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
S7-19-11 Privacy Act of 1974: Implementation and Amendment of Exemptions
Information Technology
Final Rule
Privacy Act of 1974: Implementation and Amendment of Exemptions
View Related Activity
Amendments To Include New Applicant Types on Form ID
Final Rule
Amendments To Include New Applicant Types on Form ID
S7-35-11 Treatment of Asset-Backed Issuers Under the Investment Company Act
Investment Management
Concept Release
Treatment of Asset-Backed Issuers Under the Investment Company Act
S7-34-11 Companies Engaged in the Business of Acquiring Mortgages and Mortgage-Related Instruments
Investment Management
Concept Release
Companies Engaged in the Business of Acquiring Mortgages and Mortgage-Related Instruments
S7-33-11 Use of Derivatives by Investment Companies Under the Investment Company Act of 1940
Investment Management
Concept Release
Use of Derivatives by Investment Companies Under the Investment Company Act of 1940
S7-24-10 Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Corporation Finance
Final Rule
Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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S7-02-11 Suspension of the Duty To File Reports for Classes of Asset-Backed Securities Under Section 15(D) of the Securities Exchange Act of 1934
Corporation Finance
Final Rule
Suspension of the Duty To File Reports for Classes of Asset-Backed Securities Under Section 15(D) of the Securities Exchange Act of 1934
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S7-31-11 Covered Securities of Bats Exchange, Inc.
Trading and Markets
Proposed Rule
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
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Commission Rules and Forms Related to the FASB's Accounting Standards Codification
Final Rule
Commission Rules and Forms Related to the FASB's Accounting Standards Codification
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
S7-18-08 Security Ratings
Corporation Finance, Investment Management, Trading and Markets
Final Rule
Security Ratings
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S7-10-10 Large Trader Reporting
Trading and Markets
Final Rule
Large Trader Reporting
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S7-08-10 Asset-Backed Securities Disclosure and Registration
Corporation Finance
Proposed Rule
Re-Proposal of Shelf Eligibility Conditions for Asset-Backed Securities
View Related Activity
Technical Amendment to Commission Procedures for Filing Applications for Orders for Exemptive Relief Under Section 36 of the Exchange Act
Final Rule
Technical Amendment to Commission Procedures for Filing Applications for Orders for Exemptive Relief Under Section 36 of the Exchange Act
S7-30-11 Retail Foreign Exchange Transactions
Trading and Markets
Interim Final Rule
Retail Foreign Exchange Transactions
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S7-29-11 Amendment to Rule Filing Requirements for Dually-Registered Clearing Agencies
Trading and Markets
Interim Final Rule
Amendment to Rule Filing Requirements for Dually-Registered Clearing Agencies
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S7-02-09 Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps
Corporation Finance
Interim Final Rule
Extension of Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps
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S7-26-11 Exemptions for Security-Based Swaps
Corporation Finance
Interim Final Rule
Exemptions for Security-Based Swaps
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Delegation of Authority to the Director of Its Division of Enforcement
Final Rule
Delegation of Authority to the Director of Its Division of Enforcement
S7-25-11 Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
Trading and Markets
Proposed Rule
Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
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S7-03-10 Risk Management Controls for Brokers or Dealers With Market Access
Trading and Markets
Final Rule
Risk Management Controls for Brokers or Dealers With Market Access
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S7-25-10 Family Offices
Investment Management
Final Rule
Family Offices
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S7-36-10 Rules Implementing Amendments to the Investment Advisers Act of 1940
Investment Management
Final Rule
Rules Implementing Amendments to the Investment Advisers Act of 1940
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S7-37-10 Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers
Investment Management
Final Rule
Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers
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S7-23-11 Broker-Dealer Reports
Trading and Markets
Proposed Rule
Broker-Dealer Reports
View Related Activity
Delegation of Authority to the Director of Its Division of Enforcement
Final Rule
Delegation of Authority to the Director of Its Division of Enforcement
S7-22-11 Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies
Corporation Finance
Proposed Rule
Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies
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S7-10-11 Beneficial Ownership Reporting Requirements and Security-Based Swaps
Corporation Finance
Final Rule
Beneficial Ownership Reporting Requirements and Security-Based Swaps
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S7-14-11 Credit Risk Retention
Corporation Finance
Proposed Rule
Credit Risk Retention
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S7-16-11 Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
Trading and Markets
Proposed Rule
Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
View Related Activity
S7-21-11 Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings
Corporation Finance
Proposed Rule
Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings
View Related Activity
S7-33-10 Securities Whistleblower Incentives and Protections
Final Rule
Securities Whistleblower Incentives and Protections
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S7-19-11 Privacy Act of 1974: Implementation and Amendment of Exemptions
Information Technology
Proposed Rule
Privacy Act of 1974: Implementation and Amendment of Exemptions
View Related Activity
S7-18-11 Nationally Recognized Statistical Rating Organizations
Trading and Markets
Proposed Rule
Nationally Recognized Statistical Rating Organizations
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Amendment to Procedures for Holding Funds in Dormant Filing Fee Accounts
Final Rule
Amendment to Procedures for Holding Funds in Dormant Filing Fee Accounts
S7-17-11 Investment Adviser Performance Compensation
Investment Management
Proposed Rule
Investment Adviser Performance Compensation
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S7-16-11 Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
Trading and Markets
Proposed Rule
Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
View Related Activity
S7-13-11 Listing Standards for Compensation Committees
Corporation Finance
Proposed Rule
Listing Standards for Compensation Committees
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S7-15-11 Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934
Trading and Markets
Proposed Rule
Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934
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Technical Amendment to Rule 19b-4: Filings With Respect to Proposed Rule Changes by Self-Regulatory Organizations
Final Rule
Technical Amendment to Rule 19b-4: Filings With Respect to Proposed Rule Changes by Self-Regulatory Organizations
Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
Final Rule
Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
S7-14-11 Credit Risk Retention
Corporation Finance
Proposed Rule
Credit Risk Retention
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S7-13-11 Listing Standards for Compensation Committees
Corporation Finance
Proposed Rule
Listing Standards for Compensation Committees
View Related Activity
S7-12-11 Incentive-Based Compensation Arrangements
Investment Management, Trading and Markets
Proposed Rule
Incentive-Based Compensation Arrangements
S7-11-11 Lost Securityholders and Unresponsive Payees
Trading and Markets
Proposed Rule
Rule 17Ad-17; Transfer Agents', Brokers', and Dealers' Obligation To Search for Lost Securityholders; Paying Agents' Obligation To Search for Missing Securityholders
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S7-10-11 Beneficial Ownership Reporting Requirements and Security-Based Swaps
Corporation Finance
Proposed Rule
Beneficial Ownership Reporting Requirements and Security-Based Swaps
View Related Activity
S7-07-11 Purchase of Certain Debt Securities by Business and Industrial Development Companies Relying on an Investment Company Act Exemption
Investment Management
Proposed Rule
References to Credit Ratings in Certain Investment Company Act Rules and Forms
View Related Activity
S7-27-10 Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges With Respect to Security-Based Swaps Under Regulation MC
Trading and Markets
Proposed Rule
Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges With Respect to Security-Based Swaps Under Regulation MC
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Technical Amendments to Rule 17a-8: Financial Recordkeeping and Reporting of Currency and Foreign Transactions
Final Rule
Technical Amendments to Rule 17a-8: Financial Recordkeeping and Reporting of Currency and Foreign Transactions
S7-18-08 Security Ratings
Corporation Finance, Investment Management, Trading and Markets
Proposed Rule
Security Ratings
View Related Activity
S7-06-11 Registration and Regulation of Security-Based Swap Execution Facilities
Trading and Markets
Proposed Rule
Registration and Regulation of Security-Based Swap Execution Facilities
View Related Activity
S7-42-10 Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
Proposed Rule
Disclosure of Payments by Resource Extraction Issuers
View Related Activity
S7-40-10 Conflict Minerals
Corporation Finance
Proposed Rule
Conflict Minerals
View Related Activity
S7-05-11 Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
Investment Management
Proposed Rule
Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
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S7-04-11 Net Worth Standard for Accredited Investors
Corporation Finance
Proposed Rule
Net Worth Standard for Accredited Investors
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S7-31-10 Shareholder Approval of Executive Compensation and Golden Parachute Compensation
Corporation Finance
Final Rule
Shareholder Approval of Executive Compensation and Golden Parachute Compensation
View Related Activity
S7-24-10 Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Corporation Finance
Final Rule
Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
View Related Activity
S7-26-10 Issuer Review of Assets in Offerings of Asset-Backed Securities
Corporation Finance
Final Rule
Issuer Review of Assets in Offerings of Asset-Backed Securities
View Related Activity
S7-03-11 Trade Acknowledgment and Verification of Security-Based Swap Transactions
Trading and Markets
Proposed Rule
Trade Acknowledgment and Verification of Security-Based Swap Transactions
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Rules of Practice
Final Rule
Rules of Practice
Delegation of Authority to the Chief Accountant
Final Rule
Delegation of Authority to the Chief Accountant
S7-02-11 Suspension of the Duty To File Reports for Classes of Asset-Backed Securities Under Section 15(D) of the Securities Exchange Act of 1934
Corporation Finance
Proposed Rule
Suspension of the Duty To File Reports for Classes of Asset-Backed Securities Under Section 15(d) of the Securities Exchange Act of 1934
View Related Activity
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
S7-23-07 Principal Trades with Certain Advisory Clients
Final Rule
Principal Trades with Certain Advisory Clients
View Related Activity
S7-10-00 Amendments to Form ADV
Final Rule
Amendments To Form ADV; Extension of Compliance Date
View Related Activity
S7-45-10 Registration of Municipal Advisors (Corrected to conform to Federal Register version)
Municipal Securities
Proposed Rule
Registration of Municipal Advisors
View Related Activity
S7-18-10 Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
Corporation Finance
Final Rule
Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
View Related Activity
S7-43-10 End-User Exception to Mandatory Clearing of Security-Based Swaps
Trading and Markets
Proposed Rule
End-User Exception to Mandatory Clearing of Security-Based Swaps
View Related Activity
S7-42-10 Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
Proposed Rule
Disclosure of Payments by Resource Extraction Issuers
View Related Activity
S7-40-10 Conflict Minerals
Corporation Finance
Proposed Rule
Conflict Minerals
View Related Activity
S7-41-10 Mine Safety Disclosure
Corporation Finance
Proposed Rule
Mine Safety Disclosure
View Related Activity

Last Reviewed or Updated: Sept. 13, 2024