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 |
|---|---|---|---|
| S7-20-88 | Amendments to Municipal Securities Disclosure | ||
| Applicability of the Investment Advisers Act to Financial Planners, Pension Consultants, and Other Persons Who Provide Investment Advisory Services as a Component of Other Financial Services | |||
| The Commission is adopting Rule 3a4-1 specifying a non--exclusive safe harbor under which persons associated with an issuer of securities who participate in sales of that issuer's securities will not be considered to be acting as "brokers" as that term is defined in the Securities Exchange Act of 1934. | |||
| Processing of Tender Offers within the National Clearance and SettlementSystem | |||
| Maintenance of Accurate Securityholder Files and safeguarding of Funds and Securities by Registered Transfer Agents | |||
| Applicability of the Investment Advisers Act to Financial Planners, Pension Consultants, and Other Persons Who Provide Investment Advisory Services as a Component of Other Financial Services | |||
| Regulation of Transfer Agents | View Related Activity | ||
| Securities Position Listing Rule | |||
| Division of Investment Management's Interpretive Positions Relating to Rule 13f-1 and Related Form 13F | |||
| S7-687 | Filing and Reporting Requirements Relating to Institutional lnvestment Managers | ||
| Regulation of Transfer Agents | View Related Activity | ||
| Adoption of Rule 15ba2-1, Related Form MSD, Rule 15ba2-2 and Temporary Rule 15ba2-3(T) Relating to the Registration Of Municipal Securities Dealers Under Section 15b(a) of the Securities Exchange Act of 1934; Adoption of Temporary Rule 15a-1 (T) Relating to the Registration Of Municipal Securities Brokers and Dealers Under Section 15 of the Act; and Delegation of Authority to the Staff of The Commission | |||
| Guidelines for Control Locations for Foreign Securities Pursuant to Subparagraphs (c)(4) and (c)(7) of Rule 15c3-3 Under the Securities Exchange Act of 1934 | |||
| Guidelines As to the Applicability of Federal Securities Laws to Offers and Sales of Condominiums or Units in a Real Estate Development | |||
| Multi-level Distributorships and Pyramid Sales Plans | |||
| Nonpublic Offering Exemption | |||
| Statement of the Commission as to the applicability of theFederal securities laws to real estate investment trusts |
Last Reviewed or Updated: June 28, 2024