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:S7-28-97 | 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
|
Issue Date: | File Number: | Rulemaking:Interpretation of Section 206(3) of the Investment Advisers Act of 1940 |
Status:
Interpretive
Release
Interpretation of Section 206(3) of the Investment Advisers Act of 1940
IA-1732
|
Issue Date: | File Number:4-208 | Rulemaking:Proposed Rulemaking Pursuant to Section 11A of the Securities Exchange Act of 1934 to Amend the Intermarket Trading System ("ITS') Plan To Link the PCX Application of the OptiMark System to the ITS System |
Status:
Proposed
Rule
Proposed Rulemaking Pursuant to Section 11A of the Securities Exchange Act of 1934 to Amend the Intermarket Trading System ("ITS') Plan To Link the PCX Application of the OptiMark System to the ITS System
34-40204
|
Issue Date: | File Number:S7-16-98 | Rulemaking:Proposed Amendment to Rule 102(e) of the Commission's Rules of Practice |
Status:
Proposed
Rule
Proposed Amendment to Rule 102(e) of the Commission's Rules of Practice
33-7555
|
Issue Date: | File Number:S7-29-97 | Rulemaking:Exemption To Allow Investment Advisers To Charge Fees Based Upon a Share of Capital Gains Upon or Capital Appreciation of a Client's Account |
Status:
Final
Rule
Exemption To Allow Investment Advisers To Charge Fees Based Upon a Share of Capital Gains Upon or Capital Appreciation of a Client's Account
IA-1731,
IA-1682
|
Issue Date: | File Number:S7-8-98 | Rulemaking:Year 2000 Readiness Reports To Be Made by Certain Transfer Agents |
Status:
Proposed
Rule
Year 2000 Readiness Reports To Be Made by Certain Transfer Agents
34-40165,
34-40163
|
Issue Date: | File Number:S7-7-98 | Rulemaking:Reports To Be Made by Certain Brokers and Dealers |
Status:
Proposed
Rule
Reports To Be Made by Certain Brokers and Dealers
34-40164
|
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
34-40162
|
Issue Date: | File Number:S7-8-98 | Rulemaking:Year 2000 Readiness Reports To Be Made by Certain Transfer Agents |
Status:
Final
Rule
Year 2000 Readiness Reports To Be Made by Certain Transfer Agents
34-40163,
34-40165
|
Issue Date: | File Number:S7-20-98 | Rulemaking:Investment Adviser Year 2000 Reports |
Status:
Proposed
Rule
Investment Adviser Year 2000 Reports
IA-1728,
IA-1769
|
Issue Date: | File Number:S7-19-98 | Rulemaking:Options Disclosure Document |
Status:
Proposed
Rule
Options Disclosure Document
33-7550,
33-8049
|
Issue Date: | File Number:S7-18-98 | Rulemaking:Amendment to Rule 9b-1 Under the Securities Exchange Act Relating to the Options Disclosure Document |
Status:
Proposed
Rule
Amendment to Rule 9b-1 Under the Securities Exchange Act Relating to the Options Disclosure Document
34-40129
|
Issue Date: | File Number:S7-17-98 | Rulemaking:Segment Reporting |
Status:
Proposed
Rule
Segment Reporting
33-7549,
33-7620
|
Issue Date: | File Number:S7-4-97 | Rulemaking:Definitions of "Small Business' or "Small Organization' Under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933 |
Status:
Final
Rule
Definitions of "Small Business' or "Small Organization' Under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933
33-7548
|
Issue Date: | File Number:S7-16-98 | Rulemaking:Proposed Amendment to Rule 102(e) of the Commission's Rules of Practice |
Status:
Proposed
Rule
Proposed Amendment to Rule 102(e) of the Commission's Rules of Practice
34-40089
|
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:
Proposed
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
34-40077,
34-41116
|
Issue Date: | File Number:S7-14-98 | Rulemaking:Revision of Rule 504 of Regulation D, the "Seed Capital' Exemption |
Status:
Proposed
Rule
Revision of Rule 504 of Regulation D, the "Seed Capital' Exemption
33-7541,
33-7644
|
Issue Date: | File Number:S7-25-97 | Rulemaking:Amendments To Rules On Shareholder Proposals |
Status:
Final
Rule
Amendments To Rules On Shareholder Proposals
34-40018,
34-39093
|
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-23201
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-7539
|
Issue Date: | File Number:S7-13-98 | Rulemaking:Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products; Correction |
Status:
Proposed
Rule
Proposed Amendment to Rule 19b-4, Under the Securities Exchange Act of 1934, That Would Deem the Listing and Trading of New Derivative Securities Products by Self-Regulatory Organizations To Not Be Proposed Rule Changes
34-39885
|
Issue Date: | File Number:S7-12-98 | Rulemaking:Regulation of Exchanges and Alternative Trading Systems |
Status:
Proposed
Rule
Regulation of Exchanges and Alternative Trading Systems
34-39884,
34-40760
|
Issue Date: | File Number:S7-7-98 | Rulemaking:Reports to be Made by Certain Brokers and Dealers |
Status:
Proposed
Rule
Reports to be Made by Certain Brokers and Dealers
34-39858
|
Issue Date: | File Number:S7-8-98 | Rulemaking:Year 2000 Readiness Reports To Be Made by Transfer Agents |
Status:
Proposed
Rule
Year 2000 Readiness Reports To Be Made by Transfer Agents
34-39859
|
Issue Date: | File Number:S7-10-98 | Rulemaking:Confirmation and Affirmation of Securities Trades; Matching |
Status:
Interpretive
Release
Confirmation and Affirmation of Securities Trades; Matching
34-39829
|
Issue Date: | File Number: | Rulemaking:Statement of the Commission Regarding Use of Internet Web Sites to Offer Securities, Solicit Securities Transactions or Advertise Investment Services Offshore |
Status:
Interpretive
Release
Statement of the Commission Regarding Use of Internet Web Sites to Offer Securities, Solicit Securities Transactions or Advertise Investment Services Offshore
33-7516
|
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:
Proposed
Rule
Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Life Insurance Policies
33-7514,
33-8088
|
Issue Date: | File Number:S7-10-97 | Rulemaking:Registration Form Used by Open-End Management Investment Companies |
Status:
Final
Rule
Registration Form Used by Open-End Management Investment Companies
33-7512f,
33-7398,
33-7512r
|
Issue Date: | File Number:S7-10-97 | Rulemaking:Registration Form Used by Open-End Management Investment Companies |
Status:
Final
Rule
Registration Form Used by Open-End Management Investment Companies
33-7512r,
33-7398,
33-7512f
|
Issue Date: | File Number:S7-18-96 | Rulemaking:New Disclosure Option for Open-End Management Investment Companies |
Status:
Final
Rule
New Disclosure Option for Open-End Management Investment Companies
33-7513
|
Issue Date: | File Number:S7-8-98 | Rulemaking:Year 2000 Readiness Reports To Be Made by Transfer Agents |
Status:
Proposed
Rule
Year 2000 Readiness Reports To Be Made by Transfer Agents
34-39726
|
Issue Date: | File Number:S7-7-98 | Rulemaking:Reports To Be Made by Certain Brokers and Dealers |
Status:
Proposed
Rule
Reports To Be Made by Certain Brokers and Dealers
34-39724
|
Issue Date: | File Number:S7-11-95 | Rulemaking:Exemption of Issuance and Sale of Securities by Public Utility and Nonutility Subsidiary Companies of Registered Public Utility Holding Companies; Rescission of Statements of Policy |
Status:
Final
Rule
Exemption of Issuance and Sale of Securities by Public Utility and Nonutility Subsidiary Companies of Registered Public Utility Holding Companies; Rescission of Statements of Policy
35-26826,
35-26312
|
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:S7-5-98 | Rulemaking:Rule 701Exempt Offerings Pursuant to Compensatory Arrangements |
Status:
Proposed
Rule
Rule 701Exempt Offerings Pursuant to Compensatory Arrangements
33-7511,
33-7645
|
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
33-7506
|
Issue Date: | File Number:S7-30-97, S7-31-97, S7-32-97 | Rulemaking:OTC Derivatives Dealers; Correction |
Status:
Proposed
Rule
OTC Derivatives Dealers, Net Capital Rule
34-39704,
34-39454,
33-39455
|
Issue Date: | File Number:S7-3-98 | Rulemaking:Publication or Submission of Quotations Without Specified Information |
Status:
Proposed
Rule
Publication or Submission of Quotations Without Specified Information
34-39670
|
Issue Date: | File Number: | Rulemaking:Offshore Offers and Sales (Regulation S) Effective Date: 60 days after publication in Federal Register . |
Status:
Final
Rule
Offshore Offers and Sales (Regulation S) Effective Date: 60 days after publication in Federal Register .
33-7505 Part 1,
33-7505 Part 2
|
Issue Date: | File Number: | Rulemaking:Offshore Offers and Sales (Regulation S) Effective Date: 60 days after publication in Federal Register . |
Status:
Final
Rule
Offshore Offers and Sales (Regulation S) Effective Date: 60 days after publication in Federal Register .
33-7505 Part 2,
33-7505 Part 1
|
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
34-39627
|
Issue Date: | File Number: | Rulemaking:Commission Procedures for Filing Applications for Orders for Exemptive Relief Pursuant to Section 36 of the Exchange Act |
Status:
Final
Rule
Commission Procedures for Filing Applications for Orders for Exemptive Relief Pursuant to Section 36 of the Exchange Act
34-39624
|
Issue Date: | File Number:S7-3-97 | Rulemaking:Plain English Disclosure |
Status:
Final
Rule
Plain English Disclosure
33-7497,
34-38164
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-7495
|
Issue Date: | File Number:S7-17-97 | Rulemaking:Covered Securities Pursuant to Section 18 of the Securities Act of 1933 |
Status:
Final
Rule
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
33-7494
|
Issue Date: | File Number:S7-16-96 | Rulemaking:Amendments to Beneficial Ownership Reporting Requirements |
Status:
Final
Rule
Amendments to Beneficial Ownership Reporting Requirements
34-39538,
34-37403
|
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:S7-33-97 | Rulemaking:Capital Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934 |
Status:
Proposed
Rule
Capital Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934
34-39457
|
Issue Date: | File Number:S7-31-97 | Rulemaking:OTC Derivatives Dealers; Correction |
Status:
Proposed
Rule
Net Capital Rule
34-39455,
34-39704,
34-39456
|
Issue Date: | File Number:S7-30-97 | Rulemaking:OTC Derivatives Dealers; Correction |
Status:
Proposed
Rule
OTC Derivatives Dealers
34-39454
|
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
33-7478,
33-7608
|
Issue Date: | File Number:S7-29-96 | Rulemaking:Technical Revisions to the Rules and Forms Regulating Money Market Funds |
Status:
Final
Rule
Technical Revisions to the Rules and Forms Regulating Money Market Funds
33-7479,
33-7371
|
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:S7-28-97 | 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:
Proposed
Rule
Exemption for Investment Advisers Operating in Multiple States; Revisions to Rules Implementing Amendments to the Investment Advisers Act of 1940
IA-1681,
IA-1733
|
Displaying 2301 - 2400 of 2710
Modified: Feb. 20, 2024