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.

Issue Date File Number Rulemaking Status
S7-18-97 Rulemaking for EDGAR System
Final Rule
Rulemaking for EDGAR System
34-40934, IC-23640
S7-31-96, S7-7-86 Technical Amendments Under the Investment Advisers Act of 1940
Final Rule
Technical Amendments Under the Investment Advisers Act of 1940
IA-1780
S7-28-97 Technical Changes to Schedule I to Form ADV
Final Rule
Technical Changes to Schedule I to Form ADV
IA-1733A
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S7-17-98 Segment Reporting
Final Rule
Segment Reporting
33-7620, 33-7549
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S7-12-98 Regulation of Exchanges and Alternative Trading Systems
Final Rule
Regulation of Exchanges and Alternative Trading Systems
34-40760, 34-39884
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S7-13-98 Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products
Final Rule
Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products
34-40761
S7-30-97 OTC Derivatives Dealers; Correction
Final Rule
OTC Derivatives Dealers; Correction
34-40594a, 34-39454, 34-39455, 34-39456, 34-39704, 34-40594
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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
33-7608, 33-7478
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S7-23-98 Rules of Practice
Final Rule
Rules of Practice
34-40636
S7-7-98 Reports To Be Made by Certain Brokers and Dealers
Final Rule
Reports To Be Made by Certain Brokers and Dealers
34-40608
S7-30-97 OTC Derivatives Dealers
Final Rule
OTC Derivatives Dealers
34-40594
S7-8-98 Year 2000 Readiness Reports To Be Made by Certain Non-Bank Transfer Agents
Final Rule
Year 2000 Readiness Reports To Be Made by Certain Non-Bank Transfer Agents
34-40587
S7-16-98 Amendment to Rule 102(e) of the Commission's Rules of Practice
Final Rule
Amendment to Rule 102(e) of the Commission's Rules of Practice
33-7593
S7-20-98 Investment Adviser Year 2000 Reports
Final Rule
Investment Adviser Year 2000 Reports
IA-1769, IA-1728
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S7-8-98 Year 2000 Readiness Reports To Be Made by Certain Transfer Agents Correction
Final Rule
Year 2000 Readiness Reports To Be Made by Certain Transfer Agents Correction
34-40163A
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
Final Rule
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
IA-1733, IA-1681
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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
Final 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-1731, IA-1682
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S7-7-98 Reports to be Made by Certain Brokers and Dealers
Final Rule
Reports to be Made by Certain Brokers and Dealers
34-40162
S7-8-98 Year 2000 Readiness Reports To Be Made by Certain Transfer Agents
Final Rule
Year 2000 Readiness Reports To Be Made by Certain Transfer Agents
34-40163, 34-40165
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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
Final 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
33-7548
S7-25-97 Amendments To Rules On Shareholder Proposals
Final Rule
Amendments To Rules On Shareholder Proposals
34-40018, 34-39093
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S7-23-95 Custody of Investment Company Assets Outside the United States
Final Rule
Custody of Investment Company Assets Outside the United States
IC-23201
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-7539
S7-10-97 Registration Form Used by Open-End Management Investment Companies
Final Rule
Registration Form Used by Open-End Management Investment Companies
33-7512f, 33-7398, 33-7512r
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S7-10-97 Registration Form Used by Open-End Management Investment Companies
Final Rule
Registration Form Used by Open-End Management Investment Companies
33-7512r, 33-7398, 33-7512f
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S7-18-96 New Disclosure Option for Open-End Management Investment Companies
Final Rule
New Disclosure Option for Open-End Management Investment Companies
33-7513
S7-11-95 Exemption of Issuance and Sale of Securities by Public Utility and Nonutility Subsidiary Companies of Registered Public Utility Holding Companies; Rescission of Statements of Policy
Final Rule
Exemption of Issuance and Sale of Securities by Public Utility and Nonutility Subsidiary Companies of Registered Public Utility Holding Companies; Rescission of Statements of Policy
35-26826, 35-26312
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Offshore Offers and Sales (Regulation S) Effective Date: 60 days after publication in Federal Register .
Final Rule
Offshore Offers and Sales (Regulation S) Effective Date: 60 days after publication in Federal Register .
33-7505 Part 1, 33-7505 Part 2
Offshore Offers and Sales (Regulation S) Effective Date: 60 days after publication in Federal Register .
Final Rule
Offshore Offers and Sales (Regulation S) Effective Date: 60 days after publication in Federal Register .
33-7505 Part 2, 33-7505 Part 1
Delegation of Authority to the Director of the Division of Market Regulation
Final Rule
Delegation of Authority to the Director of the Division of Market Regulation
34-39627
Commission Procedures for Filing Applications for Orders for Exemptive Relief Pursuant to Section 36 of the Exchange Act
Final Rule
Commission Procedures for Filing Applications for Orders for Exemptive Relief Pursuant to Section 36 of the Exchange Act
34-39624
S7-3-97 Plain English Disclosure
Final Rule
Plain English Disclosure
33-7497, 34-38164
View Related Activity
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-7495
S7-17-97 Covered Securities Pursuant to Section 18 of the Securities Act of 1933
Final Rule
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
33-7494
S7-16-96 Amendments to Beneficial Ownership Reporting Requirements
Final Rule
Amendments to Beneficial Ownership Reporting Requirements
34-39538, 34-37403
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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
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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
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
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
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S7-21-96 Lost Securityholders
Final Rule
Lost Securityholders
34-39176, 34-37595
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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
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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
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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
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
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
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
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
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S7-28-96 Rulemaking for the EDGAR System
Final Rule
Rulemaking for the EDGAR System
33-7427
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
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
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
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
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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
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S7-30-96 Privately Offered Investment Companies
Final Rule
Privately Offered Investment Companies
IC-22597
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
Informal Guidance Program for Small Entities
Final Rule
Informal Guidance Program for Small Entities
33-7407
S7-14-97 Penalty-Reduction Policy for Small Entities
Final Rule
Penalty-Reduction Policy for Small Entities
33-7408
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
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Last Reviewed or Updated: Sept. 13, 2024