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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Relief for Form ID Filers and Regulation Crowdfunding and Regulation A Issuers Related to Coronavirus Disease 2019 (COVID-19) | |||
S7-06-19 | Accelerated Filer and Large Accelerated Filer Definitions
Corporation Finance |
View Related Activity | |
S7-23-18 | Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
Investment Management |
View Related Activity | |
S7-05-20 | Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets
Corporation Finance |
View Related Activity | |
S7-19-18 | Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities
Corporation Finance |
View Related Activity | |
Exemptions From Investment Adviser Registration for Advisers to Certain Rural Business Investment Companies | |||
Delegation of Authority to the General Counsel of the Commission | |||
S7-03-20 | Market Data Infrastructure
Trading and Markets |
View Related Activity | |
Commission Guidance on Management's Discussion and Analysis of Financial Condition and Results of Operations
Corporation Finance |
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S7-01-20 | Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information
Corporation Finance |
View Related Activity | |
S7-02-20 | Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Trading and Markets, Investment Management |
View Related Activity | |
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
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S7-26-19 | Qualifications of Accountants
Investment Management |
View Related Activity | |
S7-25-19 | Accredited Investor Definition
Corporation Finance |
View Related Activity | |
S7-24-19 | Disclosure of Payments by Resource Extraction Issuers
Corporation Finance |
View Related Activity | |
S7-07-19 | Cross-Border Application of Certain Security-Based Swap Requirements
Trading and Markets |
View Related Activity | |
S7-28-18 | Risk Mitigation Techniques for Uncleared Security-Based Swaps
Trading and Markets |
View Related Activity | |
S7-24-15 | Use of Derivatives by Registered Investment Companies and Business Development Companies
Investment Management |
View Related Activity | |
S7-22-19 | Exemptions From the Proxy Rules for Proxy Voting Advice
Corporation Finance |
View Related Activity | |
S7-23-19 | Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8
Corporation Finance |
View Related Activity | |
S7-21-19 | Investment Adviser Marketing
Investment Management |
View Related Activity | |
S7-20-19 | Filing Fee Disclosure and Payment Methods Modernization
Corporation Finance, Economic and Risk Analysis |
View Related Activity | |
S7-19-19 | Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940
Investment Management |
View Related Activity | |
S7-15-19 | Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments and Modified Procedures for Proposed NMS Plans and Plan Amendments
Trading and Markets |
View Related Activity | |
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
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S7-14-19 | Publication or Submission of Quotations Without Specified Information
Trading and Markets |
View Related Activity | |
S7-14-19 | Publication or Submission of Quotations Without Specified Information
Trading and Markets |
View Related Activity | |
S7-15-18 | Exchange-Traded Funds
Investment Management |
View Related Activity | |
S7-01-19 | Solicitations of Interest Prior to a Registered Public Offering
Corporation Finance, Investment Management |
View Related Activity | |
S7-05-14 | Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers
Trading and Markets |
View Related Activity | |
S7-14-18 | Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Trading and Markets, Investment Management |
View Related Activity | |
S7-02-17 | Update of Statistical Disclosures for Bank and Savings and Loan Registrants
Corporation Finance |
View Related Activity | |
S7-09-17 | Amendments to the Commission's Freedom of Information Act Regulations
General Counsel |
View Related Activity | |
Commission Interpretation and Guidance Regarding the Applicability of the Proxy Rules to Proxy Voting Advice
Corporation Finance |
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S7-11-19 | Modernization of Regulation S-K Items 101, 103, and 105
Corporation Finance |
View Related Activity | |
S7-22-18 | Amendments to Rules for Nationally Recognized Statistical Rating Organizations
Credit Ratings |
View Related Activity | |
S7-08-17 | FAST Act Modernization and Simplification of Regulation S-K
Corporation Finance, Investment Management |
View Related Activity | |
S7-30-18 | Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds | View Related Activity | |
S7-09-19 | Customer Margin Rules Relating to Security Futures
Trading and Markets |
View Related Activity | |
S7-08-12 | Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers
Trading and Markets |
View Related Activity | |
S7-08-19 | Concept Release on Harmonization of Securities Offering Exemptions
Corporation Finance, Trading and Markets, Investment Management |
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S7-10-18 | Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships
Chief Accountant |
View Related Activity | |
S7-21-18 | Amendment to Single Issuer Exemption for Broker-Dealers
Trading and Markets |
View Related Activity | |
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
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Regulation Best Interest: The Broker-Dealer Standard of Conduct
Trading and Markets, Investment Management |
View Related Activity | ||
S7-07-18 | Commission Interpretation Regarding Standard of Conduct for Investment Advisers
Investment Management |
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S7-07-18 | Regulation Best Interest: The Broker-Dealer Standard of Conduct
Trading and Markets, Investment Management |
View Related Activity | |
S7-08-18 | Form CRS Relationship Summary; Amendments to Form ADV
Investment Management |
View Related Activity | |
S7-07-19 | Cross-Border Application of Certain Security-Based Swap Requirements
Trading and Markets |
View Related Activity | |
S7-06-19 | Accelerated Filer and Large Accelerated Filer Definitions
Corporation Finance |
View Related Activity | |
S7-05-19 | Amendments to Financial Disclosures About Acquired and Disposed Businesses
Chief Accountant, Corporation Finance, Investment Management |
View Related Activity | |
S7-14-16 | Disclosure of Order Handling Information
Trading and Markets |
View Related Activity | |
Public Company Accounting Oversight Board Hearing Officers |
Last Reviewed or Updated: Sept. 13, 2024