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
S7-02-17 Update of Statistical Disclosures for Bank and Savings and Loan Registrants
Corporation Finance
Proposed Rule
Update of Statistical Disclosures for Bank and Savings and Loan Registrants
33-10688, 34-86984
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S7-11-19 Modernization of Regulation S-K Items 101, 103, and 105
Corporation Finance
Proposed Rule
Modernization of Regulation S-K Items 101, 103, and 105
33-10668, 34-86614
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S7-09-19 Customer Margin Rules Relating to Security Futures
Trading and Markets
Proposed Rule
Customer Margin Rules Relating to Security Futures
34-86304
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S7-07-19 Cross-Border Application of Certain Security-Based Swap Requirements
Trading and Markets
Proposed Rule
Proposed Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements
34-85823
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S7-06-19 Accelerated Filer and Large Accelerated Filer Definitions
Corporation Finance
Proposed Rule
Amendments to the Accelerated Filer and Large Accelerated Filer Definitions
34-85814
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S7-05-19 Amendments to Financial Disclosures About Acquired and Disposed Businesses
Chief Accountant, Corporation Finance, Investment Management
Proposed Rule
Amendments to Financial Disclosures About Acquired and Disposed Businesses
33-10635, 34-85765, IC-33465
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S7-03-19 Securities Offering Reform for Closed-End Investment Companies
Investment Management
Proposed Rule
Securities Offering Reform for Closed-End Investment Companies
33-10619, 34-85382, IC-33427
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S7-01-19 Solicitations of Interest Prior to a Registered Public Offering
Corporation Finance, Investment Management
Proposed Rule
Solicitations of Interest Prior to a Registered Public Offering
33-10607
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S7-23-18 Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
Investment Management
Proposed Rule
Reopening of Comment Period for Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
33-10605
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S7-30-18 Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Proposed Rule
Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds
BHCA-5
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S7-27-18 Fund of Funds Arrangements
Investment Management
Proposed Rule
Fund of Funds Arrangements
33-10590, IC-33329
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S7-28-18 Risk Mitigation Techniques for Uncleared Security-Based Swaps
Trading and Markets
Proposed Rule
Risk Mitigation Techniques for Uncleared Security-Based Swaps
34-84861
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S7-23-18 Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
Investment Management
Proposed Rule
Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
33-10569
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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
Proposed Rule
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
34-84409
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S7-22-18 Amendments to Rules for Nationally Recognized Statistical Rating Organizations
Credit Ratings
Proposed Rule
Amendments to Rules for Nationally Recognized Statistical Rating Organizations
34-84289
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S7-21-18 Amendment to Single Issuer Exemption for Broker-Dealers
Trading and Markets
Proposed Rule
Amendment to Single Issuer Exemption for Broker-Dealers
34-84225
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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
Proposed Rule
Extension of Comment Period for Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
BHCA-4
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S7-19-18 Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities
Corporation Finance
Proposed Rule
Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities
33-10526, 34-83701, 33-10762
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S7-16-18 Whistleblower Program Rules
Enforcement, General Counsel
Proposed Rule
Whistleblower Program Rules
34-83557
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S7-15-18 Exchange-Traded Funds
Investment Management
Proposed Rule
Exchange-Traded Funds
33-10515, IC-33140
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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
Proposed Rule
Extension of Comment Period for Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
BHCA-3
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S7-11-18 Covered Investment Fund Research Reports
Corporation Finance, Investment Management, Trading and Markets
Proposed Rule
Covered Investment Fund Research Reports
33-10498, 34 83307, IC 33106
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S7-10-18 Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships
Chief Accountant
Proposed Rule
Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships
33-10491, IC-33091, IA-4904
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S7-07-18 Regulation Best Interest: The Broker-Dealer Standard of Conduct
Trading and Markets, Investment Management
Proposed Rule
Regulation Best Interest
34-83062
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S7-09-18 Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation
Investment Management
Proposed Rule
Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation
IA-4889
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S7-08-18 Form CRS Relationship Summary; Amendments to Form ADV
Investment Management
Proposed Rule
Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures in Retail Communications and Restrictions on the Use of Certain Names or Titles
34-83063, IA-4888
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S7-04-18 Investment Company Liquidity Disclosure
Investment Management
Proposed Rule
Investment Company Liquidity Disclosure
IC-33046
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S7-05-18 Transaction Fee Pilot for NMS Stocks
Trading and Markets
Proposed Rule
Transaction Fee Pilot for NMS Stocks
34-82873
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S7-09-17 Amendments to the Commission's Freedom of Information Act Regulations
General Counsel
Proposed Rule
Freedom of Information Act Regulations
34-82373, FOIA-192
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S7-08-17 FAST Act Modernization and Simplification of Regulation S-K
Corporation Finance, Investment Management
Proposed Rule
FAST Act Modernization and Simplification of Regulation S-K
33-10425, 34-81851, IA-4791, IC-32858
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S7-06-17 Covered Securities Pursuant to Section 18 of the Securities Act of 1933
Trading and Markets
Proposed Rule
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
33-10390
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S7-05-17 Exemptions From Investment Adviser Registration for Advisers to Small Business Investment Companies
Investment Management
Proposed Rule
Amendments to Investment Advisers Act Rules To Reflect Changes Made by the FAST Act
IA-4697
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S7-03-17 Inline XBRL Filing of Tagged Data
Corporation Finance
Proposed Rule
Inline XBRL Filing of Tagged Data
33-10323
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S7-01-17 Amendments to Municipal Securities Disclosure
Municipal Securities
Proposed Rule
Proposed Amendments to Municipal Securities Disclosure
34-80130
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S7-24-16 Universal Proxy
Corporation Finance
Proposed Rule
Universal Proxy
34-79164
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S7-22-16 Securities Transaction Settlement Cycle
Trading and Markets
Proposed Rule
Amendment to Securities Transaction Settlement Cycle
34-78962
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S7-23-16 Definition of "Covered Clearing Agency"
Trading and Markets
Proposed Rule
Definition of Covered Clearing Agency
34-78963
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S7-15-16 Disclosure Update and Simplification
Corporation Finance
Proposed Rule
Extension of Comment Period for Disclosure Update and Simplification
33-10220
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S7-19-16 Exhibit Hyperlinks and HTML Format
Corporation Finance
Proposed Rule
Exhibit Hyperlinks and HTML Format
33-10201
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S7-10-16 Modernization of Property Disclosures for Mining Registrants
Corporation Finance
Proposed Rule
Extension of Comment Period for Modernization of Property Disclosures for Mining Registrants
33-10127
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S7-14-16 Disclosure of Order Handling Information
Trading and Markets
Proposed Rule
Disclosure of Order Handling Information
34-78309
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S7-15-16 Disclosure Update and Simplification
Corporation Finance
Proposed Rule
Disclosure Update and Simplification
33-10110
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S7-13-16 Adviser Business Continuity and Transition Plans
Investment Management
Proposed Rule
Adviser Business Continuity and Transition Plans
IA-4439
S7-12-16 Smaller Reporting Company Definition
Corporation Finance
Proposed Rule
Amendments to Smaller Reporting Company Definition
33-10107
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S7-10-16 Modernization of Property Disclosures for Mining Registrants
Corporation Finance
Proposed Rule
Modernization of Property Disclosures for Mining Registrants
33-10098
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S7-07-16 Incentive-Based Compensation Arrangements
Trading and Markets, Investment Management
Proposed Rule
Incentive-Based Compensation Arrangements
34-77776
S7-27-15 Transfer Agent Regulations; Extension of Comment Period
Trading and Markets
Proposed Rule
Transfer Agent Regulations; Extension of Comment Period
34-77172
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S7-02-16 Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Trading and Markets
Proposed Rule
Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
34-77157
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S7-25-15 Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
Proposed Rule
Extension of Comment Period for Disclosure of Payments by Resource Extraction Issuers
34-76958
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S7-15-15 Access to Data Obtained by Security-Based Swap Data Repositories
Trading and Markets
Proposed Rule
Access to Data Obtained by Security-Based Swap Data Repositories and Exemption From Indemnification Requirement
34-76922
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S7-25-15 Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
Proposed Rule
Disclosure of Payments by Resource Extraction Issuers
34-76620
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S7-26-15 Establishing the Form and Manner with which Security-Based Swap Data Repositories Must Make Security-Based Swap Data Available to the Commission
Proposed Rule
Establishing the Form and Manner with which Security-Based Swap Data Repositories Must Make Security-Based Swap Data Available to the Commission
34-76624
S7-24-15 Use of Derivatives by Registered Investment Companies and Business Development Companies
Investment Management
Proposed Rule
Use of Derivatives by Registered Investment Companies and Business Development Companies
IC-31933
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S7-23-15 Disclosure Update and Simplification
Corporation Finance
Proposed Rule
Regulation of NMS Stock Alternative Trading Systems
34-76474
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S7-22-15 Exemptions To Facilitate Intrastate and Regional Securities Offerings
Corporation Finance
Proposed Rule
Exemptions To Facilitate Intrastate and Regional Securities Offerings
33-9973, 34-76319
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S7-18-15 Amendments to the Commission's Rules of Practice
General Counsel
Proposed Rule
Amendments to the Commission's Rules of Practice
34-75976
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S7-19-15 Amendments to the Commission's Rules of Practice (Conformed to Federal Register version) Effective Date: The final rules are effective January 29, 2021, except for Instruction 8 which is effective July 12, 2021 Compliance Date: April 12, 2021
General Counsel
Proposed Rule
Amendments to the Commission's Rules of Practice
34-75977
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S7-16-15, S7-08-15 Investment Company Liquidity Risk Management Programs
Investment Management
Proposed Rule
Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release
33-9922, IC-31835
S7-15-15 Access to Data Obtained by Security-Based Swap Data Repositories
Trading and Markets
Proposed Rule
Access to Data Obtained by Security-Based Swap Data Repositories and Exemption From Indemnification Requirement
34-75845
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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
Proposed 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
34-75612
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S7-08-15 Investment Company Reporting Modernization
Investment Management
Proposed Rule
Investment Company Reporting Modernization
33-9776, 33-10231, 34-75002, IC-31610
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S7-09-15 Form ADV and Investment Advisers Act Rules
Investment Management
Proposed Rule
Amendments to Form ADV and Investment Advisers Act Rules
IA-4091
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S7-06-15 Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent; Security-Based Swap Dealer De Minimis Exception
Trading and Markets
Proposed Rule
Application of Certain Title VII Requirements to Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office
34-74834
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S7-07-15 Pay Versus Performance
Corporation Finance
Proposed Rule
Pay Versus Performance
34-74835
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S7-05-15 Exemption for Certain Exchange Members
Trading and Markets
Proposed Rule
Exemption for Certain Exchange Members
34-74581
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S7-03-15 Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Trading and Markets
Proposed Rule
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
34-74245
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S7-01-15 Disclosure of Hedging by Employees, Officers and Directors
Corporation Finance
Proposed Rule
Disclosure of Hedging by Employees, Officers and Directors
33-9723, 34-74232, IC-31450
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S7-12-14 Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act
Corporation Finance
Proposed Rule
Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the Jobs Act
33-9693, 34-73876, 33-10075A
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S7-09-14 Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
Corporation Finance
Proposed Rule
Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
33-9643
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S7-23-07 Principal Trades with Certain Advisory Clients
Proposed Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
IA-3893
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Last Reviewed or Updated: July 22, 2024