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.
Rulemaking Activity Table
Issue Date
|
File Number
|
Rulemaking
|
Status
|
---|---|---|---|
Issue Date: | File Number:S7-14-19 |
Rulemaking:Publication or Submission of Quotations Without Specified Information
Trading and Markets
|
Status:
Concept
Release
Publication or Submission of Quotations Without Specified Information
34-87115,
33-10842
|
Issue Date: | File Number:S7-08-19 |
Rulemaking:Concept Release on Harmonization of Securities Offering Exemptions
Corporation Finance, Trading and Markets, Investment Management
|
Status:
Concept
Release
Concept Release on Harmonization of Securities Offering Exemptions
33-10649,
34-86129,
IA-5256,
IC-33512
|
Issue Date: | File Number:S7-18-18 |
Rulemaking:Concept Release on Compensatory Securities Offerings and Sales
Corporation Finance
|
Status:
Concept
Release
Concept Release on Compensatory Securities Offerings and Sales
33-10521
|
Issue Date: | File Number:S7-06-16 |
Rulemaking:Business and Financial Disclosure Required by Regulation S-K
Corporation Finance
|
Status:
Concept
Release
Business and Financial Disclosure Required by Regulation S-K
33-10064,
34-77599
|
Issue Date: | File Number:S7-27-15 |
Rulemaking:Transfer Agent Regulations; Extension of Comment Period
Trading and Markets
|
Status:
Concept
Release
Transfer Agent Regulations
34-76743
|
Issue Date: | File Number:S7-13-15 |
Rulemaking:Possible Revisions To Audit Committee Disclosures
Chief Accountant, Corporation Finance
|
Status:
Concept
Release
Possible Revisions To Audit Committee Disclosures
33-9862,
34-75344
|
Issue Date: | File Number:S7-35-11 |
Rulemaking:Treatment of Asset-Backed Issuers Under the Investment Company Act
Investment Management
|
Status:
Concept
Release
Treatment of Asset-Backed Issuers Under the Investment Company Act
IC-29779
|
Issue Date: | File Number:S7-34-11 |
Rulemaking:Companies Engaged in the Business of Acquiring Mortgages and Mortgage-Related Instruments
Investment Management
|
Status:
Concept
Release
Companies Engaged in the Business of Acquiring Mortgages and Mortgage-Related Instruments
IC-29778
|
Issue Date: | File Number:S7-33-11 |
Rulemaking:Use of Derivatives by Investment Companies Under the Investment Company Act of 1940
Investment Management
|
Status:
Concept
Release
Use of Derivatives by Investment Companies Under the Investment Company Act of 1940
IC-29776
|
Issue Date: | File Number:S7-16-10 |
Rulemaking:Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act
Trading and Markets
|
Status:
Concept
Release
Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act
34-62717
|
Issue Date: | File Number:S7-14-10 |
Rulemaking:Concept Release on the U.S. Proxy System
Corporation Finance
|
Status:
Concept
Release
Concept Release on the U.S. Proxy System
34-62495,
IA-3052,
IC-29340
|
Issue Date: | File Number:S7-02-10 |
Rulemaking:Concept Release on Equity Market Structure
Trading and Markets
|
Status:
Concept
Release
Concept Release on Equity Market Structure
34-61358
|
Issue Date: | File Number:S7-25-09 |
Rulemaking:Concept Release on Possible Rescission of Rule 436(g) Under The Securities Act of 1933
Corporation Finance
|
Status:
Concept
Release
Concept Release on Possible Rescission of Rule 436(g) Under the Securities Act of 1933
33-9071A
|
Issue Date: | File Number:S7-25-09 |
Rulemaking:Concept Release on Possible Rescission of Rule 436(g) Under The Securities Act of 1933
Corporation Finance
|
Status:
Concept
Release
Concept Release on Possible Rescission of Rule 436(g) Under The Securities Act of 1933
33-9071
|
Issue Date: | File Number:S7-29-07 | Rulemaking:Concept Release on Possible Revisions to the Disclosure Requirements Relating to Oil and Gas Reserves |
Status:
Concept
Release
Concept Release on Possible Revisions to the Disclosure Requirements Relating to Oil and Gas Reserves
33-8870,
34-56945
|
Issue Date: | File Number:S7-27-07 | Rulemaking:Concept Release on Mechanisms To Access Disclosures Relating to Business Activities in or With Countries Designated as State Sponsors of Terrorism |
Status:
Concept
Release
Concept Release on Mechanisms To Access Disclosures Relating to Business Activities in or With Countries Designated as State Sponsors of Terrorism
33-8860
|
Issue Date: | File Number:S7-20-07 | Rulemaking:Concept Release on Allowing U.S. Issuers To Prepare Financial Statements in Accordance With International Financial Reporting Standards |
Status:
Concept
Release
Concept Release on Allowing U.S. Issuers to Prepare Financial Statements in Accordance With International Financial Reporting Standards
33-8831A,
34-56217A,
IC-27924A
|
Issue Date: | File Number:S7-20-07 | Rulemaking:Concept Release on Allowing U.S. Issuers To Prepare Financial Statements in Accordance With International Financial Reporting Standards |
Status:
Concept
Release
Concept Release on Allowing U.S. Issuers To Prepare Financial Statements in Accordance With International Financial Reporting Standards
33-8831,
34-56217,
IC-27924
|
Issue Date: | File Number:S7-11-06 | Rulemaking:Concept Release Concerning Management's Reports on Internal Control Over Financial Reporting |
Status:
Concept
Release
Concept Release Concerning Management's Reports on Internal Control Over Financial Reporting
34-54122
|
Issue Date: | File Number:S7-40-04 | Rulemaking:Concept Release Concerning Self-Regulation |
Status:
Concept
Release
Concept Release Concerning Self-Regulation
34-50700
|
Issue Date: | File Number:S7-36-04 | Rulemaking:Enhancing Commission Filings Through the Use of Tagged Data |
Status:
Concept
Release
Enhancing Commission Filings Through the Use of Tagged Data
33-8497,
34-50454,
35-27895,
39-2429,
IC-26623
|
Issue Date: | File Number:S7-13-04 | Rulemaking:Securities Transactions Settlement |
Status:
Concept
Release
Securities Transactions Settlement
33-8398
|
Issue Date: | File Number:S7-07-04 | Rulemaking:Competitive Developments in the Options Markets |
Status:
Concept
Release
Competitive Developments in the Options Markets
34-49175
|
Issue Date: | File Number:S7-30-03 | Rulemaking:Interagency Proposal to Consider Alternative Forms of Privacy Notices Under the Gramm-Leach-Bliley Act |
Status:
Concept
Release
Interagency Proposal to Consider Alternative Forms of Privacy Notices Under the Gramm-Leach-Bliley Act
34-48966
|
Issue Date: | File Number:S7-29-03 | Rulemaking:Request for Comments on Measures To Improve Disclosure of Mutual Fund Transaction Costs |
Status:
Concept
Release
Request for Comments on Measures To Improve Disclosure of Mutual Fund Transaction Costs
33-8349
|
Issue Date: | File Number:S7-12-03 | Rulemaking:Rating Agencies and the Use of Credit Ratings Under the Federal Securities Laws |
Status:
Concept
Release
Rating Agencies and the Use of Credit Ratings Under the Federal Securities Laws
33-8236
|
Issue Date: | File Number:S7-11-03 | Rulemaking:Request for Comment on Nasdaq Petition Relating to the Regulation of Nasdaq-Listed Securities |
Status:
Concept
Release
Request for Comment on Nasdaq Petition Relating to the Regulation of Nasdaq-Listed Securities
34-47849
|
Issue Date: | File Number:S7-07-03 | Rulemaking:Request for Comment on the NYSE Petition Relating to Participant Fee Exemptions |
Status:
Concept
Release
Request for Comment on the NYSE Petition Relating to Participant Fee Exemptions
34-47571
|
Issue Date: | File Number:S7-32-02 | Rulemaking:Draft Interagency White Paper on Sound Practices to Strengthen the Resilience of the U.S. Financial System |
Status:
Concept
Release
Draft Interagency White Paper on Sound Practices to Strengthen the Resilience of the U.S. Financial System
34-46432
|
Issue Date: | File Number:S7-15-02 | Rulemaking:Interagency White Paper on Structural Change in the Settlement of Government Securities: Issues and Options |
Status:
Concept
Release
Interagency White Paper on Structural Change in the Settlement of Government Securities: Issues and Options
34-45879
|
Issue Date: | File Number:S7-20-01 | Rulemaking:Actively Managed Exchange-Traded Funds |
Status:
Concept
Release
Actively Managed Exchange-Traded Funds
IC-25258
|
Issue Date: | File Number:S7-14-01 | Rulemaking:Request for Comment on the Effects of Decimal Trading in Subpennies; Extension of Comment Period |
Status:
Concept
Release
Request for Comment on the Effects of Decimal Trading in Subpennies; Extension of Comment Period
34-44845
|
Issue Date: | File Number:S7-14-01 | Rulemaking:Request for Comment on the Effects of Decimal Trading in Subpennies |
Status:
Concept
Release
Request for Comment on the Effects of Decimal Trading in Subpennies
34-44568
|
Issue Date: | File Number:S7-04-00 | Rulemaking:International Accounting Standards |
Status:
Concept
Release
International Accounting Standards
33-7801,
34-42430,
International Series Release No. 1215
|
Issue Date: | File Number:S7-30-99 | Rulemaking:Registered Public-Utility Holding Companies and Internationalization |
Status:
Concept
Release
Registered Public-Utility Holding Companies and Internationalization
35-27110
|
Issue Date: | File Number:S7-28-99 | Rulemaking:Regulation of Market Information Fees and Revenues |
Status:
Concept
Release
Regulation of Market Information Fees and Revenues
34-42208
|
Issue Date: | File Number:S7-24-99 | Rulemaking:Short Sales |
Status:
Concept
Release
Short Sales
34-42037
|
Issue Date: | File Number:S7-30-97, S7-31-97, S7-32-97 | Rulemaking:OTC Derivatives Dealers; Correction |
Status:
Concept
Release
OTC Derivatives Dealers, Net Capital Rule
34-39704,
34-39454,
34-39455,
34-39456
|
Issue Date: | File Number:S7-32-97 | Rulemaking:OTC Derivatives Dealers; Correction |
Status:
Concept
Release
Net Capital Rule
34-39456,
34-39704,
33-39455
|
Issue Date: | File Number:S7-22-97 | Rulemaking:Equity Index Insurance Products |
Status:
Concept
Release
Equity Index Insurance Products
33-7476
|
Issue Date: | File Number:S7-22-97 | Rulemaking:Equity Index Insurance Products |
Status:
Concept
Release
Equity Index Insurance Products
33-7438
|
Issue Date: | File Number:S7-16-97 | Rulemaking:Regulation of Exchanges |
Status:
Concept
Release
Regulation of Exchanges
34-38860
|
Issue Date: | File Number:S7-16-97 | Rulemaking:Regulation of Exchanges |
Status:
Concept
Release
Regulation of Exchanges
34-38672
|
Issue Date: | File Number:S7-19-96 | Rulemaking:Securities Act Concepts and Their Effects on Capital Formation |
Status:
Concept
Release
Securities Act Concepts and Their Effects on Capital Formation
33-7329,
33-7314
|
Issue Date: | File Number:S7-19-96 | Rulemaking:Securities Act Concepts and Their Effects on Capital Formation |
Status:
Concept
Release
Securities Act Concepts and Their Effects on Capital Formation
33-7314,
33-7329
|
Issue Date: | File Number:S7-10-95 | Rulemaking:Improving Descriptions of Risk by Mutual Funds and Other Investment Companies |
Status:
Concept
Release
Improving Descriptions of Risk by Mutual Funds and Other Investment Companies
33-7153,
34-35546,
IC-20974
|
Issue Date: | File Number:S7-34-94 | Rulemaking:Transfer Agents Operating Direct Registration System |
Status:
Concept
Release
Transfer Agents Operating Direct Registration System
34-35038
|
Issue Date: | File Number:S7-32-94 | Rulemaking:Request for Comments on Modernization of the Regulation of Public-Utility Holding Companies |
Status:
Concept
Release
Request for Comments on Modernization of the Regulation of Public-Utility Holding Companies
35-26153,
IC-20675,
International Series Release No. 740
|
Issue Date: | File Number:S7-29-94 | Rulemaking:Safe Harbor for Forward-Looking Statements |
Status:
Concept
Release
Safe Harbor for Forward-Looking Statements
33-7101,
34-34831,
35-26141,
39-2324,
IC-20613
|
Displaying 1 - 91 of 91
Modified: Feb. 20, 2024