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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S7-32-97 | OTC Derivatives Dealers; Correction | View Related Activity | |
S7-33-97 | Capital Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934 | ||
S7-31-97 | OTC Derivatives Dealers; Correction | 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 | |
S7-29-96 | Technical Revisions to the Rules and Forms Regulating Money Market Funds | View Related Activity | |
S7-22-97 | Equity Index Insurance Products | 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 | |
S7-27-97 | Delivery of Disclosure Documents to Households | 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 | |
Rule to Provide That the Commission Will Not Accept Paper Filings That are Required To Be Filed Electronically | |||
S7-26-96 | Offshore Press Conferences, Meetings with Company Representatives Conducted Offshore and Press-Related Materials Released Offshore | View Related Activity | |
S7-21-96 | Lost Securityholders | View Related Activity | |
S7-24-96 | Rule Amendments Relating to Multiple Class and Series Investment Companies | View Related Activity | |
S7-25-97 | Amendments To Rules On Shareholder Proposals | View Related Activity | |
S7-19-97 | Registration Under the Securities Act of 1933 of Certain Investment Company Securities | View Related Activity | |
Amendment of Rules Governing the Delegation of Authority to Regional Directors and the Director of the Division of Corporation Finance | |||
S7-22-97 | Equity Index Insurance Products | View Related Activity | |
S7-7-96 | Exemption for the Acquisition of Securities During the Existence of An Underwriting or Selling Syndicate | ||
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
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S7-16-97 | Regulation of Exchanges | View Related Activity | |
S7-15-96 | Phase Two Recommendations of Task Force on Disclosure Simplification Effective Date: Sep. 2, 1997 | View Related Activity | |
S7-15-96 | Phase Two Recommendations of Task Force on Disclosure Simplification Effective Date: Sep. 2, 1997 | View Related Activity | |
S7-19-97 | Registration Under the Securities Act of 1933 of Certain Investment Company Securities | View Related Activity | |
S7-18-97 | Rulemaking for EDGAR System | ||
S7-28-96 | Rulemaking for the EDGAR System | ||
Amendments to Forms and Schedules to Remove Voluntary Provision of Social Security Numbers | |||
S7-17-97 | Covered Securities Pursuant to Section 18 of the Securities Act of 1933 | ||
S7-16-97 | Regulation of Exchanges | View Related Activity | |
S7-31-96 | Rules Implementing Amendments to the Investment Advisers Act of 1940 | ||
S7-23-95 | Custody of Investment Company Assets Outside the United States | ||
S7-23-96 | Expansion of Short-Form Registration To Include Companies With Non-Voting Common Equity | View Related Activity | |
S7-6-97 | Definition of "Prepared By or On Behalf of the Issuer' for Purposes of Determining if an Offering Document is Subject to State Regulation | View Related Activity | |
S7-30-96 | Privately Offered Investment Companies | ||
Adoption of Updated EDGAR Filer Manual; Correction and Further Delay of Implementation
EDGAR Business Office |
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Informal Guidance Program for Small Entities | |||
S7-14-97 | Penalty-Reduction Policy for Small Entities | ||
S7-24-95 | Status of Investment Advisory Programs Under the Investment Company Act of 1940 | View Related Activity | |
Adoption of Updated EDGAR Filer Manual; Correction and Delay of Implementation
EDGAR Business Office |
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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 | View Related Activity | |
S7-20-96 | Implementation of Section 10A of the Securities Exchange Act of 1934 | ||
S7-11-96 | Anti-Manipulation Rules Concerning Securities Offerings; Corrections | ||
S7-11-97 | Investment Company Names | View Related Activity | |
S7-18-96 | Proposed New Disclosure Option for Open-End Management Investment Companies | ||
S7-10-97 | Registration Form Used by Open-End Management Investment Companies | View Related Activity | |
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
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S7-9-97 | Delayed Pricing for Certain Registrants | ||
S7-8-97 | Offshore Offers and Sales | ||
S7-07-97 | Revision of Rule 144, Rule 145 and Form 144 | ||
S7-17-95 | Revision of Holding Period Requirements in Rules 144 and 145 | ||
S7-12-95 | Exemption of Acquisition by Registered Public-Utility Holding Companies of Securities of Nonutility Companies Engaged in Certain Energy-Related and Gas-Related Activities; Exemption of Capital Contributions and Advances to Such Companies | ||
S7-6-97 | Definition of "Prepared By or On Behalf of the Issuer' for Purposes of Determining if an Offering Document is Subject to State Regulation | View Related Activity | |
S7-7-94 | Net Capital Rule | ||
S7-21-93 | Reporting Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934 | ||
S7-35-95 | Disclosure of Accounting Policies for Derivative Financial Instruments and Derivative Commodity Instruments and Disclosure of Quantitative and Qualitative Information About Market Risk Inherent in Derivative Financial Instruments, Other Financial Instruments, and Derivative Commodity Instruments | ||
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 | View Related Activity | |
S7-3-97 | Plain English Disclosure | View Related Activity | |
S7-27-96 | Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 | ||
S7-30-95 | Order Execution Obligations | ||
S7-30-95 | Order Execution Obligations |
Last Reviewed or Updated: July 22, 2024