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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S7-19-11 | Privacy Act of 1974: Implementation and Amendment of Exemptions
Information Technology |
View Related Activity | |
Amendments To Include New Applicant Types on Form ID | |||
S7-35-11 | Treatment of Asset-Backed Issuers Under the Investment Company Act
Investment Management |
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S7-34-11 | Companies Engaged in the Business of Acquiring Mortgages and Mortgage-Related Instruments
Investment Management |
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S7-33-11 | Use of Derivatives by Investment Companies Under the Investment Company Act of 1940
Investment Management |
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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 |
View Related Activity | |
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 |
View Related Activity | |
S7-31-11 | Covered Securities of Bats Exchange, Inc.
Trading and Markets |
View Related Activity | |
Commission Rules and Forms Related to the FASB's Accounting Standards Codification | |||
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
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S7-18-08 | Security Ratings
Corporation Finance, Investment Management, Trading and Markets |
View Related Activity | |
S7-10-10 | Large Trader Reporting
Trading and Markets |
View Related Activity | |
S7-08-10 | Asset-Backed Securities Disclosure and Registration
Corporation Finance |
View Related Activity | |
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 |
View Related Activity | |
S7-29-11 | Amendment to Rule Filing Requirements for Dually-Registered Clearing Agencies
Trading and Markets |
View Related Activity | |
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 |
View Related Activity | |
S7-26-11 | Exemptions for Security-Based Swaps
Corporation Finance |
View Related Activity | |
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 |
View Related Activity | |
S7-03-10 | Risk Management Controls for Brokers or Dealers With Market Access
Trading and Markets |
View Related Activity | |
S7-25-10 | Family Offices
Investment Management |
View Related Activity | |
S7-36-10 | Rules Implementing Amendments to the Investment Advisers Act of 1940
Investment Management |
View Related Activity | |
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 |
View Related Activity | |
S7-23-11 | Broker-Dealer Reports
Trading and Markets |
View Related Activity | |
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 |
View Related Activity | |
S7-10-11 | Beneficial Ownership Reporting Requirements and Security-Based Swaps
Corporation Finance |
View Related Activity | |
S7-14-11 | Credit Risk Retention
Corporation Finance |
View Related Activity | |
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 |
View Related Activity | |
S7-21-11 | Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings
Corporation Finance |
View Related Activity | |
S7-33-10 | Securities Whistleblower Incentives and Protections | View Related Activity | |
S7-19-11 | Privacy Act of 1974: Implementation and Amendment of Exemptions
Information Technology |
View Related Activity | |
S7-18-11 | Nationally Recognized Statistical Rating Organizations
Trading and Markets |
View Related Activity | |
Amendment to Procedures for Holding Funds in Dormant Filing Fee Accounts | |||
S7-17-11 | Investment Adviser Performance Compensation
Investment Management |
View Related Activity | |
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 |
View Related Activity | |
S7-13-11 | Listing Standards for Compensation Committees
Corporation Finance |
View Related Activity | |
S7-15-11 | Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934
Trading and Markets |
View Related Activity | |
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 | |||
S7-14-11 | Credit Risk Retention
Corporation Finance |
View Related Activity | |
S7-13-11 | Listing Standards for Compensation Committees
Corporation Finance |
View Related Activity | |
S7-12-11 | Incentive-Based Compensation Arrangements
Investment Management, Trading and Markets |
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S7-11-11 | Lost Securityholders and Unresponsive Payees
Trading and Markets |
View Related Activity | |
S7-10-11 | Beneficial Ownership Reporting Requirements and Security-Based Swaps
Corporation Finance |
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 |
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 |
View Related Activity | |
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 |
View Related Activity | |
S7-06-11 | Registration and Regulation of Security-Based Swap Execution Facilities
Trading and Markets |
View Related Activity | |
S7-42-10 | Disclosure of Payments by Resource Extraction Issuers
Corporation Finance |
View Related Activity | |
S7-40-10 | Conflict Minerals
Corporation Finance |
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 |
View Related Activity | |
S7-04-11 | Net Worth Standard for Accredited Investors
Corporation Finance |
View Related Activity | |
S7-31-10 | Shareholder Approval of Executive Compensation and Golden Parachute Compensation
Corporation Finance |
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 |
View Related Activity | |
S7-26-10 | Issuer Review of Assets in Offerings of Asset-Backed Securities
Corporation Finance |
View Related Activity | |
S7-03-11 | Trade Acknowledgment and Verification of Security-Based Swap Transactions
Trading and Markets |
View Related Activity | |
Rules of Practice | |||
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 |
View Related Activity | |
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
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S7-23-07 | Principal Trades with Certain Advisory Clients | View Related Activity | |
S7-10-00 | Amendments to Form ADV | View Related Activity | |
S7-45-10 | Registration of Municipal Advisors (Corrected to conform to Federal Register version)
Municipal Securities |
View Related Activity | |
S7-18-10 | Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
Corporation Finance |
View Related Activity | |
S7-43-10 | End-User Exception to Mandatory Clearing of Security-Based Swaps
Trading and Markets |
View Related Activity | |
S7-42-10 | Disclosure of Payments by Resource Extraction Issuers
Corporation Finance |
View Related Activity | |
S7-40-10 | Conflict Minerals
Corporation Finance |
View Related Activity | |
S7-41-10 | Mine Safety Disclosure
Corporation Finance |
View Related Activity |
Last Reviewed or Updated: Sept. 13, 2024