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:S7-19-99 | Rulemaking:Political Contributions by Certain Investment Advisers |
Status:
Proposed
Rule
Political Contributions by Certain Investment Advisers
IA-1812
|
Issue Date: | File Number:S7-8-99 | Rulemaking:Year 2000 Operational Capability Requirements for Registered Broker-Dealers and Transfer Agents |
Status:
Final
Rule
Year 2000 Operational Capability Requirements for Registered Broker-Dealers and Transfer Agents
34-41661
|
Issue Date: | File Number:S7-18-99 | Rulemaking:Exemption of the Securities of the Republic of Portugal Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities |
Status:
Proposed
Rule
Exemption of the Securities of the Republic of Portugal Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
34-41644
|
Issue Date: | File Number:S7-16-99 | Rulemaking:Broker-Dealer Registration and Reporting |
Status:
Final
Rule
Broker-Dealer Registration and Reporting
34-41594
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to Cancel Registration of Certain Investment Advisers |
Status:
Final
Rule
Delegation of Authority to Cancel Registration of Certain Investment Advisers
IA-1804
|
Issue Date: | File Number:S7-4-99 | Rulemaking:Exemption of the Securities of the Kingdom of Sweden Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities |
Status:
Final
Rule
Exemption of the Securities of the Kingdom of Sweden Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
34-41453
|
Issue Date: | File Number:S7-17-99 | Rulemaking:Recordkeeping Requirements for Transfer Agents |
Status:
Proposed
Rule
Recordkeeping Requirements for Transfer Agents
34-41442,
34-44227
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-7685,
34-41411,
35-27026,
39-2373,
IC-23844
|
Issue Date: | File Number:S7-9-99 | Rulemaking:Rulemaking for EDGAR System |
Status:
Final
Rule
Rulemaking for EDGAR System
33-7684,
: 34-41410,
IC-23843
|
Issue Date: | File Number:S7-11-99 | Rulemaking:Revised Transfer Agent Form and Related Rule |
Status:
Proposed
Rule
Revised Transfer Agent Form and Related Rule
34-41204,
34-42892
|
Issue Date: | File Number:S7-17-96 | Rulemaking:Broker-Dealer Registration and Reporting |
Status:
Final
Rule
Broker-Dealer Registration and Reporting
34-41356
|
Issue Date: | File Number:S7-16-99 | Rulemaking:Broker-Dealer Registration and Reporting |
Status:
Proposed
Rule
Broker-Dealer Registration and Reporting
34-41351
|
Issue Date: | File Number:S7-15-99 | Rulemaking:Custody of Investment Company Assets Outside the United States |
Status:
Proposed
Rule
Custody of Investment Company Assets Outside the United States
IC-23815
|
Issue Date: | File Number:S7-23-95 | Rulemaking:Custody of Investment Company Assets Outside the United States; Extension of Compliance Date |
Status:
Final
Rule
Custody of Investment Company Assets Outside the United States; Extension of Compliance Date
IC-23814,
IS-1193
|
Issue Date: | File Number:S7-12-98 | Rulemaking:Regulation of Alternative Trading Systems; Technical Amendment |
Status:
Final
Rule
Regulation of Alternative Trading Systems; Technical Amendment
34-41297
|
Issue Date: | File Number:S7-31-98 | Rulemaking:Deregistration of Certain Registered Investment Companies |
Status:
Final
Rule
Deregistration of Certain Registered Investment Companies
IC-23786,
IC-23588
|
Issue Date: | File Number:S7-14-99 | Rulemaking:Amendments to the Commission's Freedom of Information Act, Privacy Act, and Confidential Treatment Rules |
Status:
Proposed
Rule
Amendments to the Commission's Freedom of Information Act, Privacy Act, and Confidential Treatment Rules
34-41288
|
Issue Date: | File Number:S7-5-99 | Rulemaking:Publication or Submission of Quotations Without Specified Information |
Status:
Proposed
Rule
Publication or Submission of Quotations Without Specified Information
34-41261
|
Issue Date: | File Number:S7-2-99 | Rulemaking:Transition Rule for Ohio Investment Advisers |
Status:
Final
Rule
Transition Rule for Ohio Investment Advisers
IA-1794,
IA-1787
|
Issue Date: | File Number:S7-30-98 | Rulemaking:The Regulation of Securities Offerings |
Status:
Proposed
Rule
The Regulation of Securities Offerings
33-7659
|
Issue Date: | File Number:S7-10-99 | Rulemaking:Offer and Sale of Securities to Canadian Tax-Deferred Retirement Savings Accounts |
Status:
Proposed
Rule
Offer and Sale of Securities to Canadian Tax-Deferred Retirement Savings Accounts
33-7656,
33-7860
|
Issue Date: | File Number:S7-12-98 | Rulemaking:Regulation of Exchanges and Alternative Trading Systems. Correction; |
Status:
Final
Rule
Regulation of Exchanges and Alternative Trading Systems. Correction;
3440760a
|
Issue Date: | File Number:S7-9-99 | Rulemaking:Rulemaking for EDGAR System |
Status:
Proposed
Rule
Rulemaking for EDGAR System
33-7653
|
Issue Date: | File Number:S7-8-99 | Rulemaking:Operational Capability Requirements of Registered Broker-Dealers and Transfer Agents and Year 2000 Compliance |
Status:
Proposed
Rule
Operational Capability Requirements of Registered Broker-Dealers and Transfer Agents and Year 2000 Compliance
34-41142
|
Issue Date: | File Number:S7-5-99 | Rulemaking:Publication or Submission of Quotations Without Specified Information |
Status:
Proposed
Rule
Publication or Submission of Quotations Without Specified Information
34-41110,
34-41261
|
Issue Date: | File Number:S7-7-99 | Rulemaking:Financial Statements and Periodic Reports for Related Issuers and Guarantors |
Status:
Proposed
Rule
Financial Statements and Periodic Reports for Related Issuers and Guarantors
33-7649,
33-7878
|
Issue Date: | File Number:S7-15-98 | Rulemaking:Exemption of the Securities of the Kingdom of Belgium Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities |
Status:
Final
Rule
Exemption of the Securities of the Kingdom of Belgium Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
34-41116,
International Series Release No. 118,
34-40077
|
Issue Date: | File Number:S7-2-98 | Rulemaking:Registration of Securities on Form S-8 |
Status:
Proposed
Rule
Registration of Securities on Form S-8
33-7647
|
Issue Date: | File Number: | Rulemaking:Revision of Rule 504 of Regulation D, the "Seed Capital' Exemption |
Status:
Final
Rule
Revision of Rule 504 of Regulation D, the "Seed Capital' Exemption
33-7644,
S7-14-98,
33-7541
|
Issue Date: | File Number:S7-2-98 | Rulemaking:Registration of Securities on Form S-8 |
Status:
Final
Rule
Registration of Securities on Form S-8
33-7646,
34-41109
|
Issue Date: | File Number:S7-5-98 | Rulemaking:Rule 701Exempt Offerings Pursuant to Compensatory Arrangements |
Status:
Final
Rule
Rule 701Exempt Offerings Pursuant to Compensatory Arrangements
33-7645,
33-7511
|
Issue Date: | File Number:S7-2-99 | Rulemaking:Transition Rule for Ohio Investment Advisers |
Status:
Proposed
Rule
Transition Rule for Ohio Investment Advisers
IA-1787,
IA-1794
|
Issue Date: | File Number:S7-3-99 | Rulemaking:International Disclosure Standards |
Status:
Proposed
Rule
International Disclosure Standards
33-7637,
34-41936
|
Issue Date: | File Number:S7-23-95 | Rulemaking:Custody of Investment Company Assets Outside the United States |
Status:
Final
Rule
Custody of Investment Company Assets Outside the United States
IC-23670,
IS-1179
|
Issue Date: | File Number:S7-18-97 | Rulemaking:Rulemaking for EDGAR System |
Status:
Final
Rule
Rulemaking for EDGAR System
34-40934,
IC-23640
|
Issue Date: | File Number:S7-31-96, S7-7-86 | Rulemaking:Technical Amendments Under the Investment Advisers Act of 1940 |
Status:
Final
Rule
Technical Amendments Under the Investment Advisers Act of 1940
IA-1780
|
Issue Date: | File Number:S7-28-97 | Rulemaking:Technical Changes to Schedule I to Form ADV |
Status:
Final
Rule
Technical Changes to Schedule I to Form ADV
IA-1733A
|
Issue Date: | File Number:S7-17-98 | Rulemaking:Segment Reporting |
Status:
Final
Rule
Segment Reporting
33-7620,
33-7549
|
Issue Date: | File Number:S7-12-98 | Rulemaking:Regulation of Exchanges and Alternative Trading Systems |
Status:
Final
Rule
Regulation of Exchanges and Alternative Trading Systems
34-40760,
34-39884
|
Issue Date: | File Number:S7-13-98 | Rulemaking:Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products |
Status:
Final
Rule
Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products
34-40761
|
Issue Date: | File Number:S7-31-98 | Rulemaking:Deregistration of Certain Registered Investment Companies |
Status:
Proposed
Rule
Deregistration of Certain Registered Investment Companies
IC-23588,
IC-23786
|
Issue Date: | File Number:S7-29-98 | Rulemaking:Cross-Border Tender Offers, Business Combinations and Rights Offerings |
Status:
Proposed
Rule
Cross-Border Tender Offers, Business Combinations and Rights Offerings
33-7611
|
Issue Date: | File Number:S7-30-98 | Rulemaking:The Regulation of Securities Offerings |
Status:
Proposed
Rule
The Regulation of Securities Offerings
33-7606A
|
Issue Date: | File Number: | Rulemaking:Frequently Asked Questions About the Statement of the Commission Regarding Disclosure of Year 2000 Issues and Consequences by Public Companies |
Status:
Interpretive
Release
Frequently Asked Questions About the Statement of the Commission Regarding Disclosure of Year 2000 Issues and Consequences by Public Companies
33-7609
|
Issue Date: | File Number:S7-26-98 | Rulemaking:Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 |
Status:
Proposed
Rule
Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
34-40643
|
Issue Date: | File Number:S7-30-97 | Rulemaking:OTC Derivatives Dealers; Correction |
Status:
Final
Rule
OTC Derivatives Dealers; Correction
34-40594a,
34-39454,
34-39455,
34-39456,
34-39704,
34-40594
|
Issue Date: | File Number:S7-19-97 | Rulemaking:Update of Registration Form to Reflect Fee Rate Change for Registration of Certain Investment Company Securities |
Status:
Final
Rule
Update of Registration Form To Reflect Fee Rate Change for Registration of Certain Investment Company Securities
33-7608,
33-7478
|
Issue Date: | File Number:S7-23-98 | Rulemaking:Rules of Practice |
Status:
Final
Rule
Rules of Practice
34-40636
|
Issue Date: | File Number:S7-28-98 | Rulemaking:Regulation of Takeovers and Security Holder Communications |
Status:
Proposed
Rule
Regulation of Takeovers and Security Holder Communications
33-7607,
33-7760
|
Issue Date: | File Number:S7-27-98 | Rulemaking:Purchases of Certain Equity Securities by the Issuer and Others |
Status:
Proposed
Rule
Purchases of Certain Equity Securities by the Issuer and Others
34-40617
|
Issue Date: | File Number:S7-7-98 | Rulemaking:Reports To Be Made by Certain Brokers and Dealers |
Status:
Final
Rule
Reports To Be Made by Certain Brokers and Dealers
34-40608
|
Issue Date: | File Number:S7-30-97 | Rulemaking:OTC Derivatives Dealers |
Status:
Final
Rule
OTC Derivatives Dealers
34-40594
|
Issue Date: | File Number:S7-8-98 | Rulemaking:Year 2000 Readiness Reports To Be Made by Certain Non-Bank Transfer Agents |
Status:
Final
Rule
Year 2000 Readiness Reports To Be Made by Certain Non-Bank Transfer Agents
34-40587
|
Issue Date: | File Number:S7-16-98 | Rulemaking:Amendment to Rule 102(e) of the Commission's Rules of Practice |
Status:
Final
Rule
Amendment to Rule 102(e) of the Commission's Rules of Practice
33-7593
|
Issue Date: | File Number:S7-26-98 | Rulemaking:Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 |
Status:
Proposed
Rule
Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
34-40518
|
Issue Date: | File Number:S7-20-98 | Rulemaking:Investment Adviser Year 2000 Reports |
Status:
Final
Rule
Investment Adviser Year 2000 Reports
IA-1769,
IA-1728
|
Issue Date: | File Number:S7-25-98 | Rulemaking:Processing of Reorganization Events, Tender Offers, and Exchange Offers |
Status:
Proposed
Rule
Processing of Reorganization Events, Tender Offers, and Exchange Offers
34-40386
|
Issue Date: | File Number:S7-23-98 | Rulemaking:Rules of Practice |
Status:
Proposed
Rule
Rules of Practice
34-40364
|
Issue Date: | File Number:S7-8-98 | Rulemaking:Year 2000 Readiness Reports To Be Made by Certain Transfer Agents Correction |
Status:
Final
Rule
Year 2000 Readiness Reports To Be Made by Certain Transfer Agents Correction
34-40163A
|
Issue Date: | File Number: | Rulemaking:Statement of the Commission Regarding Disclosure of Year 2000 Issues and Consequences by Public Companies, Investment Advisers, Investment Companies, and Municipal Securities Issuers |
Status:
Interpretive
Release
Statement of the Commission Regarding Disclosure of Year 2000 Issues and Consequences by Public Companies, Investment Advisers, Investment Companies, and Municipal Securities Issuers
33-7558
|
Issue Date: | File Number:4-208 | Rulemaking:Intermarket Trading System ("ITS') Plan; Proposed Amendments to Expand the ITS/Computer Assisted Execution System Linkage to all Listed Securities and to Eliminate the Unanimous Vote Provision |
Status:
Proposed
Rule
Intermarket Trading System ("ITS') Plan; Proposed Amendments to Expand the ITS/Computer Assisted Execution System Linkage to all Listed Securities and to Eliminate the Unanimous Vote Provision
34-40260
|
Issue Date: | File Number:S7-22-98 | Rulemaking:Temporary Exemption for Certain Investment Advisers |
Status:
Proposed
Rule
Temporary Exemption for Certain Investment Advisers
IC-23325,
IC-24177
|
Issue Date: | File Number:S7-28-97 | Rulemaking:Exemption for Investment Advisers Operating in Multiple States; Revisions to Rules Implementing Amendments to the Investment Advisers Act of 1940; Investment Advisers With Principal Offices and Places of Business in Colorado or Iowa |
Status:
Final
Rule
Exemption for Investment Advisers Operating in Multiple States; Revisions to Rules Implementing Amendments to the Investment Advisers Act of 1940; Investment Advisers With Principal Offices and Places of Business in Colorado or Iowa
IA-1733,
IA-1681
|
Displaying 2201 - 2300 of 2710
Modified: Feb. 20, 2024