule
Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers
34-97656
View Related Activity
Technical Amendments to Commission Rules and Forms
Final Rule
Technical Amendments to Commission Rules and Forms
33-11197, 34-97621, IA-6316, IC-34932
Technical Amendments to Form BD and Form BDW
Final Rule
Technical Amendments to Form BD and Form BDW
34-97478
S7-01-22 Conformed: Form PF; Event Reporting for Large Hedge Fund Advisers and Private Equity Fund Advisers; Requirements for Large Private Equity Fund Adviser Reporting
Investment Management
Final Rule
Amendments to Form PF to Require Event Reporting for Large Hedge Fund Advisers and Private Equity Fund Advisers and to Amend Reporting Requirements for Large Private Equity Fund Advisers
IA-6297
View Related Activity
S7-21-21 Share Repurchase Disclosure Modernization
Corporation Finance, Investment Management
Final Rule
Share Repurchase Disclosure Modernization
34-97424
View Related Activity
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual (Conformed to Federal Register version)
33-11168, 34-97161, 39-2549, IC-34860
Extending Form 144 EDGAR Filing Hours
Corporation Finance
Final Rule
Extending Form 144 EDGAR Filing Hours
33-11159, 34-96959, 39-2548
S7-05-22 Shortening the Securities Transaction Settlement Cycle
Investment Management, Trading and Markets
Final Rule
Shortening the Securities Transaction Settlement Cycle
34-96930, IA-6239
View Related Activity
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-11140, 34-96525, 39-2547, IC-34778
Technical Amendments to Commission Rules
Final Rule
Technical Amendments to Commission Rules
33-11139, 34-96508, IA-6203, IC-34774
S7-20-21 Insider Trading Arrangements and Related Disclosures
Corporation Finance
Final Rule
Insider Trading Arrangements and Related Disclosures
33-11138, 34-96492, 33-11013
View Related Activity
S7-11-21 Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers
Investment Management
Final Rule
Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers
33-11131, 34-96206, IC-34745
View Related Activity
S7-12-15 Listing Standards for Recovery of Erroneously Awarded Compensation
Corporation Finance
Final Rule
Listing Standards for Recovery of Erroneously Awarded Compensation
33-11126, 34-96159, IC-34732
View Related Activity
S7-09-20 Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements
Investment Management
Final Rule
Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements
33-11125, 34-96158, IC-34731
View Related Activity
S7-19-21 Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
Trading and Markets
Final Rule
Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
34-96034
View Related Activity
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-11101, 34-95817, 39-2546, IC-34703
Inflation Adjustments Under Titles I and III of the JOBS Act
Final Rule
Inflation Adjustments Under Titles I and III of the JOBS Act
33-11098, 34-95715
Displaying 1 - 100 of 1541

Last Reviewed or Updated: July 22, 2024