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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S7-32-96 | Securities Transactions Exempt From Transaction Fees | ||
S7-31-96 | Rules Implementing Amendments to the Investment Advisers Act of 1940 | ||
S7-12-96 | Odd-Lot Tender Offers by Issuers | View Related Activity | |
Suspension of Form ADV-S | |||
S7-11-96 | Anti-manipulation Rules Concerning Securities Offerings | ||
S7-30-96 | Private Investment Companies | ||
Revisions to Forms SB-1, SB-2, Regulation A and Regulation S-T With Regard to the Appropriate Place for Filing for Registrants in the Regions Covered by the Northeast, Southeast, Midwest, Central and Pacific Regional Offices | |||
S7-15-94 | Custody of Investment Company Assets With Futures Commission Merchants and Commodity Clearing Organizations | ||
S7-29-96 | Technical Revisions to the Rules and Forms Regulating Money Market Funds | View Related Activity | |
S7-28-96 | Rulemaking for the EDGAR System | ||
S7-30-95 | Order Execution Obligations | View Related Activity | |
Delegation of Authority to the General Counsel | |||
S7-27-96 | Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 | ||
S7-26-96 | Offshore Press Conferences, Meetings with Company Representatives Conducted Offshore and Press-Related Materials Released Offshore | View Related Activity | |
S7-19-95 | Periodic Reporting of Unregistered Equity Sales | ||
S7-19-95 | Streamlining Disclosure Requirements Relating to Significant Business Acquisitions | ||
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
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S7-14-96 | Changes Selected Rules in Order To Eliminate Fees Previously Adopted by the Commission Pursuant to the Independent Offices Appropriations Act of 1952 | ||
S7-19-96 | Securities Act Concepts and Their Effects on Capital Formation | View Related Activity | |
S7-24-96 | Rule Amendments Relating to Multiple Class and Series Investment Companies | View Related Activity | |
S7-2-96 | Technical Amendments to Rule Relating to Payments for the Distribution of Shares by a Registered Open-End Management Investment Company | ||
S7-8-95 | Exemption for Certain Open-End Management Investment Companies to Impose Deferred Sales Loads | ||
S7-30-95 | Order Execution Obligations | View Related Activity | |
S7-2-95 | Form BD Amendments | View Related Activity | |
S7-23-96 | Expansion of Short-Form Registration To Include Companies With Non-Voting Common Equity | View Related Activity | |
S7-22-96 | Proposed Quote Rule Amendment | ||
S7-21-96 | Lost Securityholders | View Related Activity | |
S7-20-96 | Proposed Rule: Implementation of Section 10A of the Securities Exchange Act of 1934 | ||
S7-34-93 | Revisions to Rules Regulating Money Market Funds | View Related Activity | |
S7-19-96 | Securities Act Concepts and Their Effects on Capital Formation | View Related Activity | |
S7-17-96 | Broker-Dealer Registration and Reporting | ||
S7-2-95 | Form BD Amendments | View Related Activity | |
S7-16-96 | Amendments to Beneficial Ownership Reporting Requirements | View Related Activity | |
S7-15-96 | Phase Two Recommendations of Task Force on Disclosure Simplification Effective Date: Sep. 2, 1997 | View Related Activity | |
S7-21-94 | Ownership Reports and Trading by Officers, Directors and Principal Security Holders | ||
S7-21-94 | Ownership Reports and Trading by Officers, Directors and Principal Security Holders | ||
Employee Benefit Plan Exemptive Rules Under Section 16 of the Securities Exchange Act of 1934 | |||
S7-6-96 | Phase One Recommendations of Task Force on Disclosure Simplification | ||
S7-13-96 | Use of Electronic Media by Broker-Dealers, Transfer Agents, and Investment Advisers for Delivery of Information; Additional Examples Under the Securities Act of 1933, Securities Exchange Act of 1934, and Investment Company Act of 1940 | ||
S7-31-95 | Use of Electronic Media for Delivery Purposes | View Related Activity | |
Delegation of Authority to Director of Division of Enforcement | |||
S7-15-95 | Exemption for Certain California Limited Issues | ||
S7-16-95 | Relief From Reporting by Small Issuers | ||
S7-12-96 | Odd-Lot Tender Offers by Issuers | View Related Activity | |
S7-11-96 | Trading Practices Rules Concerning Securities Offerings | ||
S7-35-95 | Proposed Amendments To Require Disclosure of Accounting Policies for Derivative Financial Instruments and Derivative Commodity Instruments and Disclosure of Qualitative and Quantitative Information About Market Risk Inherent in Derivative Financial Instruments, Other Financial Instruments, and Derivative Commodity Instruments | ||
S7-10-96 | Safe Harbor for Disclosure of Qualitative and Quantitative Information About Market Risk Inherent in Derivative Financial Instruments, Other Financial Instruments, and Derivative Commodity Instruments | ||
S7-40-92 | Correction: Rules of Practice (the Commission's procedural rules that govern administrative proceedings) | ||
S7-7-96 | Exemption for the Acquisition of Securities During the Existence of an Underwriting Syndicate | ||
S7-34-93 | Revisions to Rules Regulating Money Market Funds | View Related Activity | |
S7-34-95 | Exemption of the Securities of the Federative Republic of Brazil, the Republic of Argentina, and the Republic of Venezuela Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on those Securities | ||
Delegation of Authority to the Secretary of the Commission | View Related Activity | ||
S7-32-95 | Calculation of Yield by Certain Unit Investment Trusts | ||
S7-35-95 | Proposed amendments to require disclosure of accounting policies for derivatives Reference: Rel. Nos. 34-36643, IC-21625 | ||
Adoption of Updated EDGAR Filer Manual and Technical Rule Amendments
EDGAR Business Office |
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S7-26-95 | Exemption of the Securities of the United Mexican States Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities | ||
S7-32-95 | Calculation of Yield by Certain Unit Investment Trusts | ||
S7-31-95 | Use of Electronic Media for Delivery Purposes | View Related Activity | |
S7-23-95 | Custody of Investment Company Assets Outside the United States Extension of Comment Period | ||
S7-25-95 | Personal Investment Activities of Investment Company Personnel and Codes of Ethics of Investment Companies and Their Investment Advisers and Principal Underwriters | ||
Status of Investment Advisory Programs Under the Investment Company Act of 1940 | View Related Activity | ||
S7-23-95 | Custody of Investment Company Assets Outside the United States | ||
S7-22-94 | Payment for Investment Company Services With Brokerage Commissions |
Last Reviewed or Updated: July 22, 2024