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:S7-17-01 | 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:
Proposed
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
34-44854
|
Issue Date: | File Number:S7-16-01, 1-9641 | Rulemaking:Customer Margin Rules Relating to Security Futures |
Status:
Proposed
Rule
Customer Margin Rules Relating to Security Futures
34-44853
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-8007
|
Issue Date: | File Number: | Rulemaking:Calculation of Average Weekly Trading Volume Under Rule 144 and Termination of a Rule 10b5-1 Trading Plan |
Status:
Interpretive
Release
Calculation of Average Weekly Trading Volume Under Rule 144 and Termination of a Rule 10b5-1 Trading Plan
33-8005a,
34-44820,
FR-58
|
Issue Date: | File Number: | Rulemaking:Bookkeeping Services Provided by Auditors To Audit Clients in Emergency or Other Unusual Situations |
Status:
Interpretive
Release
Bookkeeping Services Provided by Auditors To Audit Clients in Emergency or Other Unusual Situations
33-8004,
34-44792,
IC-25157,
FR-57
|
Issue Date: | File Number:S7-15-01 | Rulemaking:Cash Settlement and Regulatory Halt Requirements for Security Futures Products |
Status:
Proposed
Rule
Cash Settlement and Regulatory Halt Requirements for Security Futures Products
34-44743
|
Issue Date: | File Number:S7-13-01 | Rulemaking:Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934 |
Status:
Final
Rule
Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934
34-44730
|
Issue Date: | File Number:S7-11-01 | Rulemaking:Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index; Joint Final Rule |
Status:
Final
Rule
Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index; Joint Final Rule
34-44724
|
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
34-44691
|
Issue Date: | File Number:S7-10-01 | Rulemaking:Registration of National Securities Exchanges Pursuant to Section 6(g) of the Securities Exchange Act of 1934 and Proposed Rule Changes of Certain National Securities Exchanges and Limited Purpose National Securities Associations |
Status:
Final
Rule
Registration of National Securities Exchanges Pursuant to Section 6(g) of the Securities Exchange Act of 1934 and Proposed Rule Changes of Certain National Securities Exchanges and Limited Purpose National Securities Associations
34-44692
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-7999
|
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
34-44626
|
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:S7-21-99 | Rulemaking:Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities |
Status:
Final
Rule
Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities
IC-25058,
IC-24050
|
Issue Date: | File Number:S7-12-00 | Rulemaking:Electronic Submission of Securities Transaction Information by Exchange Members, Brokers, and Dealers |
Status:
Final
Rule
Electronic Submission of Securities Transaction Information by Exchange Members, Brokers, and Dealers
34-44494
|
Issue Date: | File Number:S7-11-01 | Rulemaking:Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index; Joint Final Rule |
Status:
Proposed
Rule
Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index
34-44475
|
Issue Date: | File Number:S7-13-01 | Rulemaking:Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934 |
Status:
Proposed
Rule
Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934
34-44455
|
Issue Date: | File Number: | Rulemaking:Application of the Electronic Signatures in Global and National Commerce Act To Record Retention Requirements Pertaining to Issuers Under the Securities Act of 1933, Securities Exchange Act of 1934 and Regulation S-T |
Status:
Interpretive
Release
Application of the Electronic Signatures in Global and National Commerce Act To Record Retention Requirements Pertaining to Issuers Under the Securities Act of 1933, Securities Exchange Act of 1934 and Regulation S-T
33-7985,
34-44424,
35-27419,
IC-25003
|
Issue Date: | File Number:S7-03-99 | Rulemaking:International Disclosure Standards; Correction |
Status:
Final
Rule
International Disclosure Standards; Correction
33-7983,
34-44406,
IA-1249
|
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
34-44397
|
Issue Date: | File Number:S7-06-01 | Rulemaking:Electronic Recordkeeping by Investment Companies and Investment Advisers; Correction |
Status:
Final
Rule
Electronic Recordkeeping by Investment Companies and Investment Advisers; Correction
IC-24991,
IA-1945
|
Issue Date: | File Number:S7-07-01 | Rulemaking:Electronic Recordkeeping by Public Utility Holding Companies |
Status:
Final
Rule
Electronic Recordkeeping by Public Utility Holding Companies
35-27404
|
Issue Date: | File Number:S7-12-01 | 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:
Final
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
34-44291
|
Issue Date: | File Number:S7-11-01 | Rulemaking:Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index; Joint Final Rule |
Status:
Proposed
Rule
Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index
34-44288
|
Issue Date: | File Number:S7-10-01 | Rulemaking:Registration of National Securities Exchanges Pursuant to Section 6(g) of the Securities Exchange Act of 1934 and Proposed Rule Changes of Certain National Securities Exchanges and Limited Purpose National Securities Associations |
Status:
Proposed
Rule
Registration of National Securities Exchanges Pursuant to Section 6(g) of the Securities Exchange Act of 1934 and Proposed Rule Changes of National Securities Exchanges and Limited Purpose National Securities Associations
34-44279
|
Issue Date: | File Number: | Rulemaking:Commission Guidance to Broker-Dealers on the Use of Electronic Storage Media Under the Electronic Signatures in Global and National Commerce Act of 2000 With Respect to Rule 17a-4(f) |
Status:
Interpretive
Release
Commission Guidance to Broker-Dealers on the Use of Electronic Storage Media Under the Electronic Signatures in Global and National Commerce Act of 2000 With Respect to Rule 17a-4(f)
34-44238
|
Issue Date: | File Number:57-17-99 | Rulemaking:Recordkeeping Requirements for Transfer Agents |
Status:
Final
Rule
Recordkeeping Requirements for Transfer Agents
34-44227,
34-41442
|
Issue Date: | File Number:S7-07-01 | Rulemaking:Electronic Recordkeeping by Public Utility Holding Companies |
Status:
Proposed
Rule
Electronic Recordkeeping by Public Utility Holding Companies
35-27357
|
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
34-44078
|
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
34-44079
|
Issue Date: | File Number:S7-06-01 | Rulemaking:Electronic Recordkeeping by Investment Companies and Investment Advisers; Correction |
Status:
Proposed
Rule
Electronic Recordkeeping by Investment Companies and Investment Advisers
IC-24890
|
Issue Date: | File Number:S7-16-00 | Rulemaking:Disclosure of Order Execution and Routing Practices |
Status:
Final
Rule
Disclosure of Order Execution and Routing Practices
34-44060
|
Issue Date: | File Number:S7-11-97 | Rulemaking:Investment Company Names |
Status:
Final
Rule
Investment Company Names; Correction
IC-24828A
|
Issue Date: | File Number: | Rulemaking:Technical Amendments to Instructions for Registration Form for Certain Investment Company Securities |
Status:
Final
Rule
Technical Amendments to Instructions for Registration Form for Certain Investment Company Securities
33-7959,
IC-24886
|
Issue Date: | File Number: | Rulemaking:Public Information: Advanced Notice of Proposed Rulemaking on Electronic Reporting and Recordkeeping and Delayed Effective Date of Recordkeeping Provisions in the Electronic Signatures in Global and National Commerce Act of 2000 |
Status:
Proposed
Rule
Public Information: Advanced Notice of Proposed Rulemaking on Electronic Reporting and Recordkeeping and Delayed Effective Date of Recordkeeping Provisions in the Electronic Signatures in Global and National Commerce Act of 2000
33-7955
|
Issue Date: | File Number:S7-23-99 | Rulemaking:Role of Independent Directors of Investment Companies; Correction |
Status:
Final
Rule
Role of Independent Directors of Investment Companies; Correction
33-7932A,
34-43786A,
IC-24816A
|
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
34-43985
|
Issue Date: | File Number:S7-05-01 | Rulemaking:Foreign Utility Companies |
Status:
Proposed
Rule
Foreign Utility Companies
35-27342
|
Issue Date: | File Number:S7-04-01 | Rulemaking:Disclosure of Equity Compensation Plan Information |
Status:
Proposed
Rule
Disclosure of Equity Compensation Plan Information
33-7944
|
Issue Date: | File Number:S7-30-98 | Rulemaking:Integration of Abandoned Offerings |
Status:
Final
Rule
Integration of Abandoned Offerings
33-7943
|
Issue Date: | File Number:S7-03-01 | Rulemaking:Proposed Rule Changes of Self-Regulatory Organizations |
Status:
Proposed
Rule
Proposed Rule Changes of Self-Regulatory Organizations
34-43860
|
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
33-7941,
34-43857,
IC-24832
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-7933,
34-43843,
35-27338,
39-2388,
IC-24827
|
Issue Date: | File Number:S7-11-97 | Rulemaking:Investment Company Names |
Status:
Final
Rule
Investment Company Names
IC-24828,
IC-22530
|
Issue Date: | File Number:S7-23-99 | Rulemaking:Role of Independent Directors of Investment Companies |
Status:
Final
Rule
Role of Independent Directors of Investment Companies
33-7932,
34-42007,
34-43786,
IC-24816
|
Issue Date: | File Number:S7-10-00 | Rulemaking:Electronic Filing by Investment Advisers; Amendments to Form ADV; Technical Amendments |
Status:
Final
Rule
Electronic Filing by Investment Advisers; Amendments to Form ADV; Technical Amendments
IA-1916,
34-43758
|
Issue Date: | File Number:S7-12-98 | Rulemaking:Regulation of Alternative Trading Systems; Extension of Temporary Stay of Effectiveness |
Status:
Final
Rule
Regulation of Alternative Trading Systems; Extension of Temporary Stay of Effectiveness
34-43651
|
Issue Date: | File Number:S7-20-00 | Rulemaking:Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate |
Status:
Proposed
Rule
Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate
IC-24775
|
Issue Date: | File Number:4-434 | Rulemaking:Options Price Reporting Authority |
Status:
Final
Rule
Options Price Reporting Authority
34-43621,
34-42755
|
Issue Date: | File Number:S7-13-00 | Rulemaking:Revision of the Commission's Auditor Independence Requirements |
Status:
Final
Rule
Revision of the Commission's Auditor Independence Requirements
33-7919,
34-43602,
35-27279,
IC-24744,
IA-1911,
FR-56
|
Issue Date: | File Number:S7-16-00 | Rulemaking:Disclosure of Order Execution and Routing Practices |
Status:
Final
Rule
Disclosure of Order Execution and Routing Practices
34-43590
|
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
34-43591,
34-44852,
34-43085
|
Issue Date: | File Number:S7-26-99 | Rulemaking:Delivery of Proxy Statements and Information Statements to Households |
Status:
Final
Rule
Delivery of Proxy Statements and Information Statements to Households
33-7912,
34-43487,
IC-24715
|
Issue Date: | File Number:S7-18-00 | Rulemaking:Processing Requirements for Cancelled Security Certificates |
Status:
Proposed
Rule
Processing Requirements for Cancelled Security Certificates
34-43401,
34-48931
|
Issue Date: | File Number:S7-10-00 | Rulemaking:Electronic Filing by Investment Advisers; Amendments To Form ADV |
Status:
Final
Rule
Electronic Filing by Investment Advisers; Amendments To Form ADV
IA-1897
|
Issue Date: | File Number:S7-14-99 | Rulemaking:Amendments to the Commission's Freedom of Information and Privacy Act Rules and Confidential Treatment Rule 83 |
Status:
Final
Rule
Amendments to the Commission's Freedom of Information and Privacy Act Rules and Confidential Treatment Rule 83
34-43239,
FOIA-191,
PA-30
|
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
|
Displaying 2001 - 2100 of 2710
Modified: Feb. 20, 2024