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 |
|---|---|---|---|
| S7-23-99 | Role of Independent Directors of Investment Companies | View Related Activity | |
| Interpretive Matters Concerning Independent Directors of Investment Companies | |||
| S7-22-99 | Audit Committee Disclosure | View Related Activity | |
| Effective | Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
||
| S7-3-99 | International Disclosure Standards | View Related Activity | |
| S7-21-99 | Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities | View Related Activity | |
| S7-27-98 | Purchases of Certain Equity Securities by the Issuer and Others | ||
| S7-25-95 | Personal Investment Activities of Investment Company Personnel | ||
| S7-19-99 | Political Contributions by Certain Investment Advisers | ||
| S7-8-99 | Year 2000 Operational Capability Requirements for Registered Broker-Dealers and Transfer Agents | ||
| S7-18-99 | Exemption of the Securities of the Republic of Portugal Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities | ||
| S7-16-99 | Broker-Dealer Registration and Reporting | ||
| Delegation of Authority to Cancel Registration of Certain Investment Advisers | |||
| S7-4-99 | Exemption of the Securities of the Kingdom of Sweden Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities | ||
| S7-17-99 | Recordkeeping Requirements for Transfer Agents | View Related Activity | |
| Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
|||
| S7-9-99 | Rulemaking for EDGAR System | ||
| S7-11-99 | Revised Transfer Agent Form and Related Rule | View Related Activity | |
| S7-17-96 | Broker-Dealer Registration and Reporting | ||
| S7-16-99 | Broker-Dealer Registration and Reporting | ||
| S7-15-99 | Custody of Investment Company Assets Outside the United States | ||
| S7-23-95 | Custody of Investment Company Assets Outside the United States; Extension of Compliance Date | ||
| S7-12-98 | Regulation of Alternative Trading Systems; Technical Amendment | ||
| S7-31-98 | Deregistration of Certain Registered Investment Companies | View Related Activity | |
| S7-14-99 | Amendments to the Commission's Freedom of Information Act, Privacy Act, and Confidential Treatment Rules | ||
| S7-5-99 | Publication or Submission of Quotations Without Specified Information | View Related Activity | |
| S7-2-99 | Transition Rule for Ohio Investment Advisers | View Related Activity | |
| S7-30-98 | The Regulation of Securities Offerings | View Related Activity | |
| S7-10-99 | Offer and Sale of Securities to Canadian Tax-Deferred Retirement Savings Accounts | View Related Activity | |
| S7-12-98 | Regulation of Exchanges and Alternative Trading Systems. Correction; | ||
| S7-9-99 | Rulemaking for EDGAR System | ||
| S7-8-99 | Operational Capability Requirements of Registered Broker-Dealers and Transfer Agents and Year 2000 Compliance | ||
| S7-5-99 | Publication or Submission of Quotations Without Specified Information | View Related Activity | |
| S7-7-99 | Financial Statements and Periodic Reports for Related Issuers and Guarantors | View Related Activity | |
| S7-15-98 | Exemption of the Securities of the Kingdom of Belgium Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities | View Related Activity | |
| S7-2-98 | Registration of Securities on Form S-8 | ||
| Revision of Rule 504 of Regulation D, the "Seed Capital' Exemption | View Related Activity | ||
| S7-2-98 | Registration of Securities on Form S-8 | ||
| S7-5-98 | Rule 701Exempt Offerings Pursuant to Compensatory Arrangements | View Related Activity | |
| S7-2-99 | Transition Rule for Ohio Investment Advisers | View Related Activity | |
| S7-3-99 | International Disclosure Standards | View Related Activity | |
| S7-23-95 | Custody of Investment Company Assets Outside the United States | ||
| S7-18-97 | Rulemaking for EDGAR System | ||
| S7-31-96, S7-7-86 | Technical Amendments Under the Investment Advisers Act of 1940 | ||
| S7-28-97 | Technical Changes to Schedule I to Form ADV | View Related Activity | |
| S7-17-98 | Segment Reporting | View Related Activity | |
| S7-12-98 | Regulation of Exchanges and Alternative Trading Systems | View Related Activity | |
| S7-13-98 | Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products | ||
| S7-31-98 | Deregistration of Certain Registered Investment Companies | View Related Activity | |
| S7-29-98 | Cross-Border Tender Offers, Business Combinations and Rights Offerings | ||
| S7-30-98 | The Regulation of Securities Offerings | View Related Activity | |
| Frequently Asked Questions About the Statement of the Commission Regarding Disclosure of Year 2000 Issues and Consequences by Public Companies | |||
| S7-26-98 | Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 | View Related Activity | |
| S7-30-97 | OTC Derivatives Dealers; Correction | View Related Activity | |
| S7-19-97 | Update of Registration Form to Reflect Fee Rate Change for Registration of Certain Investment Company Securities | View Related Activity | |
| S7-23-98 | Rules of Practice | ||
| S7-28-98 | Regulation of Takeovers and Security Holder Communications | View Related Activity |
Last Reviewed or Updated: Sept. 13, 2024