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.

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Last Reviewed or Updated: July 22, 2024

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Rulemaking Activity

Issue Date	File Number	Rulemaking	Status
Aug. 26, 2020	S7-11-19	Modernization of Regulation S-K Items 101, 103, and 105 Corporation Finance	Final Rule Modernization of Regulation S-K Items 101, 103, and 105 33-10825, 34-89670 View Related Activity
Aug. 19, 2020	S7-15-19	Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments and Modified Procedures for Proposed NMS Plans and Plan Amendments Trading and Markets	Final Rule Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments and Modified Procedures for Proposed NMS Plans and Plan Amendments 34-89618 View Related Activity
July 24, 2020	S7-02-16	Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act Trading and Markets	Final Rule Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act 34-89394 View Related Activity
July 22, 2020	S7-22-19	Exemptions From the Proxy Rules for Proxy Voting Advice Corporation Finance	Final Rule Exemptions From the Proxy Rules for Proxy Voting Advice 34-89372 View Related Activity
July 6, 2020	S7-19-19	Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940 Investment Management	Final Rule Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940 IC-33921 View Related Activity
June 25, 2020	S7-02-20	Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds Trading and Markets, Investment Management	Final Rule Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds BHCA-9 View Related Activity
May 20, 2020	S7-05-19	Amendments to Financial Disclosures About Acquired and Disposed Businesses Chief Accountant, Corporation Finance, Investment Management	Final Rule Amendments to Financial Disclosures About Acquired and Disposed Businesses 33-10786, 34-88914, IC-33872 View Related Activity
May 15, 2020	S7-13-19	Amendments to the National Market System Plan Governing the Consolidated Audit Trail Trading and Markets	Final Rule Amendments to the National Market System Plan Governing the Consolidated Audit Trail 34-88890 View Related Activity
April 9, 2020	S7-23-16	Definition of "Covered Clearing Agency" Trading and Markets	Final Rule Definition of "Covered Clearing Agency" 34-88616 View Related Activity
April 8, 2020	S7-03-19	Securities Offering Reform for Closed-End Investment Companies Investment Management	Final Rule Securities Offering Reform for Closed-End Investment Companies 33-10771, 34–88606, IC–33836 View Related Activity
March 12, 2020	S7-06-19	Accelerated Filer and Large Accelerated Filer Definitions Corporation Finance	Final Rule Accelerated Filer and Large Accelerated Filer Definitions 34-88365 View Related Activity
March 11, 2020	S7-23-18	Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts Investment Management	Final Rule Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts 33-10765, 34-88358, IC-33814, 33-10605 View Related Activity
March 2, 2020	S7-19-18	Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities Corporation Finance	Final Rule Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities 33-10762, 34-88307, 33-10526 View Related Activity
March 2, 2020		Exemptions From Investment Adviser Registration for Advisers to Certain Rural Business Investment Companies	Final Rule Exemptions From Investment Adviser Registration for Advisers to Certain Rural Business Investment Companies IA-5454
Feb. 19, 2020		Delegation of Authority to the General Counsel of the Commission	Final Rule Delegation of Authority to the General Counsel of the Commission 33-10757, 34-88245, IA-5446, IC-33802
Jan. 27, 2020		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-10749, 34-88040, 39-2530, IC-33792
Dec. 18, 2019	S7-07-19	Cross-Border Application of Certain Security-Based Swap Requirements Trading and Markets	Final Rule Cross-Border Application of Certain Security-Based Swap Requirements 34-87780 View Related Activity
Dec. 18, 2019	S7-28-18	Risk Mitigation Techniques for Uncleared Security-Based Swaps Trading and Markets	Final Rule Risk Mitigation Techniques for Uncleared Security-Based Swaps 34-87782 View Related Activity
Sept. 27, 2019		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-10709, 34-87148, 39-2529, IC-33650
Sept. 25, 2019	S7-15-18	Exchange-Traded Funds Investment Management	Final Rule Exchange-Traded Funds 33-10695, : IC-33646 View Related Activity
Sept. 25, 2019	S7-01-19	Solicitations of Interest Prior to a Registered Public Offering Corporation Finance, Investment Management	Final Rule Solicitations of Interest Prior to a Registered Public Offering 33-10699 View Related Activity
Sept. 19, 2019	S7-05-14	Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers Trading and Markets	Final Rule Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers 34-87005 View Related Activity
Sept. 18, 2019	S7-14-18	Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds Trading and Markets, Investment Management	Final Rule Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds BHCA-7 View Related Activity
Sept. 17, 2019	S7-09-17	Amendments to the Commission's Freedom of Information Act Regulations General Counsel	Final Rule Technical Amendments To Update Cross-References to Commission's FOIA Regulations 34-86982 View Related Activity
Aug. 7, 2019	S7-22-18	Amendments to Rules for Nationally Recognized Statistical Rating Organizations Credit Ratings	Final Rule Amendments to Rules for Nationally Recognized Statistical Rating Organizations 34-86590 View Related Activity
Aug. 6, 2019	S7-08-17	FAST Act Modernization and Simplification of Regulation S-K Corporation Finance, Investment Management	Final Rule FAST Act Modernization and Simplification of Regulation S-K; Correction 33-10618A, 34-85381A, IA-5206A, IC-33426A View Related Activity
July 5, 2019	S7-30-18	Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds	Final Rule Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds BHCA-6 View Related Activity
June 21, 2019	S7-08-12	Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers Trading and Markets	Final Rule Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers 34-86175 View Related Activity
June 18, 2019	S7-10-18	Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships Chief Accountant	Final Rule Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships 33-10648, 34-86127, FR-85, IA-5255, IC-33511 View Related Activity
June 10, 2019	S7-21-18	Amendment to Single Issuer Exemption for Broker-Dealers Trading and Markets	Final Rule Amendment to Single Issuer Exemption for Broker-Dealers 34-86073 View Related Activity
June 7, 2019		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-10645, 34-86070, 39-2526, IC-33504
June 5, 2019	S7-07-18	Regulation Best Interest: The Broker-Dealer Standard of Conduct Trading and Markets, Investment Management	Final Rule Regulation Best Interest: The Broker-Dealer Standard of Conduct 34-86031 View Related Activity
June 5, 2019	S7-08-18	Form CRS Relationship Summary; Amendments to Form ADV Investment Management	Final Rule Form CRS Relationship Summary; Amendments to Form ADV 34-86032, IA-5247 View Related Activity
April 24, 2019	S7-14-16	Disclosure of Order Handling Information Trading and Markets	Final Rule Disclosure of Order Handling Information 34-85714 View Related Activity
March 28, 2019		Public Company Accounting Oversight Board Hearing Officers	Final Rule Public Company Accounting Oversight Board Hearing Officers 34-85437
March 20, 2019	S7-08-17	FAST Act Modernization and Simplification of Regulation S-K Corporation Finance, Investment Management	Final Rule FAST Act Modernization and Simplification of Regulation S-K 33-10618, 34-85381, IA-5206, IC-33426 View Related Activity
March 12, 2019		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-10615, 34-85296, 39-2525, IC-33398
Dec. 20, 2018	S7-01-15	Disclosure of Hedging by Employees, Officers and Directors Corporation Finance	Final Rule Disclosure of Hedging by Employees, Officers and Directors 33-10593 View Related Activity
Dec. 19, 2018	S7-29-18	Conditional Small Issues Exemption Under the Securities Act of 1933 (Regulation A) Corporation Finance	Final Rule Conditional Small Issues Exemption Under the Securities Act of 1933 (Regulation A) 33-10591
Dec. 19, 2018	S7-14-15	Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved in Effecting Security-Based Swaps Trading and Markets	Final Rule Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved in Effecting Security-Based Swaps 34-84858 View Related Activity

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