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
S7-2024-05 Financial Data Transparency Act Joint Data Standards
Corporation Finance
Proposed Rule
Financial Data Transparency Act Joint Data Standards
33-11295, 34-100647, IA-6644, IC-35290
S7-2024-02 Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers
Investment Management
Proposed Rule
Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers
BSA-1
S7-2024-01 Qualifying Venture Capital Funds Inflation Adjustment
Investment Management
Proposed Rule
Qualifying Venture Capital Funds Inflation Adjustment
IC-35129
S7-18-23 Volume-Based Exchange Transaction Pricing for NMS Stocks
Trading and Markets
Proposed Rule
Volume-Based Exchange Transaction Pricing for NMS Stocks
34-98766
S7-16-23 Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities
Investment Management
Proposed Rule
Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities
33-11250, 34-98624, IC-35028
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S7-15-23 EDGAR Filer Access and Account Management
EDGAR Business Office
Proposed Rule
EDGAR Filer Access and Account Management
33-11232, 34-98368, 39-2551, IC-34996
S7-04-23 Safeguarding Advisory Client Assets
Investment Management
Proposed Rule
Safeguarding Advisory Client Assets; Reopening of Comment Period
IA-6384
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S7-13-23 Exemption for Certain Investment Advisers Operating Through the Internet
Investment Management
Proposed Rule
Exemption for Certain Investment Advisers Operating Through the Internet
IA-6354
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S7-12-23 Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers
Trading and Markets, Investment Management
Proposed Rule
Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers
34-97990
S7-11-23 Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule
Trading and Markets
Proposed Rule
Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule
34-97877
S7-32-10 Reopening of Comment Period for Position Reporting of Large Security-Based Swap
Trading and Markets
Proposed Rule
Reopening of Comment Period for Position Reporting of Large Security-Based Swap Positions
34-97762
S7-10-23 Covered Clearing Agency Resilience and Recovery and Wind-Down Plans
Trading and Markets
Proposed Rule
Covered Clearing Agency Resilience and Recovery and Wind-Down Plans
34-97516
S7-06-22 Modernization of Beneficial Ownership Reporting
Corporation Finance
Proposed Rule
Reopening of Comment Period for Modernization of Beneficial Ownership Reporting
33-11180
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S7-02-22 Supplemental Information and Reopening of Comment Period for Amendments to Exchange Act Rule 3b-16 Regarding the Definition of “Exchange”
Trading and Markets
Proposed Rule
Supplemental Information and Reopening of Comment Period for Amendments Regarding the Definition of “Exchange”
34-97309
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S7-08-23 Electronic Submission of Certain Material Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report Other Rel. Nos.: 34-97182; IC-34864
Trading and Markets
Proposed Rule
Electronic Submission of Certain Material Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report Other Rel. Nos.: 34-97182; IC-34864
33-11176, 34-97182, IC-34864
S7-07-23 Regulation Systems Compliance and Integrity
Trading and Markets
Proposed Rule
Regulation Systems Compliance and Integrity
34-97143
S7-06-23 Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, the Municipal Securities Rulemaking Board, National Securities Associations, National Securities Exchanges, Security-Based Swap Data Repositories, Security-Based Swap Dealers, and Transfer Agents
Trading and Markets
Proposed Rule
Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, the Municipal Securities Rulemaking Board, National Securities Associations, National Securities Exchanges, Security-Based Swap Data Reposito
34-97142
S7-05-23 Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information
Investment Management, Trading and Markets
Proposed Rule
Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information
34-97141, IA-6262, IC-34854
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S7-04-23 Safeguarding Advisory Client Assets
Investment Management
Proposed Rule
Safeguarding Advisory Client Assets
IA-6240
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S7-03-23 The Commission's Privacy Act Regulations
FOIA Services
Proposed Rule
The Commission's Privacy Act Regulations
34-96906, PA-59
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S7-02-23 Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
Ethics Counsel
Proposed Rule
Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
34-96768
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S7-01-23 Prohibition Against Conflicts of Interest in Certain Securitizations
Corporation Finance
Proposed Rule
Prohibition Against Conflicts of Interest in Certain Securitizations
33-11151
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S7-32-22 Regulation Best Execution
Trading and Markets
Proposed Rule
Regulation Best Execution
34-96496
S7-31-22 Order Competition Rule
Trading and Markets
Proposed Rule
Order Competition Rule
34-96495
S7-30-22 Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders
Trading and Markets
Proposed Rule
Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders
34-96494
S7-29-22 Disclosure of Order Execution Information
Trading and Markets
Proposed Rule
Disclosure of Order Execution Information
34-96493
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S7-21-21 Share Repurchase Disclosure Modernization
Corporation Finance, Investment Management
Proposed Rule
Reopening of Comment Period for Share Repurchase Disclosure Modernization
34-96458, IC-34768
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S7-26-22 Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting
Investment Management
Proposed Rule
Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting
33-11130
S7-25-22 Outsourcing by Investment Advisers
Investment Management
Proposed Rule
Outsourcing by Investment Advisers
IA-6176
S7-32-10, S7-18-21, S7-21-21, S7-22-21, S7-03-22, S7-08-22, S7-09-22, S7-10-22, S7-13-22, S7-16-22, S7-17-22, S7-18-22 Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers
Trading and Markets
Proposed Rule
Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments
33-11117, 34-96005, IA-6162, IC-34724
S7-23-22 Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities
Trading and Markets
Proposed Rule
Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities
34-95763
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S7-22-22 Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
Investment Management
Proposed Rule
Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
IA-6083
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S7-21-22 Clearing Agency Governance and Conflicts of Interest
Trading and Markets
Proposed Rule
Clearing Agency Governance and Conflicts of Interest
34-95431
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S7-05-15 Exemption for Certain Exchange Members
Trading and Markets
Proposed Rule
Exemption for Certain Exchange Members
34-95388
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S7-20-22 Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8
Corporation Finance
Proposed Rule
Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8
34-95267, IC-34647
S7-12-15 Listing Standards for Recovery of Erroneously Awarded Compensation
Corporation Finance
Proposed Rule
Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation
33-11071, 34-95057, IC-34610
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Last Reviewed or Updated: July 22, 2024