SEC.gov | 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.

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Last Reviewed or Updated: July 22, 2024

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Rulemaking Activity

Issue Date	File Number	Rulemaking	Status
Dec. 17, 1997	S7-32-97	OTC Derivatives Dealers; Correction	Concept Release Net Capital Rule 34-39456, 34-39704, 33-39455 View Related Activity
Dec. 17, 1997	S7-33-97	Capital Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934	Proposed Rule Capital Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934 34-39457
Dec. 17, 1997	S7-31-97	OTC Derivatives Dealers; Correction	Proposed Rule Net Capital Rule 34-39455, 34-39704, 34-39456 View Related Activity
Dec. 17, 1997	S7-30-97	OTC Derivatives Dealers; Correction	Proposed Rule OTC Derivatives Dealers 34-39454 View Related Activity
Dec. 2, 1997	S7-19-97	Update of Registration Form to Reflect Fee Rate Change for Registration of Certain Investment Company Securities	Final Rule Update of Registration Form to Reflect Fee Rate Change for Registration of Certain Investment Company Securities 33-7478, 33-7608 View Related Activity
Dec. 2, 1997	S7-29-96	Technical Revisions to the Rules and Forms Regulating Money Market Funds	Final Rule Technical Revisions to the Rules and Forms Regulating Money Market Funds 33-7479, 33-7371 View Related Activity
Nov. 17, 1997	S7-22-97	Equity Index Insurance Products	Concept Release Equity Index Insurance Products 33-7476 View Related Activity
Nov. 13, 1997	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	Proposed Rule Exemption for Investment Advisers Operating in Multiple States; Revisions to Rules Implementing Amendments to the Investment Advisers Act of 1940 IA-1681, IA-1733 View Related Activity
Nov. 13, 1997	S7-27-97	Delivery of Disclosure Documents to Households	Proposed Rule Delivery of Disclosure Documents to Households 33-7475, 33-7766 View Related Activity
Nov. 13, 1997	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	Proposed Rule Exemption To Allow Investment Advisers To Charge Fees Based Upon a Share of Capital Gains Upon or Capital Appreciation of a Client's Account IA-1682, IA-1731 View Related Activity
Oct. 24, 1997		Rule to Provide That the Commission Will Not Accept Paper Filings That are Required To Be Filed Electronically	Final Rule Rule to Provide That the Commission Will Not Accept Paper Filings That are Required To Be Filed Electronically 33-7472
Oct. 10, 1997	S7-26-96	Offshore Press Conferences, Meetings with Company Representatives Conducted Offshore and Press-Related Materials Released Offshore	Final Rule Offshore Press Conferences, Meetings with Company Representatives Conducted Offshore and Press-Related Materials Released Offshore 33-7470, 33-7356 View Related Activity
Oct. 1, 1997	S7-21-96	Lost Securityholders	Final Rule Lost Securityholders 34-39176, 34-37595 View Related Activity
Sept. 26, 1997	S7-24-96	Rule Amendments Relating to Multiple Class and Series Investment Companies	Final Rule Rule Amendments Relating to Multiple Class and Series Investment Companies IC-22835, IC-22203 View Related Activity
Sept. 19, 1997	S7-25-97	Amendments To Rules On Shareholder Proposals	Proposed Rule Amendments to Rules on Shareholder Proposals 34-39093, 34-40018 View Related Activity
Sept. 10, 1997	S7-19-97	Registration Under the Securities Act of 1933 of Certain Investment Company Securities	Final Rule Registration Under the Securities Act of 1933 of Certain Investment Company Securities 33-7448, 33-7430 View Related Activity
Sept. 3, 1997		Amendment of Rules Governing the Delegation of Authority to Regional Directors and the Director of the Division of Corporation Finance	Final Rule Amendment of Rules Governing the Delegation of Authority to Regional Directors and the Director of the Division of Corporation Finance 33-7445
Aug. 20, 1997	S7-22-97	Equity Index Insurance Products	Concept Release Equity Index Insurance Products 33-7438 View Related Activity
July 31, 1997	S7-7-96	Exemption for the Acquisition of Securities During the Existence of An Underwriting or Selling Syndicate	Final Rule Exemption for the Acquisition of Securities During the Existence of An Underwriting or Selling Syndicate IC-22775
July 29, 1997		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-7432, 34-38883, 35-26747, 39-2356, IC-22769
July 22, 1997	S7-16-97	Regulation of Exchanges	Concept Release Regulation of Exchanges 34-38860 View Related Activity
July 18, 1997	S7-15-96	Phase Two Recommendations of Task Force on Disclosure Simplification Effective Date: Sep. 2, 1997	Final Rule Phase Two Recommendations of Task Force on Disclosure Simplification Effective Date: Sep. 2, 1997 33-7431 Part 1, 33-7301 View Related Activity
July 18, 1997	S7-15-96	Phase Two Recommendations of Task Force on Disclosure Simplification Effective Date: Sep. 2, 1997	Final Rule Phase Two Recommendations of Task Force on Disclosure Simplification Effective Date: Sep. 2, 1997 33-7431 Part 2, 33-7301 View Related Activity
July 14, 1997	S7-19-97	Registration Under the Securities Act of 1933 of Certain Investment Company Securities	Proposed Rule Registration Under the Securities Act of 1933 of Certain Investment Company Securities 33-7430, 33-7448 View Related Activity
July 2, 1997	S7-18-97	Rulemaking for EDGAR System	Proposed Rule Rulemaking for EDGAR System 34-38800
July 1, 1997	S7-28-96	Rulemaking for the EDGAR System	Final Rule Rulemaking for the EDGAR System 33-7427
June 25, 1997		Amendments to Forms and Schedules to Remove Voluntary Provision of Social Security Numbers	Final Rule Amendments to Forms and Schedules to Remove Voluntary Provision of Social Security Numbers 33-7424
June 10, 1997	S7-17-97	Covered Securities Pursuant to Section 18 of the Securities Act of 1933	Proposed Rule Covered Securities Pursuant to Section 18 of the Securities Act of 1933 33-7422
May 23, 1997	S7-16-97	Regulation of Exchanges	Concept Release Regulation of Exchanges 34-38672 View Related Activity
May 15, 1997	S7-31-96	Rules Implementing Amendments to the Investment Advisers Act of 1940	Final Rule Rules Implementing Amendments to the Investment Advisers Act of 1940 IA-1633
May 12, 1997	S7-23-95	Custody of Investment Company Assets Outside the United States	Final Rule Custody of Investment Company Assets Outside the United States IC-22658
May 8, 1997	S7-23-96	Expansion of Short-Form Registration To Include Companies With Non-Voting Common Equity	Final Rule Expansion of Short-Form Registration To Include Companies With Non-Voting Common Equity 33-7419, 33-7326 View Related Activity
April 30, 1997	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	Final Rule Definition of "Prepared By or On Behalf of the Issuer' for Purposes of Determining if an Offering Document is Subject to State Regulation 33-7418, 33-7388 View Related Activity
April 3, 1997	S7-30-96	Privately Offered Investment Companies	Final Rule Privately Offered Investment Companies IC-22597
April 2, 1997		Adoption of Updated EDGAR Filer Manual; Correction and Further Delay of Implementation EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual; Correction and Further Delay of Implementation 33-7411, 34-38465, 35-26699, 39-2351, IC-22595
March 27, 1997		Informal Guidance Program for Small Entities	Final Rule Informal Guidance Program for Small Entities 33-7407
March 27, 1997	S7-14-97	Penalty-Reduction Policy for Small Entities	Final Rule Penalty-Reduction Policy for Small Entities 33-7408
March 24, 1997	S7-24-95	Status of Investment Advisory Programs Under the Investment Company Act of 1940	Final Rule Status of Investment Advisory Programs Under the Investment Company Act of 1940 IC-22579, IC-21260 View Related Activity
March 19, 1997		Adoption of Updated EDGAR Filer Manual; Correction and Delay of Implementation EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual; Correction and Delay of Implementation 33-7405, 34-38419, 35-26688, 39-2348, IC-22571
March 14, 1997	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	Proposed Rule 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 33-7404 View Related Activity

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