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.
Issue Date | File Number | Rulemaking | Status |
---|---|---|---|
S7-12-98 | Regulation of Exchanges and Alternative Trading Systems | View Related Activity | |
S7-13-98 | Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products | ||
S7-30-97 | OTC Derivatives Dealers; Correction | View Related Activity | |
S7-19-97 | Update of Registration Form to Reflect Fee Rate Change for Registration of Certain Investment Company Securities | View Related Activity | |
S7-23-98 | Rules of Practice | ||
S7-7-98 | Reports To Be Made by Certain Brokers and Dealers | ||
S7-30-97 | OTC Derivatives Dealers | ||
S7-8-98 | Year 2000 Readiness Reports To Be Made by Certain Non-Bank Transfer Agents | ||
S7-16-98 | Amendment to Rule 102(e) of the Commission's Rules of Practice | ||
S7-20-98 | Investment Adviser Year 2000 Reports | View Related Activity | |
S7-8-98 | Year 2000 Readiness Reports To Be Made by Certain Transfer Agents Correction | ||
S7-28-97 | Exemption for Investment Advisers Operating in Multiple States; Revisions to Rules Implementing Amendments to the Investment Advisers Act of 1940; Investment Advisers With Principal Offices and Places of Business in Colorado or Iowa | View Related Activity | |
S7-29-97 | Exemption To Allow Investment Advisers To Charge Fees Based Upon a Share of Capital Gains Upon or Capital Appreciation of a Client's Account | View Related Activity | |
S7-7-98 | Reports to be Made by Certain Brokers and Dealers | ||
S7-8-98 | Year 2000 Readiness Reports To Be Made by Certain Transfer Agents | View Related Activity | |
S7-4-97 | Definitions of "Small Business' or "Small Organization' Under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933 | ||
S7-25-97 | Amendments To Rules On Shareholder Proposals | View Related Activity | |
S7-23-95 | Custody of Investment Company Assets Outside the United States | ||
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
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S7-10-97 | Registration Form Used by Open-End Management Investment Companies | View Related Activity | |
S7-10-97 | Registration Form Used by Open-End Management Investment Companies | View Related Activity | |
S7-18-96 | New Disclosure Option for Open-End Management Investment Companies | ||
S7-11-95 | Exemption of Issuance and Sale of Securities by Public Utility and Nonutility Subsidiary Companies of Registered Public Utility Holding Companies; Rescission of Statements of Policy | View Related Activity | |
Offshore Offers and Sales (Regulation S) Effective Date: 60 days after publication in Federal Register . | |||
Offshore Offers and Sales (Regulation S) Effective Date: 60 days after publication in Federal Register . | |||
Delegation of Authority to the Director of the Division of Market Regulation | |||
Commission Procedures for Filing Applications for Orders for Exemptive Relief Pursuant to Section 36 of the Exchange Act | |||
S7-3-97 | Plain English Disclosure | View Related Activity | |
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
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S7-17-97 | Covered Securities Pursuant to Section 18 of the Securities Act of 1933 | ||
S7-16-96 | Amendments to Beneficial Ownership Reporting Requirements | View Related Activity | |
S7-19-97 | Update of Registration Form to Reflect Fee Rate Change for Registration of Certain Investment Company Securities | View Related Activity | |
S7-29-96 | Technical Revisions to the Rules and Forms Regulating Money Market Funds | View Related Activity | |
Rule to Provide That the Commission Will Not Accept Paper Filings That are Required To Be Filed Electronically | |||
S7-26-96 | Offshore Press Conferences, Meetings with Company Representatives Conducted Offshore and Press-Related Materials Released Offshore | View Related Activity | |
S7-21-96 | Lost Securityholders | View Related Activity | |
S7-24-96 | Rule Amendments Relating to Multiple Class and Series Investment Companies | View Related Activity | |
S7-19-97 | Registration Under the Securities Act of 1933 of Certain Investment Company Securities | View Related Activity | |
Amendment of Rules Governing the Delegation of Authority to Regional Directors and the Director of the Division of Corporation Finance | |||
S7-7-96 | Exemption for the Acquisition of Securities During the Existence of An Underwriting or Selling Syndicate | ||
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
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S7-15-96 | Phase Two Recommendations of Task Force on Disclosure Simplification Effective Date: Sep. 2, 1997 | View Related Activity | |
S7-15-96 | Phase Two Recommendations of Task Force on Disclosure Simplification Effective Date: Sep. 2, 1997 | View Related Activity | |
S7-28-96 | Rulemaking for the EDGAR System | ||
Amendments to Forms and Schedules to Remove Voluntary Provision of Social Security Numbers | |||
S7-31-96 | Rules Implementing Amendments to the Investment Advisers Act of 1940 | ||
S7-23-95 | Custody of Investment Company Assets Outside the United States | ||
S7-23-96 | Expansion of Short-Form Registration To Include Companies With Non-Voting Common Equity | View Related Activity | |
S7-6-97 | Definition of "Prepared By or On Behalf of the Issuer' for Purposes of Determining if an Offering Document is Subject to State Regulation | View Related Activity | |
S7-30-96 | Privately Offered Investment Companies | ||
Adoption of Updated EDGAR Filer Manual; Correction and Further Delay of Implementation
EDGAR Business Office |
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Informal Guidance Program for Small Entities | |||
S7-14-97 | Penalty-Reduction Policy for Small Entities | ||
S7-24-95 | Status of Investment Advisory Programs Under the Investment Company Act of 1940 | View Related Activity | |
Adoption of Updated EDGAR Filer Manual; Correction and Delay of Implementation
EDGAR Business Office |
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S7-20-96 | Implementation of Section 10A of the Securities Exchange Act of 1934 |
Last Reviewed or Updated: July 22, 2024