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.

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Last Reviewed or Updated: July 22, 2024

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Rulemaking Activity

Issue Date	File Number	Rulemaking	Status
March 18, 2021	S7-03-21	Holding Foreign Companies Accountable Act Disclosure Corporation Finance	Interim Final Rule Holding Foreign Companies Accountable Act Disclosure 34-91364, IC-34227 View Related Activity
Aug. 28, 2020		Temporary Amendments to Regulation Crowdfunding; Extension Corporation Finance	Interim Final Rule Temporary Amendments to Regulation Crowdfunding; Extension 33-10829
May 4, 2020		Temporary Amendments to Regulation Crowdfunding Corporation Finance	Interim Final Rule Temporary Amendments to Regulation Crowdfunding 33-10781
March 26, 2020		Relief for Form ID Filers and Regulation Crowdfunding and Regulation A Issuers Related to Coronavirus Disease 2019 (COVID-19)	Interim Final Rule Relief for Form ID Filers and Regulation Crowdfunding and Regulation A Issuers Related to Coronavirus Disease 2019 (COVID-19) 33-10768, 34-88492, 39-2531, IC-33832
Feb. 27, 2019	S7-02-19	Amendments to the Timing Requirements for Filing Reports on Form N-Port Investment Management	Interim Final Rule Amendments to the Timing Requirements for Filing Reports on Form N-Port IC-33384
Oct. 16, 2018		Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Michael Corporation Finance	Interim Final Rule Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Michael 33-10567
Sept. 19, 2018		Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Florence Corporation Finance	Interim Final Rule Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Florence 33-10556
Feb. 22, 2018	S7-03-18	Investment Company Liquidity Risk Management Programs; Commission Guidance for In-Kind ETFs	Interim Final Rule Investment Company Liquidity Risk Management Programs; Commission Guidance for In-Kind ETFs IC-33010
Sept. 28, 2017		Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Harvey, Hurricane Irma, and Hurricane Maria	Interim Final Rule Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Harvey, Hurricane Irma, and Hurricane Maria 33-10416
Feb. 10, 2017	S7-26-11	Exemptions for Security-Based Swaps Corporation Finance	Interim Final Rule Exemptions for Security-Based Swaps 33-10305 View Related Activity
Nov. 3, 2016		Interim Final Temporary Rule Regarding the Consolidated Audit Trail Dates: See Notification regarding expired temporary rule,	Interim Final Rule Interim Final Temporary Rule Regarding the Consolidated Audit Trail Dates: See Notification regarding expired temporary rule, 34-79237
June 27, 2016	S7-11-16	Adjustments to Civil Monetary Penalty Amounts General Counsel	Interim Final Rule Adjustments to Civil Monetary Penalty Amounts 33-10104
June 1, 2016	S7-09-16	Form 10-K Summary Corporation Finance	Interim Final Rule Form 10-K Summary 34-77969
Jan. 13, 2016	S7-01-16	Simplification of Disclosure Requirements for Emerging Growth Companies and Forward Incorporation by Reference on Form S-1 for Smaller Reporting Companies Corporation Finance	Interim Final Rule Simplification of Disclosure Requirements for Emerging Growth Companies and Forward Incorporation by Reference on Form S-1 for Smaller Reporting Companies 33-10003
Feb. 5, 2014	S7-26-11	Exemptions for Security-Based Swaps Corporation Finance	Interim Final Rule Extension of Exemptions for Security-Based Swaps 33-9545, 34-71482, 39-2495 View Related Activity
Jan. 17, 2014	S7-01-14	Treatment of Certain Collateralized Debt Obligations Backed Primarily by Trust Preferred Securities With Regard to Prohibitions and Restrictions on Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds Investment Management, Trading and Markets	Interim Final Rule Treatment of Certain Collateralized Debt Obligations Backed Primarily by Trust Preferred Securities With Regard to Prohibitions and Restrictions on Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds BHCA-2
Sept. 23, 2013	S7-19-10	Registration of Municipal Advisors (Corrected to conform to Federal Register version) Municipal Securities	Interim Final Rule Extension of Temporary Registration of Municipal Advisors 34-70468 View Related Activity
Jan. 29, 2013	S7-26-11	Exemptions for Security-Based Swaps Corporation Finance	Interim Final Rule Extension of Exemptions for Security-Based Swaps 33-9383, 34-68753, 39-2489 View Related Activity
Sept. 21, 2012	S7-19-10	Temporary Registration of Municipal Advisors Municipal Securities	Interim Final Rule Extension of Temporary Registration of Municipal Advisors 34-67901 View Related Activity
July 11, 2012	S7-30-11	Retail Foreign Exchange Transactions Trading and Markets	Interim Final Rule Extension of Interim Final Temporary Rule on Retail Foreign Exchange Transactions 34-67405 View Related Activity
Dec. 21, 2011	S7-19-10	Temporary Registration of Municipal Advisors Municipal Securities	Interim Final Rule Extension of Temporary Registration of Municipal Advisors 34-66020 View Related Activity
July 13, 2011	S7-30-11	Retail Foreign Exchange Transactions Trading and Markets	Interim Final Rule Retail Foreign Exchange Transactions 34-64874 View Related Activity
July 7, 2011	S7-29-11	Amendment to Rule Filing Requirements for Dually-Registered Clearing Agencies Trading and Markets	Interim Final Rule Amendment to Rule Filing Requirements for Dually-Registered Clearing Agencies 34-64832 View Related Activity
July 1, 2011	S7-02-09	Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps Corporation Finance	Interim Final Rule Extension of Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps 33-9232, 34-64800, 39-2476 View Related Activity
July 1, 2011	S7-26-11	Exemptions for Security-Based Swaps Corporation Finance	Interim Final Rule Exemptions for Security-Based Swaps 33-9231, 34-64794, 39-2475 View Related Activity
Nov. 19, 2010	S7-02-09	Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps Corporation Finance	Interim Final Rule Extension of Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps 33-9158, 34-63348, 39-2472 View Related Activity
Oct. 13, 2010	S7-28-10	Reporting of Security-Based Swap Transaction Data Trading and Markets	Interim Final Rule Reporting of Security-Based Swap Transaction Data 34-63094
Sept. 1, 2010	S7-19-10	Temporary Registration of Municipal Advisors Municipal Securities	Interim Final Rule Temporary Registration of Municipal Advisors 34-62824 View Related Activity
Sept. 18, 2009	S7-20-09	Disclosure of Certain Money Market Fund Portfolio Holdings Investment Management	Interim Final Rule Disclosure of Certain Money Market Fund Portfolio Holdings IC-28903 View Related Activity
Nov. 20, 2008	S7-32-08	Temporary Exemption for Liquidation of Certain Money Market Funds Investment Management	Interim Final Rule Temporary Exemption for Liquidation of Certain Money Market Funds IC-28487 View Related Activity
Oct. 15, 2008	S7-31-08	Disclosure of Short Sales and Short Positions by Institutional Investment Managers Corporation Finance, Investment Management, Trading and Markets	Interim Final Rule Disclosure of Short Sales and Short Positions by Institutional Investment Managers 34-58785 View Related Activity
Oct. 14, 2008	S7-30-08	Amendments to Regulation SHO Trading and Markets	Interim Final Rule Amendments to Regulation SHO 34-58773 View Related Activity
Sept. 24, 2007	S7-23-07	Principal Trades with Certain Advisory Clients	Interim Final Rule Temporary Rule Regarding Principal Trades With Certain Advisory Clients IA-2653 View Related Activity

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