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:S7-13-00 | Rulemaking:Revision of the Commission's Auditor Independence Requirements |
Status:
Proposed
Rule
Revision of the Commission's Auditor Independence Requirements
33-7883
|
Issue Date: | File Number:S7-29-99 | Rulemaking:Unlisted Trading Privileges |
Status:
Final
Rule
Unlisted Trading Privileges
34-43217
|
Issue Date: | File Number:S7-7-99 | Rulemaking:Financial Statements and Periodic Reports for Related Issuers and Guarantors |
Status:
Final
Rule
Financial Statements and Periodic Reports for Related Issuers and Guarantors
33-7878,
34-43124,
International Series No. 1229,
FR-55 Other Release No.: 33-7649
|
Issue Date: | File Number:S7-31-99 | Rulemaking:Selective Disclosure and Insider Trading |
Status:
Final
Rule
Selective Disclosure and Insider Trading
33-7881,
34-43154,
IC-24599,
34-42259,
33-7815
|
Issue Date: | File Number:S7-17-00 | Rulemaking:Firm Quote and Trade-Through Disclosure Rules for Options |
Status:
Proposed
Rule
Firm Quote and Trade-Through Disclosure Rules for Options
34-43085,
34-43591
|
Issue Date: | File Number:S7-16-00 | Rulemaking:Disclosure of Order Execution and Routing Practices |
Status:
Proposed
Rule
Disclosure of Order Routing and Execution Practices
34-43084
|
Issue Date: | File Number:S7-14-00 | Rulemaking:Exemption From Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act for Registered Investment Companies |
Status:
Final
Rule
Exemption From Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act for Registered Investment Companies
33-7877,
IC-24582
|
Issue Date: | File Number: | Rulemaking:Commission Guidance on Mini-Tender Offers and Limited Partnership Tender Offers |
Status:
Interpretive
Release
Commission Guidance on Mini-Tender Offers and Limited Partnership Tender Offers
34-43069,
IC-24564>
|
Issue Date: | File Number:S7-13-00 | Rulemaking:Revision of the Commission's Auditor Independence Requirements |
Status:
Proposed
Rule
Revision of the Commission's Auditor Independence Requirements
34-42994
|
Issue Date: | File Number:S7-6-00 | Rulemaking:Privacy of Consumer Financial Information (Regulation S-P) |
Status:
Final
Rule
Privacy of Consumer Financial Information (Regulation S-P)
34-42974,
IC-24543,
IA-1883
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-7867,
34-42942,
35-27185,
39-2386,
IC-24498
|
Issue Date: | File Number:S7-10-99 | Rulemaking:Offer and Sale of Securities to Canadian Tax-Deferred Retirement Savings Accounts |
Status:
Final
Rule
Offer and Sale of Securities to Canadian Tax-Deferred Retirement Savings Accounts
33-7860,
33-7656, 34-42905, IC-24491,
International Series Release No.1226
|
Issue Date: | File Number:S7-11-99 | Rulemaking:Revised Transfer Agent Form and Related Rule |
Status:
Final
Rule
Revised Transfer Agent Form and Related Rule
34-42892,
34-41204
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-7858,
34-42789,
35-27177,
39-2385,
IC-24455
|
Issue Date: | File Number:4-434 | Rulemaking:Options Price Reporting Authority |
Status:
Proposed
Rule
Options Price Reporting Authority
34-42755,
34-43621
|
Issue Date: | File Number:S7-12-00 | Rulemaking:Electronic Submission of Securities Transaction Information by Exchange Members, Brokers, and Dealers |
Status:
Proposed
Rule
Electronic Submission of Securities Trading Data by Exchange Members, Brokers and Dealers
34-42741
|
Issue Date: | File Number:S7-11-00 | Rulemaking:Use of Electronic Media |
Status:
Interpretive
Release
Use of Electronic Media
34-42728
|
Issue Date: | File Number:S7-15-99 | Rulemaking:Custody of Investment Company Assets Outside the United States |
Status:
Final
Rule
Custody of Investment Company Assets Outside the United States
IC-24424,
IS-1221
|
Issue Date: | File Number:S7-05-00 | Rulemaking:Rulemaking for EDGAR System |
Status:
Final
Rule
Rulemaking for EDGAR System
33-7855,
34-42712,
35-27172,
39-2384,
IC-24400
|
Issue Date: | File Number:S7-10-00 | Rulemaking:Electronic Filing by Investment Advisers; Amendments To Form ADV |
Status:
Proposed
Rule
Electronic Filing by Investment Advisers; Proposed Amendments to Form ADV
34-42620
|
Issue Date: | File Number:S7-12-98 | Rulemaking:Regulation of Alternative Trading Systems; Suspension (Extension of Effective date to December 1, 2000) |
Status:
Final
Rule
Regulation of Alternative Trading Systems; Suspension (Extension of Effective date to December 1, 2000)
3442603A
|
Issue Date: | File Number:S7-31-99 | Rulemaking:Selective Disclosure and Insider Trading |
Status:
Proposed
Rule
Selective Disclosure and Insider Trading
33-7815
|
Issue Date: | File Number:S7-09-00 | Rulemaking:Disclosure of Mutual Fund After-Tax Returns |
Status:
Proposed
Rule
Disclosure of Mutual Fund After-Tax Returns
33-7809
|
Issue Date: | File Number:S7-6-00 | Rulemaking:Privacy of Consumer Financial Information (Regulation S-P) |
Status:
Proposed
Rule
Privacy of Consumer Financial Information (Regulation S-P) Reference: Rel. Nos. IC-24326, IA-1856
34-42484
|
Issue Date: | File Number:S7-05-00 | Rulemaking:Rulemaking for EDGAR System |
Status:
Proposed
Rule
Rulemaking for EDGAR System
34-42462
|
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:S7-03-00 | Rulemaking:Supplementary Financial Information |
Status:
Proposed
Rule
Supplementary Financial Information
34-42354
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-7789,
34-42327,
35-27123,
39-2380,
IC-24235
|
Issue Date: | File Number:S7-22-99 | Rulemaking:Audit Committee Disclosure |
Status:
Final
Rule
Audit Committee Disclosure
34-42266,
34-41987
|
Issue Date: | File Number:S7-31-99 | Rulemaking:Selective Disclosure and Insider Trading |
Status:
Proposed
Rule
Selective Disclosure and Insider Trading
34-42259
|
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:S7-29-99 | Rulemaking:Unlisted Trading Privileges |
Status:
Proposed
Rule
Unlisted Trading Privileges
34-42209
|
Issue Date: | File Number:4-208 | Rulemaking:Adoption of Amendments to the Intermarket Trading System Plan To Expand the ITS/Computer Assisted Execution System Linkage to All Listed Securities |
Status:
Final
Rule
Adoption of Amendments to the Intermarket Trading System Plan To Expand the ITS/Computer Assisted Execution System Linkage to All Listed Securities
34-42212
|
Issue Date: | File Number:S7-22-98 | Rulemaking:Temporary Exemption for Certain Investment Advisers |
Status:
Final
Rule
Temporary Exemption for Certain Investment Advisers
IC-24177,
IA-1846,
IC-23325
|
Issue Date: | File Number:S7-26-99 | Rulemaking:Delivery of Proxy and Information Statements to Households |
Status:
Proposed
Rule
Delivery of Proxy and Information Statements to Households
33-7767
|
Issue Date: | File Number:S7-27-97 | Rulemaking:Delivery of Disclosure Documents to Households |
Status:
Final
Rule
Delivery of Disclosure Documents to Households
33-7766,
34-42101,
IC-24123,
33-7475
|
Issue Date: | File Number:S7-25-99 | Rulemaking:Certain Broker-Dealers Deemed Not To Be Investment Advisers |
Status:
Proposed
Rule
Certain Broker-Dealers Deemed Not To Be Investment Advisers
34-42099
|
Issue Date: | File Number:S7-29-98 | Rulemaking:Cross-Border Tender and Exchange Offers, Business Combinations and Rights Offerings |
Status:
Final
Rule
Cross-Border Tender and Exchange Offers, Business Combinations and Rights Offerings
33-7759,
34-42054
|
Issue Date: | File Number:S7-28-98 | Rulemaking:Regulation of Takeovers and Security Holder Communications |
Status:
Final
Rule
Regulation of Takeovers and Security Holder Communications
33-7760,
34-42055,
33-7607
|
Issue Date: | File Number:S7-24-99 | Rulemaking:Short Sales |
Status:
Concept
Release
Short Sales
34-42037
|
Issue Date: | File Number:S7-23-99 | Rulemaking:Role of Independent Directors of Investment Companies |
Status:
Proposed
Rule
Role of Independent Directors of Investment Companies
34-42007,
33-7932
|
Issue Date: | File Number: | Rulemaking:Interpretive Matters Concerning Independent Directors of Investment Companies |
Status:
Interpretive
Release
Interpretive Matters Concerning Independent Directors of Investment Companies
IC-24083
|
Issue Date: | File Number:S7-22-99 | Rulemaking:Audit Committee Disclosure |
Status:
Proposed
Rule
Audit Committee Disclosure
34-41987,
34-42266
|
Issue Date: | File Number:Effective | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-7752,
34-41986,
35-27081,
39-2376,
IC-24075
|
Issue Date: | File Number:S7-3-99 | Rulemaking:International Disclosure Standards |
Status:
Final
Rule
International Disclosure Standards
34-41936,
33-7637
|
Issue Date: | File Number:S7-21-99 | Rulemaking:Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities |
Status:
Proposed
Rule
Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities
IC-24050,
IC-25058
|
Issue Date: | File Number:S7-27-98 | Rulemaking:Purchases of Certain Equity Securities by the Issuer and Others |
Status:
Final
Rule
Purchases of Certain Equity Securities by the Issuer and Others
34-41905
|
Displaying 2101 - 2200 of 2713
Modified: Feb. 20, 2024