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
Regulation Best Interest: The Broker-Dealer Standard of Conduct
Trading and Markets, Investment Management
Interpretive Release
Commission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion From the Definition of Investment Adviser
IA-5249
View Related Activity
S7-07-18 Commission Interpretation Regarding Standard of Conduct for Investment Advisers
Investment Management
Interpretive Release
Commission Interpretation Regarding Standard of Conduct for Investment Advisers
IA-5248
S7-07-18 Regulation Best Interest: The Broker-Dealer Standard of Conduct
Trading and Markets, Investment Management
Final Rule
Regulation Best Interest: The Broker-Dealer Standard of Conduct
34-86031
View Related Activity
S7-07-18 Regulation Best Interest: The Broker-Dealer Standard of Conduct
Trading and Markets, Investment Management
Proposed Rule
Regulation Best Interest
34-83062
View Related Activity
Displaying 1 - 4 of 4

Last Reviewed or Updated: Sept. 13, 2024