SEC.gov | 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.

Last Reviewed or Updated: Sept. 13, 2024

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Rulemaking Activity

Issue Date	File Number	Rulemaking	Status
Aug. 27, 2002		Delegation of Authority to the General Counsel of the Commission	Final Rule Delegation of Authority to the General Counsel of the Commission 34-46418
Aug. 27, 2002	S7-31-02	Ownership Reports and Trading by Officers, Directors and Principal Security Holders	Final Rule Ownership Reports and Trading by Officers, Directors and Principal Security Holders 34-46421 View Related Activity
Aug. 1, 2002	S7-16-01	Customer Margin Rules Relating to Security Futures	Final Rule Customer Margin Rules Relating to Security Futures 34-46292 View Related Activity
July 18, 2002	S7-21-01	Investment Company Mergers	Final Rule Investment Company Mergers IC-25666 View Related Activity
July 8, 2002	S7-14-02	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	Final 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 34-46169 View Related Activity
June 24, 2002		Technical Amendments to Rules and Forms Due to the National Securities Markets Improvement Act of 1996 and the Gramm-Leach-Bliley Act	Final Rule Technical Amendments to Rules and Forms Due to the National Securities Markets Improvement Act of 1996 and the Gramm-Leach-Bliley Act 34-46106
May 17, 2002	S7-15-01	Cash Settlement and Regulatory Halt Requirements for Security Futures Products	Final Rule Cash Settlement and Regulatory Halt Requirements for Security Futures Products 34-45956 View Related Activity
May 14, 2002	S7-18-01	Mandated EDGAR Filing For Foreign Issuers	Final Rule Mandated EDGAR Filing For Foreign Issuers 33-8099 View Related Activity
April 30, 2002		Delegation of Authority to the Secretary of the Commission	Final Rule Delegation of Authority to the Secretary of the Commission 34-45848, 34-36824 View Related Activity
April 30, 2002	S7-20-00	Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate	Final Rule Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate IC-25560 View Related Activity
April 17, 2002	S7-11-02	Amendment to Definition of "Equity Security"	Final Rule Amendment to Definition of "Equity Security" 33-8091
April 12, 2002	S7-9-98	Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Life Insurance Policies	Final Rule Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Life Insurance Policies 33-8088, IC-25522, 33-7514 View Related Activity
March 20, 2002		Approved Information Collections	Final Rule Approved Information Collections 33-8071
March 18, 2002	S7-03-02	Requirements for Arthur Andersen LLP Auditing Clients	Final Rule Requirements for Arthur Andersen LLP Auditing Clients 33-8070
Jan. 31, 2002		Exemption of Transactions in Certain Options and Futures on Security Indexes From Section 31 of the Exchange Act	Final Rule Exemption of Transactions in Certain Options and Futures on Security Indexes From Section 31 of the Exchange Act 34-45371
Jan. 16, 2002	S7-02-02	Amendments to Rule 31-1, Securities Transactions Exempt From Transaction Fees	Final Rule Amendments to Rule 31-1, Securities Transactions Exempt From Transaction Fees 34-45291
Dec. 21, 2001	S7-04-01	Disclosure of Equity Compensation Plan Information	Final Rule Disclosure of Equity Compensation Plan Information 33-8048 View Related Activity
Dec. 21, 2001	S7-19-98	Options Disclosure Document	Final Rule Options Disclosure Document 33-8049, 33-7550 View Related Activity
Oct. 26, 2001	S7-26-98	Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934	Final Rule Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 34-44992
Oct. 22, 2001	SR-NSCC-2001-14, SR-NYSE-2001-42	Certifications and Exemptions Under the International Regulations for Preventing Collisions at Sea, 1972; Amendment	Final Rule Certifications and Exemptions Under the International Regulations for Preventing Collisions at Sea, 1972; Amendment 34-44965
Sept. 26, 2001	S7-09-00	Disclosure of Mutual Fund After-Tax Returns	Final Rule Disclosure of Mutual Fund After-Tax Returns; Extension of Compliance Date 33-8010, 34-44850, IC-25175 View Related Activity
Sept. 26, 2001	S7-17-00	Firm Quote and Trade-Through Disclosure Rules for Options	Final Rule Firm Quote and Trade-Through Disclosure Rules for Options 34-44852, 34-43591, 34-43085 View Related Activity
Sept. 24, 2001		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-8007
Aug. 21, 2001	S7-13-01	Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934	Final Rule Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934 34-44730 View Related Activity
Aug. 20, 2001	S7-11-01	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	Final Rule 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 34-44724 View Related Activity
Aug. 13, 2001		Delegation of Authority to the Director of the Division of Market Regulation	Final Rule Delegation of Authority to the Director of the Division of Market Regulation 34-44691
Aug. 13, 2001	S7-10-01	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	Final Rule 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 34-44692 View Related Activity
Aug. 7, 2001		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-7999
July 31, 2001		Delegation of Authority to the Director of the Division of Market Regulation	Final Rule Delegation of Authority to the Director of the Division of Market Regulation 34-44626
July 5, 2001	S7-21-99	Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities	Final Rule Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities IC-25058, IC-24050 View Related Activity
June 29, 2001	S7-12-00	Electronic Submission of Securities Transaction Information by Exchange Members, Brokers, and Dealers	Final Rule Electronic Submission of Securities Transaction Information by Exchange Members, Brokers, and Dealers 34-44494 View Related Activity
June 12, 2001	S7-03-99	International Disclosure Standards; Correction	Final Rule International Disclosure Standards; Correction 33-7983, 34-44406, IA-1249
June 7, 2001		Delegation of Authority to the Director of the Division of Market Regulation	Final Rule Delegation of Authority to the Director of the Division of Market Regulation 34-44397
May 24, 2001	S7-06-01	Electronic Recordkeeping by Investment Companies and Investment Advisers; Correction	Final Rule Electronic Recordkeeping by Investment Companies and Investment Advisers; Correction IC-24991, IA-1945 View Related Activity
May 24, 2001	S7-07-01	Electronic Recordkeeping by Public Utility Holding Companies	Final Rule Electronic Recordkeeping by Public Utility Holding Companies 35-27404 View Related Activity
May 11, 2001	S7-12-01	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	Final 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 34-44291 View Related Activity
April 27, 2001	57-17-99	Recordkeeping Requirements for Transfer Agents	Final Rule Recordkeeping Requirements for Transfer Agents 34-44227, 34-41442 View Related Activity
March 15, 2001	S7-17-00	Firm Quote and Trade-Through Disclosure Rules for Options	Final Rule Firm Quote and Trade-Through Disclosure Rules for Options 34-44078 View Related Activity
March 15, 2001		Delegation of Authority to the Director of the Division of Market Regulation	Final Rule Delegation of Authority to the Director of the Division of Market Regulation 34-44079
March 9, 2001	S7-16-00	Disclosure of Order Execution and Routing Practices	Final Rule Disclosure of Order Execution and Routing Practices 34-44060 View Related Activity

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