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:S7-33-02, S7-40-02 | Rulemaking:Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002 |
Status:
Final
Rule
Certification of Management Investment Company Shareholder Reports and Designation of Certified Shareholder Reports as Exchange Act Periodic Reporting Forms; Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002
34-47262
|
Issue Date: | File Number:S7-46-02 | Rulemaking:Retention of Records Relevant to Audits and Reviews |
Status:
Final
Rule
Retention of Records Relevant to Audits and Reviews
33-8180
|
Issue Date: | File Number:S7-40-02 | Rulemaking:Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002 |
Status:
Final
Rule
Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002
33-8177
|
Issue Date: | File Number:S7-43-02 | Rulemaking:Conditions for Use of Non-GAAP Financial Measures |
Status:
Final
Rule
Conditions for Use of Non-GAAP Financial Measures
33-8176
|
Issue Date: | File Number:S7-44-02 | Rulemaking:Insider Trades During Pension Fund Blackout Periods |
Status:
Final
Rule
Insider Trades During Pension Fund Blackout Periods
34-47225
|
Issue Date: | File Number:S7-13-02 | Rulemaking:Transactions of Investment Companies With Portfolio and Subadviser Affiliates |
Status:
Final
Rule
Transactions of Investment Companies With Portfolio and Subadviser Affiliates
IC-25888
|
Issue Date: | File Number:S7-02-03 | Rulemaking:Standards Relating to Listed Company Audit Committees |
Status:
Proposed
Rule
Standards Relating to Listed Company Audit Committees
33-8173
|
Issue Date: | File Number:S7-29-02 | Rulemaking:Exemption for Standardized Options From Provisions of the Securities Act of 1933 and From the Registration Requirements of the Securities Exchange Act of 1934 |
Status:
Final
Rule
Exemption for Standardized Options From Provisions of the Securities Act of 1933 and From the Registration Requirements of the Securities Exchange Act of 1934
33-8171
|
Issue Date: | File Number:S7-52-02 | Rulemaking:Mandated Electronic Filing and Web Site Posting for Forms 3, 4 and 5 |
Status:
Proposed
Rule
Mandated Electronic Filing and Web Site Posting for Forms 3, 4 and 5
33-8170
|
Issue Date: | File Number:S7-51-02 | Rulemaking:Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies |
Status:
Proposed
Rule
Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies
33-8164,
33-8393A
|
Issue Date: | File Number:S7-18-02 | Rulemaking:Repeal of the Trade-Through Disclosure Rules for Options |
Status:
Final
Rule
Repeal of the Trade-Through Disclosure Rules for Options
34-47013
|
Issue Date: | File Number:S7-10-02 | Rulemaking:Exemption for Certain Investment Advisers Operating Through the Internet |
Status:
Final
Rule
Exemption for Certain Investment Advisers Operating Through the Internet
IA-2091
|
Issue Date: | File Number:S7-50-02 | Rulemaking:Purchases of Certain Equity Securities by the Issuer and Others |
Status:
Proposed
Rule
Rule 10b-18 and Purchases of Certain Equity Securities by the Issuer and Others
33-8160
|
Issue Date: | File Number:S7-49-02 | Rulemaking:Strengthening the Commission's Requirements Regarding Auditor Independence |
Status:
Proposed
Rule
Strengthening the Commission's Requirements Regarding Auditor Independence
33-8154
|
Issue Date: | File Number:S7-47-02 | Rulemaking:Certain Research and Development Companies |
Status:
Proposed
Rule
Certain Research and Development Companies
IC-28535
|
Issue Date: | File Number:S7-48-02 | Rulemaking:Broker-Dealer Exemption From Sending Certain Financial Information to Customers |
Status:
Proposed
Rule
Broker-Dealer Exemption from Sending Certain Financial Information to Customers
34-46920,
34-48272
|
Issue Date: | File Number:S7-46-02 | Rulemaking:Retention of Records Relevant to Audits and Reviews |
Status:
Proposed
Rule
Retention of Records Relevant to Audits and Reviews
33-8151
|
Issue Date: | File Number:S7-45-02 | Rulemaking:Implementation of Standards of Professional Conduct for Attorneys |
Status:
Proposed
Rule
Implementation of Standards of Professional Conduct for Attorneys
33-8150
|
Issue Date: | File Number:S7-07-02 | Rulemaking:Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Annuity Contracts |
Status:
Final
Rule
Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Annuity Contracts
33-8147
|
Issue Date: | File Number:S7-44-02 | Rulemaking:Insider Trades During Pension Fund Blackout Periods |
Status:
Proposed
Rule
Insider Trades During Pension Fund Blackout Periods
34-46778
|
Issue Date: | File Number:S7-43-02 | Rulemaking:Conditions for Use of Non-GAAP Financial Measures |
Status:
Proposed
Rule
Conditions for Use of Non-GAAP Financial Measures
33-8145
|
Issue Date: | File Number:S7-42-02 | Rulemaking:Disclosure in Management's Discussion and Analysis About Off-Balance Sheet Arrangements and Aggregate Contractual Obligations |
Status:
Proposed
Rule
Disclosure in Management's Discussion and Analysis About Off-Balance Sheet Arrangements, Contractual Obligations and Contingent Liabilities and Commitments
33-8144
|
Issue Date: | File Number:S7-41-02 | Rulemaking:Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934 |
Status:
Proposed
Rule
Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934
34-46745
|
Issue Date: | File Number:S7-40-02 | Rulemaking:Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002 |
Status:
Proposed
Rule
Disclosure Required by Sections 404, 406 and 407 of the Sarbanes-Oxley Act of 2002
33-8138
|
Issue Date: | File Number:S7-39-02 | Rulemaking:Improper Influence on Conduct of Audits |
Status:
Proposed
Rule
Improper Influence on Conduct of Audits
34-46685
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to the Director of the Division of Market Regulation |
Status:
Final
Rule
Delegation of Authority to the Director of the Division of Market Regulation
34-46667
|
Issue Date: | File Number:S7-38-02 | Rulemaking:Proxy Voting by Investment Advisers |
Status:
Proposed
Rule
Proxy Voting By Investment Advisers
IA-2059
|
Issue Date: | File Number:S7-36-02 | Rulemaking:Disclosure of Proxy Voting Policies and Proxy Voting Records by Registered Management Investment Companies |
Status:
Proposed
Rule
Disclosure of Proxy Voting Policies and Proxy Voting Records by Registered Management Investment Companies
33-8131
|
Issue Date: | File Number:S7-34-02 | Rulemaking:Rule 15c3-3 Reserve Requirements for Margin Related to Security Futures Products |
Status:
Proposed
Rule
Rule 15c3-3 Reserve Requirements for Margin Related to Security Futures Products
34-46492
|
Issue Date: | File Number:S7-17-01 | Rulemaking:Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products |
Status:
Final
Rule
Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products
34-46473
|
Issue Date: | File Number:S7-19-02 | Rulemaking:Confirmation Requirements for Transactions of Security Futures Products Effected in Futures Accounts |
Status:
Final
Rule
Confirmation Requirements for Transactions of Security Futures Products Effected in Futures Accounts
34-46471
|
Issue Date: | File Number:S7-08-02 | Rulemaking:Acceleration of Periodic Report Filing Dates and Disclosure Concerning Web Site Access to Reports |
Status:
Final
Rule
Acceleration of Periodic Report Filing Dates and Disclosure Concerning Web Site Access to Reports
33-8128
|
Issue Date: | File Number:S7-33-02 | Rulemaking:Certification of Disclosure in Companies' Quarterly and Annual Reports |
Status:
Proposed
Rule
Certification of Management Investment Company Shareholder Reports and Designation of Certified Shareholder Reports as Exchange Act Periodic Reporting Forms
34-46441
|
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:S7-21-02 | Rulemaking:Certification of Disclosure in Companies' Quarterly and Annual Reports |
Status:
Final
Rule
Certification of Disclosure in Companies' Quarterly and Annual Reports
33-8124
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to the General Counsel of the Commission |
Status:
Final
Rule
Delegation of Authority to the General Counsel of the Commission
34-46418
|
Issue Date: | File Number:S7-31-02 | Rulemaking:Ownership Reports and Trading by Officers, Directors and Principal Security Holders |
Status:
Final
Rule
Ownership Reports and Trading by Officers, Directors and Principal Security Holders
34-46421
|
Issue Date: | File Number:S7-21-02 | Rulemaking:Certification of Disclosure in Companies' Quarterly and Annual Reports |
Status:
Proposed
Rule
Certification of Disclosure in Companies' Quarterly and Annual Reports
34-46300
|
Issue Date: | File Number:S7-30-02 | Rulemaking:Regulation Analyst Certification |
Status:
Proposed
Rule
Regulation Analyst Certification
33-8119
|
Issue Date: | File Number:S7-16-01 | Rulemaking:Customer Margin Rules Relating to Security Futures |
Status:
Final
Rule
Customer Margin Rules Relating to Security Futures
34-46292
|
Issue Date: | File Number:S7-29-02 | Rulemaking:Exemption for Standardized Options From Provisions of the Securities Act of 1933 and From the Registration Requirements of the Securities Exchange Act of 1934 |
Status:
Proposed
Rule
Exemption for Standardized Options From Provisions of the Securities Act of 1933 and From the Registration Requirements of the Securities Exchange Act of 1934
33-8114
|
Issue Date: | File Number:S7-28-02 | Rulemaking:Custody of Funds or Securities of Clients by Investment Advisers |
Status:
Proposed
Rule
Custody of Funds or Securities of Clients by Investment Advisers
IA-2044
|
Issue Date: | File Number:S7-21-01 | Rulemaking:Investment Company Mergers |
Status:
Final
Rule
Investment Company Mergers
IC-25666
|
Issue Date: | File Number:S7-26-02 | Rulemaking:Customer Identification Programs for Mutual Funds |
Status:
Proposed
Rule
Customer Identification Programs for Mutual Funds
IC-25657
|
Issue Date: | File Number:S7-25-02 | Rulemaking:Customer Identification Programs for Broker-Dealers |
Status:
Proposed
Rule
Customer Identification Programs For Broker-Dealers
34-46192
|
Issue Date: | File Number:S7-14-02 | Rulemaking:Assessments on Security Futures Transactions and Fees on Sales of Securities Resulting from Physical Settlement of Security Futures Pursuant to Section 31 of the Exchange Act |
Status:
Final
Rule
Assessments on Security Futures Transactions and Fees on Sales of Securities Resulting from Physical Settlement of Security Futures Pursuant to Section 31 of the Exchange Act
34-46169
|
Issue Date: | File Number:S7-24-02 | Rulemaking:Certification of Disclosure in Companies' Quarterly and Annual Reports |
Status:
Proposed
Rule
Framework for Enhancing the Quality of Financial Information Through Improvement of Oversight of the Auditing Process
33-8109
|
Issue Date: | File Number: | Rulemaking:Technical Amendments to Rules and Forms Due to the National Securities Markets Improvement Act of 1996 and the Gramm-Leach-Bliley Act |
Status:
Final
Rule
Technical Amendments to Rules and Forms Due to the National Securities Markets Improvement Act of 1996 and the Gramm-Leach-Bliley Act
34-46106
|
Issue Date: | File Number:S7-23-02 | Rulemaking:Commission Guidance on the Application of Certain Provisions of the Securities Act of 1933, the Securities Exchange Act of 1934, and Rules Thereunder to Trading in Security Futures Products |
Status:
Interpretive
Release
Commission Guidance on the Application of Certain Provisions of the Securities Act of 1933, the Securities Exchange Act of 1934, and Rules Thereunder to Trading in Security Futures Products
33-8107,
34-46101
|
Issue Date: | File Number:S7-21-02 | Rulemaking:Certification of Disclosure in Companies' Quarterly and Annual Reports |
Status:
Proposed
Rule
Certification of Disclosure in Companies' Quarterly and Annual Reports
34-46079
|
Issue Date: | File Number:S7-22-02 | Rulemaking:Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date |
Status:
Proposed
Rule
Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date
33-8106
|
Issue Date: | File Number:S7-20-02 | Rulemaking:Customer Protection-Reserves and Custody of Securities; Delegation of Authority to the Director of the Division of Market Regulation |
Status:
Proposed
Rule
Customer Protection-Reserves and Custody of Securities
34-46019
|
Issue Date: | File Number:S7-19-02 | Rulemaking:Confirmation Requirements for Transactions of Security Futures Products Effected in Futures Accounts |
Status:
Proposed
Rule
Confirmation Requirements for Transactions of Security Futures Products Effected in Futures Accounts
34-46014
|
Issue Date: | File Number:S7-18-02 | Rulemaking:Repeal of the Trade-Through Disclosure Rules for Options |
Status:
Proposed
Rule
Repeal of Options Trade-Through Disclosure Rule
34-46002
|
Issue Date: | File Number:S7-17-02 | Rulemaking:Amendments to Investment Company Advertising Rules |
Status:
Proposed
Rule
Proposed Amendments to Investment Company Advertising Rules
33-8101
|
Issue Date: | File Number:S7-15-01 | Rulemaking:Cash Settlement and Regulatory Halt Requirements for Security Futures Products |
Status:
Final
Rule
Cash Settlement and Regulatory Halt Requirements for Security Futures Products
34-45956
|
Issue Date: | File Number:S7-18-01 | Rulemaking:Mandated EDGAR Filing For Foreign Issuers |
Status:
Final
Rule
Mandated EDGAR Filing For Foreign Issuers
33-8099
|
Issue Date: | File Number:S7-16-02 | Rulemaking:Disclosure in Management's Discussion and Analysis About the Application of Critical Accounting Policies |
Status:
Proposed
Rule
Disclosure in Management's Discussion and Analysis About the Application of Critical Accounting Policies
33-8098
|
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:S7-14-02 | Rulemaking:Assessments on Security Futures Transactions and Fees on Sales of Securities Resulting from Physical Settlement of Security Futures Pursuant to Section 31 of the Exchange Act |
Status:
Proposed
Rule
Assessments on Security Futures Transactions and Fees on Sales of Securities Resulting From Physical Settlement of Security Futures Pursuant to Section 31 of the Exchange Act
34-45854
|
Issue Date: | File Number:S7-13-02 | Rulemaking:Transactions of Investment Companies With Portfolio and Subadviser Affiliates |
Status:
Proposed
Rule
Transactions of Investment Companies With Portfolio and Subadvisory Affiliates
IC-25557
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to the Secretary of the Commission |
Status:
Final
Rule
Delegation of Authority to the Secretary of the Commission
34-45848,
34-36824
|
Issue Date: | File Number:S7-20-00 | Rulemaking:Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate |
Status:
Final
Rule
Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate
IC-25560
|
Issue Date: | File Number:S7-11-02 | Rulemaking:Amendment to Definition of "Equity Security" |
Status:
Final
Rule
Amendment to Definition of "Equity Security"
33-8091
|
Issue Date: | File Number:S7-08-02 | Rulemaking:Acceleration of Periodic Report Filing Dates and Disclosure Concerning Web Site Access to Reports |
Status:
Proposed
Rule
Acceleration of Periodic Report Filing Dates and Disclosure Concerning Website Access to Reports
33-8089
|
Issue Date: | File Number:S7-07-02 | Rulemaking:Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Annuity Contracts |
Status:
Proposed
Rule
Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Annuity Contracts
33-8087
|
Issue Date: | File Number:S7-10-02 | Rulemaking:Exemption for Certain Investment Advisers Operating Through the Internet |
Status:
Proposed
Rule
Exemption for Certain Investment Advisers Operating Through the Internet
IA-2028
|
Issue Date: | File Number:S7-09-02 | Rulemaking:Form 8-K Disclosure of Certain Management Transactions |
Status:
Proposed
Rule
Form 8-K Disclosure of Certain Management Transactions
33-8090
|
Issue Date: | File Number:S7-9-98 | Rulemaking:Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Life Insurance Policies |
Status:
Final
Rule
Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Life Insurance Policies
33-8088,
IC-25522,
33-7514
|
Issue Date: | File Number: | Rulemaking:Approved Information Collections |
Status:
Final
Rule
Approved Information Collections
33-8071
|
Issue Date: | File Number:S7-03-02 | Rulemaking:Requirements for Arthur Andersen LLP Auditing Clients |
Status:
Final
Rule
Requirements for Arthur Andersen LLP Auditing Clients
33-8070
|
Issue Date: | File Number: | Rulemaking:Exemption of Transactions in Certain Options and Futures on Security Indexes From Section 31 of the Exchange Act |
Status:
Final
Rule
Exemption of Transactions in Certain Options and Futures on Security Indexes From Section 31 of the Exchange Act
34-45371
|
Issue Date: | File Number:S7-02-02 | Rulemaking:Amendments to Rule 31-1, Securities Transactions Exempt From Transaction Fees |
Status:
Final
Rule
Amendments to Rule 31-1, Securities Transactions Exempt From Transaction Fees
34-45291
|
Issue Date: | File Number: | Rulemaking:Commission Guidance on the Scope of Section 28(e) of the Exchange Act |
Status:
Interpretive
Release
Commission Guidance on the Scope of Section 28(e) of the Exchange Act
34-45194
|
Issue Date: | File Number:S7-04-01 | Rulemaking:Disclosure of Equity Compensation Plan Information |
Status:
Final
Rule
Disclosure of Equity Compensation Plan Information
33-8048
|
Issue Date: | File Number:S7-19-98 | Rulemaking:Options Disclosure Document |
Status:
Final
Rule
Options Disclosure Document
33-8049,
33-7550
|
Issue Date: | File Number:S7-23-01 | Rulemaking:Defining the Term "Qualified Purchaser" Under the Securities Act of 1933 |
Status:
Proposed
Rule
Defining the Term "Qualified Purchaser" Under the Securities Act of 1933
33-8041
|
Issue Date: | File Number:S7-22-01 | Rulemaking:Custody of Investment Company Assets With a Securities Depository |
Status:
Proposed
Rule
Custody of Investment Company Assets With a Securities Depository
IC-25266
|
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:S7-21-01 | Rulemaking:Investment Company Mergers |
Status:
Proposed
Rule
Investment Company Mergers
IC-25259
|
Issue Date: | File Number:S7-17-01 | Rulemaking:Customer Margin Rules Relating to Security Futures |
Status:
Proposed
Rule
Customer Margin Rules Relating to Security Futures; Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products
34-44996
|
Issue Date: | File Number:S7-26-98 | Rulemaking:Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 |
Status:
Final
Rule
Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
34-44992
|
Issue Date: | File Number:SR-NSCC-2001-14, SR-NYSE-2001-42 | Rulemaking:Certifications and Exemptions Under the International Regulations for Preventing Collisions at Sea, 1972; Amendment |
Status:
Final
Rule
Certifications and Exemptions Under the International Regulations for Preventing Collisions at Sea, 1972; Amendment
34-44965
|
Issue Date: | File Number:S7-18-01 | Rulemaking:Mandated EDGAR Filing For Foreign Issuers |
Status:
Proposed
Rule
Mandated EDGAR Filing for Foreign Issuers
33-8016
|
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:S7-09-00 | Rulemaking:Disclosure of Mutual Fund After-Tax Returns |
Status:
Final
Rule
Disclosure of Mutual Fund After-Tax Returns; Extension of Compliance Date
33-8010,
34-44850,
IC-25175
|
Issue Date: | File Number:S7-17-00 | Rulemaking:Firm Quote and Trade-Through Disclosure Rules for Options |
Status:
Final
Rule
Firm Quote and Trade-Through Disclosure Rules for Options
34-44852,
34-43591,
34-43085
|
Displaying 1901 - 2000 of 2710
Modified: Feb. 20, 2024