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 |
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S7-8-98 | Year 2000 Readiness Reports To Be Made by Certain Non-Bank Transfer Agents | ||
S7-16-98 | Amendment to Rule 102(e) of the Commission's Rules of Practice | ||
S7-26-98 | Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 | View Related Activity | |
S7-20-98 | Investment Adviser Year 2000 Reports | View Related Activity | |
S7-25-98 | Processing of Reorganization Events, Tender Offers, and Exchange Offers | ||
S7-23-98 | Rules of Practice | ||
S7-8-98 | Year 2000 Readiness Reports To Be Made by Certain Transfer Agents Correction | ||
Statement of the Commission Regarding Disclosure of Year 2000 Issues and Consequences by Public Companies, Investment Advisers, Investment Companies, and Municipal Securities Issuers | |||
4-208 | Intermarket Trading System ("ITS') Plan; Proposed Amendments to Expand the ITS/Computer Assisted Execution System Linkage to all Listed Securities and to Eliminate the Unanimous Vote Provision | ||
S7-22-98 | Temporary Exemption for Certain Investment Advisers | View Related Activity | |
S7-28-97 | Exemption for Investment Advisers Operating in Multiple States; Revisions to Rules Implementing Amendments to the Investment Advisers Act of 1940; Investment Advisers With Principal Offices and Places of Business in Colorado or Iowa | View Related Activity | |
Interpretation of Section 206(3) of the Investment Advisers Act of 1940 | |||
4-208 | Proposed Rulemaking Pursuant to Section 11A of the Securities Exchange Act of 1934 to Amend the Intermarket Trading System ("ITS') Plan To Link the PCX Application of the OptiMark System to the ITS System | ||
S7-16-98 | Proposed Amendment to Rule 102(e) of the Commission's Rules of Practice | View Related Activity | |
S7-29-97 | Exemption To Allow Investment Advisers To Charge Fees Based Upon a Share of Capital Gains Upon or Capital Appreciation of a Client's Account | View Related Activity | |
S7-8-98 | Year 2000 Readiness Reports To Be Made by Certain Transfer Agents | View Related Activity | |
S7-7-98 | Reports To Be Made by Certain Brokers and Dealers | ||
S7-7-98 | Reports to be Made by Certain Brokers and Dealers | ||
S7-8-98 | Year 2000 Readiness Reports To Be Made by Certain Transfer Agents | View Related Activity | |
S7-20-98 | Investment Adviser Year 2000 Reports | View Related Activity | |
S7-19-98 | Options Disclosure Document | View Related Activity | |
S7-18-98 | Amendment to Rule 9b-1 Under the Securities Exchange Act Relating to the Options Disclosure Document | ||
S7-17-98 | Segment Reporting | View Related Activity | |
S7-4-97 | Definitions of "Small Business' or "Small Organization' Under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933 | ||
S7-16-98 | Proposed Amendment to Rule 102(e) of the Commission's Rules of Practice | 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 | |
S7-14-98 | Revision of Rule 504 of Regulation D, the "Seed Capital' Exemption | View Related Activity | |
S7-25-97 | Amendments To Rules On Shareholder Proposals | View Related Activity | |
S7-23-95 | Custody of Investment Company Assets Outside the United States | ||
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
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S7-13-98 | Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products; Correction | View Related Activity | |
S7-12-98 | Regulation of Exchanges and Alternative Trading Systems | View Related Activity | |
S7-7-98 | Reports to be Made by Certain Brokers and Dealers | ||
S7-8-98 | Year 2000 Readiness Reports To Be Made by Transfer Agents | ||
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 | |||
S7-9-98 | Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Life Insurance Policies | View Related Activity | |
S7-10-97 | Registration Form Used by Open-End Management Investment Companies | View Related Activity | |
S7-10-97 | Registration Form Used by Open-End Management Investment Companies | View Related Activity | |
S7-18-96 | New Disclosure Option for Open-End Management Investment Companies | ||
S7-8-98 | Year 2000 Readiness Reports To Be Made by Transfer Agents | ||
S7-7-98 | Reports To Be Made by Certain Brokers and Dealers | ||
S7-11-95 | Exemption of Issuance and Sale of Securities by Public Utility and Nonutility Subsidiary Companies of Registered Public Utility Holding Companies; Rescission of Statements of Policy | View Related Activity | |
S7-30-97, S7-31-97, S7-32-97 | OTC Derivatives Dealers; Correction | ||
S7-5-98 | Rule 701Exempt Offerings Pursuant to Compensatory Arrangements | View Related Activity | |
S7-2-98 | Registration of Securities on Form S-8 | ||
S7-30-97, S7-31-97, S7-32-97 | OTC Derivatives Dealers; Correction | ||
S7-3-98 | Publication or Submission of Quotations Without Specified Information | ||
Offshore Offers and Sales (Regulation S) Effective Date: 60 days after publication in Federal Register . | |||
Offshore Offers and Sales (Regulation S) Effective Date: 60 days after publication in Federal Register . | |||
Delegation of Authority to the Director of the Division of Market Regulation | |||
Commission Procedures for Filing Applications for Orders for Exemptive Relief Pursuant to Section 36 of the Exchange Act | |||
S7-3-97 | Plain English Disclosure | View Related Activity | |
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
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S7-17-97 | Covered Securities Pursuant to Section 18 of the Securities Act of 1933 | ||
S7-16-96 | Amendments to Beneficial Ownership Reporting Requirements | View Related Activity | |
S7-32-97 | OTC Derivatives Dealers; Correction | View Related Activity |
Last Reviewed or Updated: July 22, 2024