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 |
|---|---|---|---|
| S7-14-19 | Publication or Submission of Quotations Without Specified Information
Trading and Markets |
View Related Activity | |
| S7-08-19 | Concept Release on Harmonization of Securities Offering Exemptions
Corporation Finance, Trading and Markets, Investment Management |
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| S7-18-18 | Concept Release on Compensatory Securities Offerings and Sales
Corporation Finance |
||
| S7-06-16 | Business and Financial Disclosure Required by Regulation S-K
Corporation Finance |
||
| S7-27-15 | Transfer Agent Regulations; Extension of Comment Period
Trading and Markets |
View Related Activity | |
| S7-13-15 | Possible Revisions To Audit Committee Disclosures
Chief Accountant, Corporation Finance |
||
| S7-35-11 | Treatment of Asset-Backed Issuers Under the Investment Company Act
Investment Management |
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| S7-34-11 | Companies Engaged in the Business of Acquiring Mortgages and Mortgage-Related Instruments
Investment Management |
||
| S7-33-11 | Use of Derivatives by Investment Companies Under the Investment Company Act of 1940
Investment Management |
||
| S7-16-10 | Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act
Trading and Markets |
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| S7-14-10 | Concept Release on the U.S. Proxy System
Corporation Finance |
||
| S7-02-10 | Concept Release on Equity Market Structure
Trading and Markets |
||
| S7-25-09 | Concept Release on Possible Rescission of Rule 436(g) Under The Securities Act of 1933
Corporation Finance |
View Related Activity | |
| S7-25-09 | Concept Release on Possible Rescission of Rule 436(g) Under The Securities Act of 1933
Corporation Finance |
View Related Activity | |
| S7-29-07 | Concept Release on Possible Revisions to the Disclosure Requirements Relating to Oil and Gas Reserves | ||
| S7-27-07 | Concept Release on Mechanisms To Access Disclosures Relating to Business Activities in or With Countries Designated as State Sponsors of Terrorism | ||
| S7-20-07 | Concept Release on Allowing U.S. Issuers To Prepare Financial Statements in Accordance With International Financial Reporting Standards | View Related Activity | |
| S7-20-07 | Concept Release on Allowing U.S. Issuers To Prepare Financial Statements in Accordance With International Financial Reporting Standards | View Related Activity | |
| S7-11-06 | Concept Release Concerning Management's Reports on Internal Control Over Financial Reporting | ||
| S7-40-04 | Concept Release Concerning Self-Regulation | ||
| S7-36-04 | Enhancing Commission Filings Through the Use of Tagged Data | ||
| S7-13-04 | Securities Transactions Settlement | ||
| S7-07-04 | Competitive Developments in the Options Markets | ||
| S7-30-03 | Interagency Proposal to Consider Alternative Forms of Privacy Notices Under the Gramm-Leach-Bliley Act | ||
| S7-29-03 | Request for Comments on Measures To Improve Disclosure of Mutual Fund Transaction Costs | ||
| S7-12-03 | Rating Agencies and the Use of Credit Ratings Under the Federal Securities Laws | ||
| S7-11-03 | Request for Comment on Nasdaq Petition Relating to the Regulation of Nasdaq-Listed Securities | ||
| S7-07-03 | Request for Comment on the NYSE Petition Relating to Participant Fee Exemptions | ||
| S7-32-02 | Draft Interagency White Paper on Sound Practices to Strengthen the Resilience of the U.S. Financial System | ||
| S7-15-02 | Interagency White Paper on Structural Change in the Settlement of Government Securities: Issues and Options | ||
| S7-20-01 | Actively Managed Exchange-Traded Funds | ||
| S7-14-01 | Request for Comment on the Effects of Decimal Trading in Subpennies; Extension of Comment Period | ||
| S7-14-01 | Request for Comment on the Effects of Decimal Trading in Subpennies | ||
| S7-04-00 | International Accounting Standards | ||
| S7-30-99 | Registered Public-Utility Holding Companies and Internationalization | ||
| S7-28-99 | Regulation of Market Information Fees and Revenues | ||
| S7-24-99 | Short Sales | ||
| S7-30-97, S7-31-97, S7-32-97 | OTC Derivatives Dealers; Correction | ||
| S7-32-97 | OTC Derivatives Dealers; Correction | View Related Activity | |
| S7-22-97 | Equity Index Insurance Products | View Related Activity | |
| S7-22-97 | Equity Index Insurance Products | View Related Activity | |
| S7-16-97 | Regulation of Exchanges | View Related Activity | |
| S7-16-97 | Regulation of Exchanges | View Related Activity | |
| S7-19-96 | Securities Act Concepts and Their Effects on Capital Formation | View Related Activity | |
| S7-19-96 | Securities Act Concepts and Their Effects on Capital Formation | View Related Activity | |
| S7-10-95 | Improving Descriptions of Risk by Mutual Funds and Other Investment Companies | ||
| S7-34-94 | Transfer Agents Operating Direct Registration System | ||
| S7-32-94 | Request for Comments on Modernization of the Regulation of Public-Utility Holding Companies | ||
| S7-29-94 | Safe Harbor for Forward-Looking Statements |
Last Reviewed or Updated: June 28, 2024