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: | Rulemaking:Revisions to Forms SB-1, SB-2, Regulation A and Regulation S-T With Regard to the Appropriate Place for Filing for Registrants in the Regions Covered by the Northeast, Southeast, Midwest, Central and Pacific Regional Offices |
Status:
Final
Rule
Revisions to Forms SB-1, SB-2, Regulation A and Regulation S-T With Regard to the Appropriate Place for Filing for Registrants in the Regions Covered by the Northeast, Southeast, Midwest, Central and Pacific Regional Offices
33-7373
|
Issue Date: | File Number:S7-15-94 | Rulemaking:Custody of Investment Company Assets With Futures Commission Merchants and Commodity Clearing Organizations |
Status:
Final
Rule
Custody of Investment Company Assets With Futures Commission Merchants and Commodity Clearing Organizations
IC-22389
|
Issue Date: | File Number:S7-29-96 | Rulemaking:Technical Revisions to the Rules and Forms Regulating Money Market Funds |
Status:
Proposed
Rule
Technical Revisions to the Rules and Forms Regulating Money Market Funds
33-7371,
33-7479
|
Issue Date: | File Number:S7-28-96 | Rulemaking:Rulemaking for the EDGAR System |
Status:
Proposed
Rule
Rulemaking for the EDGAR System
33-7369
|
Issue Date: | File Number:S7-30-95 | Rulemaking:Order Execution Obligations |
Status:
Final
Rule
Order Execution Obligations
34-37972,
34-37619A
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to the General Counsel |
Status:
Final
Rule
Delegation of Authority to the General Counsel
34-37893
|
Issue Date: | File Number:S7-27-96 | 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
34-37850
|
Issue Date: | File Number:S7-26-96 | Rulemaking:Offshore Press Conferences, Meetings with Company Representatives Conducted Offshore and Press-Related Materials Released Offshore |
Status:
Proposed
Rule
Offshore Press Conferences, Meetings With Company Representatives Conducted Offshore and Press Related Materials Released Offshore
33-7356,
33-7470
|
Issue Date: | File Number:S7-19-95 | Rulemaking:Periodic Reporting of Unregistered Equity Sales |
Status:
Final
Rule
Periodic Reporting of Unregistered Equity Sales
34-37801
|
Issue Date: | File Number:S7-19-95 | Rulemaking:Streamlining Disclosure Requirements Relating to Significant Business Acquisitions |
Status:
Final
Rule
Streamlining Disclosure Requirements Relating to Significant Business Acquisitions
33-7355
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-7351,
34-37774,
35-26585,
39-2343,
IC-22257
|
Issue Date: | File Number:S7-14-96 | Rulemaking:Changes Selected Rules in Order To Eliminate Fees Previously Adopted by the Commission Pursuant to the Independent Offices Appropriations Act of 1952 |
Status:
Final
Rule
Changes Selected Rules in Order To Eliminate Fees Previously Adopted by the Commission Pursuant to the Independent Offices Appropriations Act of 1952
33-7331
|
Issue Date: | File Number:S7-19-96 | Rulemaking:Securities Act Concepts and Their Effects on Capital Formation |
Status:
Concept
Release
Securities Act Concepts and Their Effects on Capital Formation
33-7329,
33-7314
|
Issue Date: | File Number:S7-24-96 | Rulemaking:Rule Amendments Relating to Multiple Class and Series Investment Companies |
Status:
Proposed
Rule
Rule Amendments Relating to Multiple Class and Series Investment Companies
IC-22203,
IC-22835
|
Issue Date: | File Number:S7-2-96 | Rulemaking:Technical Amendments to Rule Relating to Payments for the Distribution of Shares by a Registered Open-End Management Investment Company |
Status:
Final
Rule
Technical Amendments to Rule Relating to Payments for the Distribution of Shares by a Registered Open-End Management Investment Company
IC-22201
|
Issue Date: | File Number:S7-8-95 | Rulemaking:Exemption for Certain Open-End Management Investment Companies to Impose Deferred Sales Loads |
Status:
Final
Rule
Exemption for Certain Open-End Management Investment Companies to Impose Deferred Sales Loads
IC-22202
|
Issue Date: | File Number:S7-30-95 | Rulemaking:Order Execution Obligations |
Status:
Final
Rule
Order Execution Obligations
34-37619A,
34-37972
|
Issue Date: | File Number:S7-2-95 | Rulemaking:Form BD Amendments |
Status:
Final
Rule
Form BD Amendments
34-37632,
34-37431
|
Issue Date: | File Number:S7-23-96 | Rulemaking:Expansion of Short-Form Registration To Include Companies With Non-Voting Common Equity |
Status:
Proposed
Rule
Expansion of Short-Form Registration To Include Companies With Non-voting Common Equity
33-7326,
33-7419
|
Issue Date: | File Number:S7-22-96 | Rulemaking:Proposed Quote Rule Amendment |
Status:
Proposed
Rule
Proposed Quote Rule Amendment
34-37620
|
Issue Date: | File Number:S7-21-96 | Rulemaking:Lost Securityholders |
Status:
Proposed
Rule
Lost Securityholders
34-37595,
34-39176
|
Issue Date: | File Number:S7-20-96 | Rulemaking:Proposed Rule: Implementation of Section 10A of the Securities Exchange Act of 1934 |
Status:
Proposed
Rule
Proposed Rule: Implementation of Section 10A of the Securities Exchange Act of 1934
34-37594
|
Issue Date: | File Number:S7-34-93 | Rulemaking:Revisions to Rules Regulating Money Market Funds |
Status:
Final
Rule
Revisions to Rules Regulating Money Market Funds
33-7320,
33-7275,
IC-21837
|
Issue Date: | File Number:S7-19-96 | Rulemaking:Securities Act Concepts and Their Effects on Capital Formation |
Status:
Concept
Release
Securities Act Concepts and Their Effects on Capital Formation
33-7314,
33-7329
|
Issue Date: | File Number:S7-17-96 | Rulemaking:Broker-Dealer Registration and Reporting |
Status:
Proposed
Rule
Broker-Dealer Registration and Reporting
34-37432
|
Issue Date: | File Number:S7-2-95 | Rulemaking:Form BD Amendments |
Status:
Final
Rule
Form BD Amendments
34-37431,
34-37632
|
Issue Date: | File Number:S7-16-96 | Rulemaking:Amendments to Beneficial Ownership Reporting Requirements |
Status:
Proposed
Rule
Amendments to Beneficial Ownership Reporting Requirements
34-37403,
34-39538
|
Issue Date: | File Number:S7-15-96 | Rulemaking:Phase Two Recommendations of Task Force on Disclosure Simplification Effective Date: Sep. 2, 1997 |
Status:
Proposed
Rule
Phase Two Recommendations of Task Force on Disclosure Simplification
33-7301,
33-7431 Part 1
|
Issue Date: | File Number:S7-21-94 | 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
34-37260 Part 1
|
Issue Date: | File Number:S7-21-94 | 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
34-37260 Part 2
|
Issue Date: | File Number: | Rulemaking:Employee Benefit Plan Exemptive Rules Under Section 16 of the Securities Exchange Act of 1934 |
Status:
Final
Rule
Employee Benefit Plan Exemptive Rules Under Section 16 of the Securities Exchange Act of 1934
34-37261
|
Issue Date: | File Number:S7-6-96 | Rulemaking:Phase One Recommendations of Task Force on Disclosure Simplification |
Status:
Final
Rule
Phase One Recommendations of Task Force on Disclosure Simplification
33-7300
|
Issue Date: | File Number:S7-13-96 | Rulemaking:Use of Electronic Media by Broker-Dealers, Transfer Agents, and Investment Advisers for Delivery of Information; Additional Examples Under the Securities Act of 1933, Securities Exchange Act of 1934, and Investment Company Act of 1940 |
Status:
Interpretive
Release
Use of Electronic Media by Broker-Dealers, Transfer Agents, and Investment Advisers for Delivery of Information; Additional Examples Under the Securities Act of 1933, Securities Exchange Act of 1934, and Investment Company Act of 1940
33-7288
|
Issue Date: | File Number:S7-31-95 | Rulemaking:Use of Electronic Media for Delivery Purposes |
Status:
Final
Rule
Use of Electronic Media for Delivery Purposes
33-7289,
33-7233
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to Director of Division of Enforcement |
Status:
Final
Rule
Delegation of Authority to Director of Division of Enforcement
34-37159
|
Issue Date: | File Number:S7-15-95 | Rulemaking:Exemption for Certain California Limited Issues |
Status:
Final
Rule
Exemption for Certain California Limited Issues
33-7285
|
Issue Date: | File Number:S7-16-95 | Rulemaking:Relief From Reporting by Small Issuers |
Status:
Final
Rule
Relief From Reporting by Small Issuers
34-37157
|
Issue Date: | File Number:S7-12-96 | Rulemaking:Odd-Lot Tender Offers by Issuers |
Status:
Proposed
Rule
Odd-lot Tender Offers by Issuers
33-7283,
33-7376
|
Issue Date: | File Number:S7-11-96 | Rulemaking:Trading Practices Rules Concerning Securities Offerings |
Status:
Proposed
Rule
Trading Practices Rules Concerning Securities Offerings
33-7282
|
Issue Date: | File Number:S7-35-95 | Rulemaking:Proposed Amendments To Require Disclosure of Accounting Policies for Derivative Financial Instruments and Derivative Commodity Instruments and Disclosure of Qualitative and Quantitative Information About Market Risk Inherent in Derivative Financial Instruments, Other Financial Instruments, and Derivative Commodity Instruments |
Status:
Proposed
Rule
Proposed Amendments To Require Disclosure of Accounting Policies for Derivative Financial Instruments and Derivative Commodity Instruments and Disclosure of Qualitative and Quantitative Information About Market Risk Inherent in Derivative Financial Instru
33-7281
|
Issue Date: | File Number:S7-10-96 | Rulemaking:Safe Harbor for Disclosure of Qualitative and Quantitative Information About Market Risk Inherent in Derivative Financial Instruments, Other Financial Instruments, and Derivative Commodity Instruments |
Status:
Proposed
Rule
Safe Harbor for Disclosure of Qualitative and Quantitative Information About Market Risk Inherent in Derivative Financial Instruments, Other Financial Instruments, and Derivative Commodity Instruments
33-7280
|
Issue Date: | File Number:S7-40-92 | Rulemaking:Correction: Rules of Practice (the Commission's procedural rules that govern administrative proceedings) |
Status:
Final
Rule
Correction: Rules of Practice (the Commission's procedural rules that govern administrative proceedings)
200-30
|
Issue Date: | File Number:S7-7-96 | Rulemaking:Exemption for the Acquisition of Securities During the Existence of an Underwriting Syndicate |
Status:
Proposed
Rule
Exemption for the Acquisition of Securities During the Existence of an Underwriting Syndicate
IC-21838
|
Issue Date: | File Number:S7-34-93 | Rulemaking:Revisions to Rules Regulating Money Market Funds |
Status:
Final
Rule
Revisions to Rules Regulating Money Market Funds
33-7275,
IC-21837,
33-7320
|
Issue Date: | File Number:S7-34-95 | Rulemaking:Exemption of the Securities of the Federative Republic of Brazil, the Republic of Argentina, and the Republic of Venezuela 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 Federative Republic of Brazil, the Republic of Argentina, and the Republic of Venezuela Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on those Securities
34-36940
|
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
34-36824,
34-45848
|
Issue Date: | File Number:S7-32-95 | Rulemaking:Calculation of Yield by Certain Unit Investment Trusts |
Status:
Proposed
Rule
Calculation of Yield by Certain Unit Investment Trusts
33-7253
|
Issue Date: | File Number:S7-35-95 | Rulemaking:Proposed amendments to require disclosure of accounting policies for derivatives Reference: Rel. Nos. 34-36643, IC-21625 |
Status:
Proposed
Rule
Proposed amendments to require disclosure of accounting policies for derivatives Reference: Rel. Nos. 34-36643, IC-21625
33-7250
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual and Technical Rule Amendments |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual and Technical Rule Amendments
33-7241,
34-36479,
35-26407,
IC-21500
|
Issue Date: | File Number:S7-26-95 | Rulemaking:Exemption of the Securities of the United Mexican States 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 United Mexican States Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
34-36530
|
Issue Date: | File Number:S7-32-95 | Rulemaking:Calculation of Yield by Certain Unit Investment Trusts |
Status:
Proposed
Rule
Calculation of Yield by Certain Unit Investment Trusts
33-7242
|
Issue Date: | File Number:S7-31-95 | Rulemaking:Use of Electronic Media for Delivery Purposes |
Status:
Interpretive
Release
Use of Electronic Media for Delivery Purposes
33-7233,
34-36345,
IC-21399
|
Issue Date: | File Number:S7-23-95 | Rulemaking:Custody of Investment Company Assets Outside the United States Extension of Comment Period |
Status:
Proposed
Rule
Custody of Investment Company Assets Outside the United States Extension of Comment Period
IC-21398
|
Issue Date: | File Number:S7-25-95 | Rulemaking:Personal Investment Activities of Investment Company Personnel and Codes of Ethics of Investment Companies and Their Investment Advisers and Principal Underwriters |
Status:
Proposed
Rule
Personal Investment Activities of Investment Company Personnel and Codes of Ethics of Investment Companies and Their Investment Advisers and Principal Underwriters
33-7212
|
Issue Date: | File Number: | Rulemaking:Status of Investment Advisory Programs Under the Investment Company Act of 1940 |
Status:
Proposed
Rule
Status of Investment Advisory Programs Under the Investment Company Act of 1940
IC-21260,
IC-22579
|
Issue Date: | File Number:S7-23-95 | Rulemaking:Custody of Investment Company Assets Outside the United States |
Status:
Proposed
Rule
Custody of Investment Company Assets Outside the United States
IC-21259
|
Issue Date: | File Number:S7-22-94 | Rulemaking:Payment for Investment Company Services With Brokerage Commissions |
Status:
Final
Rule
Payment for Investment Company Services With Brokerage Commissions
33-7197,
IC-21221,
FR-46
|
Issue Date: | File Number:S7-22-95 | Rulemaking:Money Market Fund Quarterly Reporting |
Status:
Proposed
Rule
Money Market Fund Quarterly Reporting
IC-21217
|
Issue Date: | File Number: | Rulemaking:Money Market Fund Prospectuses |
Status:
Proposed
Rule
Money Market Fund Prospectuses
33-7196
|
Issue Date: | File Number:S7-20-95 | Rulemaking:Problematic Practices Under Regulation S |
Status:
Interpretive
Release
Problematic Practices Under Regulation S
33-7190
|
Issue Date: | File Number:S7-18-95 | Rulemaking:Solicitations of Interest Prior to an Initial Public Offering |
Status:
Proposed
Rule
Solicitations of Interest Prior to an Initial Public Offering
33-7188
|
Issue Date: | File Number:S7-14-95 | Rulemaking:Streamlining and Consolidation of Executive and Director Compensation Disclosure |
Status:
Proposed
Rule
Streamlining and Consolidation of Executive and Director Compensation Disclosure
33-7184
|
Issue Date: | File Number:S7-13-95 | Rulemaking:Use of Abbreviated Financial Statements in Documents Delivered to Investors Pursuant to the Securities Act of 1933 and Securities Exchange Act of 1934 |
Status:
Proposed
Rule
Use of Abbreviated Financial Statements in Documents Delivered to Investors Pursuant to the Securities Act of 1933 and Securities Exchange Act of 1934
33-7183
|
Issue Date: | File Number:S7-31-94 | Rulemaking:Disclosure Concerning Legal Proceedings Involving Management, Promoters, Control Persons and Others |
Status:
Proposed
Rule
Disclosure Concerning Legal Proceedings Involving Management, Promoters, Control Persons and Others
34-34923
|
Issue Date: | File Number:S7-12-95 | Rulemaking:Exemption of Acquisition By Registered Public-Utility Holding Companies of Securities of Nonutility Companies Engaged in Certain Energy-Related and Gas-Related Businesses; Exemption of Capital Contributions and Advances to Such Companies |
Status:
Proposed
Rule
Exemption of Acquisition By Registered Public-Utility Holding Companies of Securities of Nonutility Companies Engaged in Certain Energy-Related and Gas-Related Businesses; Exemption of Capital Contributions and Advances to Such Companies
35-26313
|
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:
Proposed
Rule
Exemption of Issuance and Sale of Securities By Public-Utility and Nonutility Subsidiary Companies of Registered Public-Utility Holding Companies
35-26312,
35-26826
|
Issue Date: | File Number:S7-17-92 | Rulemaking:Exemption of Issuance and Sale of Certain Securities by Public Utility and Nonutility Subsidiary Companies of Registered Public Utility Holding Companies; Exemption of Acquisition by Companies in a Registered Public Utility Holding Company System of Certain Securities of Associate Companies; Exemption of Capital Contributions and Open Account Advances, Without Interest, by Parent Companies to Subsidiary Companies |
Status:
Final
Rule
Exemption of Issuance and Sale of Certain Securities by Public Utility and Nonutility Subsidiary Companies of Registered Public Utility Holding Companies; Exemption of Acquisition by Companies in a Registered Public Utility Holding Company System of Certa
35-26311
|
Displaying 2501 - 2600 of 2710
Modified: Feb. 20, 2024