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 |
|---|---|---|---|
| Commission Guidance on Management's Discussion and Analysis of Financial Condition and Results of Operations
Corporation Finance |
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| Commission Interpretation and Guidance Regarding the Applicability of the Proxy Rules to Proxy Voting Advice
Corporation Finance |
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| Regulation Best Interest: The Broker-Dealer Standard of Conduct
Trading and Markets, Investment Management |
View Related Activity | ||
| S7-07-18 | Commission Interpretation Regarding Standard of Conduct for Investment Advisers
Investment Management |
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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 |
View Related Activity | |
| Commission Statement and Guidance on Public Company Cybersecurity Disclosures
Corporation Finance |
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| S7-07-13 | Pay Ratio Disclosure
Corporation Finance |
View Related Activity | |
| Commission Guidance Regarding Revenue Recognition for Bill-and-Hold Arrangements | |||
| Updates to Commission Guidance Regarding Accounting for Sales of Vaccines and Bioterror Countermeasures to the Federal Government for Placement Into the Pediatric Vaccine Stockpile or the Strategic National Stockpile | |||
| S7-03-16 | Notice of Proposed Commission Interpretation Regarding Automated Quotations Under Regulation NMS
Trading and Markets |
View Related Activity | |
| S7-05-16 | Certain Natural Gas and Electric Power Contracts | ||
| S7-03-16 | Notice of Proposed Commission Interpretation Regarding Automated Quotations Under Regulation NMS
Trading and Markets |
View Related Activity | |
| Interpretation of the SEC's Whistleblower Rules Under Section 21F of the Securities Exchange Act of 1934 | |||
| Commission Guidance Regarding the Definition of the Terms "Spouse" and "Marriage" Following the Supreme Court's Decision in United States v. Windsor | |||
| 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 | |
| S7-16-11 | 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 | |
| S7-02-13 | Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities; Republication
Trading and Markets |
View Related Activity | |
| S7-06-12 | Commission Guidance Regarding Definitions of Mortgage Related Security and Small Business Related Security
Trading and Markets |
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| Commission Guidance Regarding Auditing, Attestation, and Related Professional Practice Standards Related To Brokers and Dealers | |||
| Commission Guidance on Presentation of Liquidity and Capital Resources Disclosures in Management's Discussion and Analysis
Corporation Finance |
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| Commission Guidance Regarding Disclosure Related to Climate Change | |||
| Custody of Funds or Securities of Clients by Investment Advisers
Investment Management |
View Related Activity | ||
| Commission Guidance Regarding the Financial Accounting Standards Board's Accounting Standards Codification | |||
| S7-15-08 | Modernization of Oil and Gas Reporting
Corporation Finance |
View Related Activity | |
| S7-23-08 | Commission Guidance on the Use of Company Web Sites
Corporation Finance |
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| S7-24-06 | Amendments to Rules Regarding Management's Report on Internal Control Over Financial Reporting | View Related Activity | |
| S7-13-06 | Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934 | ||
| Commission Guidance Regarding Accounting for Sales of Vaccines and Bioterror Countermeasures to the Federal Government for Placement Into the Pediatric Vaccine Stockpile or the Strategic National Stockpile | |||
| S7-09-05 | Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934 | ||
| S7-03-05 | Commission Guidance Regarding Prohibited Conduct in Connection with IPO Allocations | ||
| Commission Guidance Regarding the Public Company Accounting Oversight Board's Auditing and Related Professional Practice Standard No. 1 | View Related Activity | ||
| Commission Guidance Regarding Management's Discussion and Analysis of Financial Condition and Results of Operations | |||
| Commission Guidance on Rule 3b-3 and Married Put Transactions | |||
| Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 | |||
| Electronic Storage of Broker-Dealer Records | |||
| S7-23-02 | Commission Guidance on the Application of Certain Provisions of the Securities Act of 1933, the Securities Exchange Act of 1934, and Rules Thereunder to Trading in Security Futures Products | ||
| Commission Guidance on the Scope of Section 28(e) of the Exchange Act | |||
| Calculation of Average Weekly Trading Volume Under Rule 144 and Termination of a Rule 10b5-1 Trading Plan | |||
| Bookkeeping Services Provided by Auditors To Audit Clients in Emergency or Other Unusual Situations | |||
| Application of the Electronic Signatures in Global and National Commerce Act To Record Retention Requirements Pertaining to Issuers Under the Securities Act of 1933, Securities Exchange Act of 1934 and Regulation S-T | |||
| Commission Guidance to Broker-Dealers on the Use of Electronic Storage Media Under the Electronic Signatures in Global and National Commerce Act of 2000 With Respect to Rule 17a-4(f) | |||
| Commission Guidance on Mini-Tender Offers and Limited Partnership Tender Offers | |||
| S7-11-00 | Use of Electronic Media | ||
| Interpretive Matters Concerning Independent Directors of Investment Companies | |||
| Frequently Asked Questions About the Statement of the Commission Regarding Disclosure of Year 2000 Issues and Consequences by Public Companies | |||
| Statement of the Commission Regarding Disclosure of Year 2000 Issues and Consequences by Public Companies, Investment Advisers, Investment Companies, and Municipal Securities Issuers | |||
| Interpretation of Section 206(3) of the Investment Advisers Act of 1940 | |||
| S7-10-98 | Confirmation and Affirmation of Securities Trades; Matching | ||
| Statement of the Commission Regarding Use of Internet Web Sites to Offer Securities, Solicit Securities Transactions or Advertise Investment Services Offshore | |||
| S7-13-96 | Use of Electronic Media by Broker-Dealers, Transfer Agents, and Investment Advisers for Delivery of Information; Additional Examples Under the Securities Act of 1933, Securities Exchange Act of 1934, and Investment Company Act of 1940 | ||
| S7-31-95 | Use of Electronic Media for Delivery Purposes | View Related Activity | |
| S7-20-95 | Problematic Practices Under Regulation S | ||
| S7-04-94 | Statement of the Commission Regarding Disclosure Obligations of Municipal Securities Issuers and Others | ||
| Registration of Successors to BrokerDealers and Investment Advisers | |||
| Limited Partnership Reorganizations and Public Offerings of Limited Partnership Interests | |||
| Management's Discussion and Analysis of Financial Condition and Results of Operations; Certain Investment Company Disclosures |
Last Reviewed or Updated: June 28, 2024