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 |
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S7-11-11 | Lost Securityholders and Unresponsive Payees
Trading and Markets |
View Related Activity | |
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
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S7-23-07 | Principal Trades with Certain Advisory Clients | View Related Activity | |
S7-44-10 | Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations
Trading and Markets |
View Related Activity | |
S7-42-10 | Disclosure of Payments by Resource Extraction Issuers
Corporation Finance |
View Related Activity | |
S7-07-11 | Purchase of Certain Debt Securities by Business and Industrial Development Companies Relying on an Investment Company Act Exemption
Investment Management |
View Related Activity | |
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
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Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
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S7-42-10 | Disclosure of Payments by Resource Extraction Issuers
Corporation Finance |
View Related Activity | |
S7-40-10 | Conflict Minerals
Corporation Finance |
View Related Activity | |
S7-11-10 | Consolidated Audit Trail
Trading and Markets |
View Related Activity | |
S7-16-11 | Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
Trading and Markets |
View Related Activity | |
S7-44-10 | Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations
Trading and Markets |
View Related Activity | |
S7-13-11 | Listing Standards for Compensation Committees
Corporation Finance |
View Related Activity | |
S7-18-09 | Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Extension of Compliance Date
Investment Management |
View Related Activity | |
S7-36-10 | Political Contributions by Certain Investment Advisers | ||
S7-39-10 | Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant"
Trading and Markets |
View Related Activity | |
S7-22-11 | Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies
Corporation Finance |
View Related Activity | |
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
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S7-04-11 | Net Worth Standard for Accredited Investors
Corporation Finance |
View Related Activity | |
Rules of Organization; Conduct and Ethics; and Information and Requests | |||
S7-17-11 | Investment Adviser Performance Compensation
Investment Management |
View Related Activity | |
Reporting Line for the Commission's Inspector General | |||
S7-31-11 | Covered Securities of Bats Exchange, Inc.
Trading and Markets |
View Related Activity | |
S7-41-10 | Mine Safety Disclosure
Corporation Finance |
View Related Activity | |
S7-04-11 | Net Worth Standard for Accredited Investors
Corporation Finance |
View Related Activity | |
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
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Reporting Line for the Commission's Ethics Counsel | |||
Rescission of Outdated Rules and Forms, and Amendments To Correct References | |||
S7-05-11 | Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
Investment Management |
View Related Activity | |
Technical Amendment to Delegation of Authority to the Director of the Division of Trading and Markets | |||
Consolidation of the Office of the Executive Director With the Office of the Chief Operating Officer | |||
S7-10-09 | Facilitating Shareholder Director Nominations
Corporation Finance |
View Related Activity | |
S7-19-11 | Privacy Act of 1974: Implementation and Amendment of Exemptions
Information Technology |
View Related Activity | |
Amendments To Include New Applicant Types on Form ID | |||
S7-24-10 | Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Corporation Finance |
View Related Activity | |
S7-02-11 | Suspension of the Duty To File Reports for Classes of Asset-Backed Securities Under Section 15(D) of the Securities Exchange Act of 1934
Corporation Finance |
View Related Activity | |
Commission Rules and Forms Related to the FASB's Accounting Standards Codification | |||
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
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S7-18-08 | Security Ratings
Corporation Finance, Investment Management, Trading and Markets |
View Related Activity | |
S7-10-10 | Large Trader Reporting
Trading and Markets |
View Related Activity | |
Technical Amendment to Commission Procedures for Filing Applications for Orders for Exemptive Relief Under Section 36 of the Exchange Act | |||
Delegation of Authority to the Director of Its Division of Enforcement | |||
S7-03-10 | Risk Management Controls for Brokers or Dealers With Market Access
Trading and Markets |
View Related Activity | |
S7-25-10 | Family Offices
Investment Management |
View Related Activity | |
S7-36-10 | Rules Implementing Amendments to the Investment Advisers Act of 1940
Investment Management |
View Related Activity | |
S7-37-10 | Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers
Investment Management |
View Related Activity | |
Delegation of Authority to the Director of Its Division of Enforcement | |||
S7-10-11 | Beneficial Ownership Reporting Requirements and Security-Based Swaps
Corporation Finance |
View Related Activity | |
S7-33-10 | Securities Whistleblower Incentives and Protections | View Related Activity | |
Amendment to Procedures for Holding Funds in Dormant Filing Fee Accounts | |||
Technical Amendment to Rule 19b-4: Filings With Respect to Proposed Rule Changes by Self-Regulatory Organizations | |||
Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission | |||
Technical Amendments to Rule 17a-8: Financial Recordkeeping and Reporting of Currency and Foreign Transactions | |||
S7-31-10 | Shareholder Approval of Executive Compensation and Golden Parachute Compensation
Corporation Finance |
View Related Activity | |
S7-24-10 | Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Corporation Finance |
View Related Activity |
Last Reviewed or Updated: July 22, 2024