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 |
---|---|---|---|
S7-20-94 | Rulemaking for EDGAR System | ||
S7-11-94 | Selection of Reporting Currency for Financial Statements of Foreign Private Issuers and Reconciliation to US GAAP for Foreign Private Issuers With Operations in a Hyperinflationary Economy | ||
S7-12-94 | Financial Statements of Significant Foreign Equity Investees and Acquired Foreign Businesses of Domestic Issuers and Financial Schedules | ||
S7-13-94 | Reconciliation of the Accounting by Foreign Private Issuers for Business Combinations | ||
S7-26-94 | Limited Partnership Roll-Up Transactions | ||
S7-1-92 | Notice of Assumption or Termination of Transfer Agent Services | ||
S7-5-94 | Municipal Securities Disclosure | ||
S7-6-94 | Confirmation of Transactions | ||
S7-16-94 | Exemptive Relief and Simplification of Filing Requirements for Debt Securities To Be Listed on a National Securities Exchange | ||
S7-29-93 | Payment for Order Flow | ||
S7-33-93 | Amendments to Proxy Rules for Registered Investment Companies | ||
Rulemaking for EDGAR System: Financial Data Schedules | |||
Executive Compensation Disclosure; Securityholder Lists and Mailing Requests | |||
Adoption of Additional Small Business Initiatives | |||
Disclosure of Mutual Fund Performance and Portfolio Managers | |||
Adoption of Small Business Initiatives | |||
Final Temporary Risk Assessment Rules | |||
Penny Stock Disclosure Rules | |||
Acceptance of Signature Guarantees from Eligible Guarantor Institutions | |||
Registration Requirements for Foreign Broker-Dealers | |||
Municipal Securities Disclosure | |||
The Commission is adopting Rule 3a4-1 specifying a non--exclusive safe harbor under which persons associated with an issuer of securities who participate in sales of that issuer's securities will not be considered to be acting as "brokers" as that term is defined in the Securities Exchange Act of 1934. | |||
Processing of Tender Offers within the National Clearance and SettlementSystem | |||
Maintenance of Accurate Securityholder Files and safeguarding of Funds and Securities by Registered Transfer Agents | |||
Securities Position Listing Rule | |||
S7-687 | Filing and Reporting Requirements Relating to Institutional lnvestment Managers | ||
Regulation of Transfer Agents | View Related Activity | ||
Adoption of Rule 15ba2-1, Related Form MSD, Rule 15ba2-2 and Temporary Rule 15ba2-3(T) Relating to the Registration Of Municipal Securities Dealers Under Section 15b(a) of the Securities Exchange Act of 1934; Adoption of Temporary Rule 15a-1 (T) Relating to the Registration Of Municipal Securities Brokers and Dealers Under Section 15 of the Act; and Delegation of Authority to the Staff of The Commission | |||
Nonpublic Offering Exemption |
Last Reviewed or Updated: July 22, 2024