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
S7-05-22 Shortening the Securities Transaction Settlement Cycle
Investment Management, Trading and Markets
Final Rule
Shortening the Securities Transaction Settlement Cycle
34-96930, IA-6239
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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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Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-11140, 34-96525, 39-2547, IC-34778
Technical Amendments to Commission Rules
Final Rule
Technical Amendments to Commission Rules
33-11139, 34-96508, IA-6203, IC-34774
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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S7-20-21 Insider Trading Arrangements and Related Disclosures
Corporation Finance
Final Rule
Insider Trading Arrangements and Related Disclosures
33-11138, 34-96492, 33-11013
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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
S7-11-21 Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers
Investment Management
Final Rule
Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers
33-11131, 34-96206, IC-34745
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S7-25-22 Outsourcing by Investment Advisers
Investment Management
Proposed Rule
Outsourcing by Investment Advisers
IA-6176
S7-12-15 Listing Standards for Recovery of Erroneously Awarded Compensation
Corporation Finance
Final Rule
Listing Standards for Recovery of Erroneously Awarded Compensation
33-11126, 34-96159, IC-34732
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S7-09-20 Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements
Investment Management
Final Rule
Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements
33-11125, 34-96158, IC-34731
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S7-19-21 Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
Trading and Markets
Final Rule
Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
34-96034
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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
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-11101, 34-95817, 39-2546, IC-34703
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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Inflation Adjustments Under Titles I and III of the JOBS Act
Final Rule
Inflation Adjustments Under Titles I and III of the JOBS Act
33-11098, 34-95715
S7-07-22 Whistleblower Program Rules
General Counsel
Final Rule
Whistleblower Program Rules
34-95620
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S7-07-15 Pay Versus Performance
Corporation Finance
Final Rule
Pay Versus Performance
34-95607
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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
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-11082, 34-95274, 39-2545, IC-34649
Displaying 101 - 200 of 2719

Last Reviewed or Updated: June 28, 2024