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:S7-40-92 | Rulemaking:Rules of Practice |
Status:
Final
Rule
Rules of Practice
34-35844
|
Issue Date: | File Number:S7-7-95 | Rulemaking:Prospectus Delivery; Securities Transactions Settlement |
Status:
Final
Rule
Prospectus Delivery; Securities Transactions Settlement
33-7168,
34-35705
|
Issue Date: | File Number: | Rulemaking:Establishment of Commission Quorum Requirement |
Status:
Final
Rule
Establishment of Commission Quorum Requirement
34-35548
|
Issue Date: | File Number:S7-10-95 | Rulemaking:Improving Descriptions of Risk by Mutual Funds and Other Investment Companies |
Status:
Concept
Release
Improving Descriptions of Risk by Mutual Funds and Other Investment Companies
33-7153,
34-35546,
IC-20974
|
Issue Date: | File Number:S7-32-93 | Rulemaking:Exemption for Open-End Management Investment Companies Issuing Multiple Classes of Shares; Disclosure by Multiple Class and Master- Feeder Funds; Class Voting on Distribution Plans |
Status:
Final
Rule
Exemption for Open-End Management Investment Companies Issuing Multiple Classes of Shares; Disclosure by Multiple Class and Master- Feeder Funds; Class Voting on Distribution Plans
33-7143,
IC-20915
|
Issue Date: | File Number:S7-24-88 | Rulemaking:Exemption for Certain Open-End Management Investment Companies To Impose Contingent Deferred Sales Loads |
Status:
Final
Rule
Exemption for Certain Open-End Management Investment Companies To Impose Contingent Deferred Sales Loads
IC-20916
|
Issue Date: | File Number:S7-5-95 | Rulemaking:Disclosure by Investment Advisers Regarding Soft Dollar Practices |
Status:
Proposed
Rule
Disclosure by Investment Advisers Regarding Soft Dollar Practices
34-35375
|
Issue Date: | File Number:SR-AMEX-94-59, SR-CBOE-94-49, SR-CHX-94-27, SR-MSRB-94-17, SR-NASD-94-72, SR-NYSE-94-43, SR-PSE-94-35, SR-PHLX-94-52 | Rulemaking:Order Approving Proposed Rule Changes by the American Stock Exchange, Inc., Chicago Board Options Exchange, Inc., Chicago Stock Exchange, Inc., Municipal Securities Rulemaking Board, National Association of Securities Dealers, Inc., New York Stock Exchange, Inc., Pacific Stock Exchange Inc., and Philadelphia Stock Exchange, Inc., Relating to a Continuing Education Requirement for Registered Persons |
Status:
Final
Rule
Order Approving Proposed Rule Changes by the American Stock Exchange, Inc., Chicago Board Options Exchange, Inc., Chicago Stock Exchange, Inc., Municipal Securities Rulemaking Board, National Association of Securities Dealers, Inc., New York Stock Exchang
34-35341
|
Issue Date: | File Number:S7-4-95 | Rulemaking:Unlisted Trading Privileges |
Status:
Proposed
Rule
Unlisted Trading Privileges
34-35323
|
Issue Date: | File Number:S7-3-95 | Rulemaking:Registration Fees for Certain Investment Companies |
Status:
Proposed
Rule
Registration Fees for Certain Investment Companies
33-7133
|
Issue Date: | File Number:S7-36-94 | Rulemaking:Adoption of Amendments To Clarify Safe Harbors for Broker-Dealer Research Reports |
Status:
Final
Rule
Adoption of Amendments To Clarify Safe Harbors for Broker-Dealer Research Reports
33-7132
|
Issue Date: | File Number:S7-17-94 | Rulemaking:Proposed Rule Changes of Self Regulatory Organizations; Annual Filing of Amendments to Registration Statements of National Securities Exchanges, Securities Associations, and Reports of the Municipal Securities Rulemaking Board |
Status:
Final
Rule
Proposed Rule Changes of Self Regulatory Organizations; Annual Filing of Amendments to Registration Statements of National Securities Exchanges, Securities Associations, and Reports of the Municipal Securities Rulemaking Board
34-35123
|
Issue Date: | File Number:S7-3-94 | Rulemaking:Recordkeeping and Reporting Requirements for Trading Systems Operated by Brokers and Dealers |
Status:
Final
Rule
Recordkeeping and Reporting Requirements for Trading Systems Operated by Brokers and Dealers
34-35124
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-7123,
34-35114,
35-26192,
39-2327,
IC-20784
|
Issue Date: | File Number:S7-20-94 | Rulemaking:Rulemaking for EDGAR System |
Status:
Final
Rule
Rulemaking for EDGAR System
33-7122,
34-35113,
35-26191,
39-2326,
IC-20783
|
Issue Date: | File Number:S7-11-94 | Rulemaking:Selection of Reporting Currency for Financial Statements of Foreign Private Issuers and Reconciliation to US GAAP for Foreign Private Issuers With Operations in a Hyperinflationary Economy |
Status:
Final
Rule
Selection of Reporting Currency for Financial Statements of Foreign Private Issuers and Reconciliation to US GAAP for Foreign Private Issuers With Operations in a Hyperinflationary Economy
33-7117,
34-35093,
International Series Release No. 757
|
Issue Date: | File Number:S7-12-94 | Rulemaking:Financial Statements of Significant Foreign Equity Investees and Acquired Foreign Businesses of Domestic Issuers and Financial Schedules |
Status:
Final
Rule
Financial Statements of Significant Foreign Equity Investees and Acquired Foreign Businesses of Domestic Issuers and Financial Schedules
33-7118,
34-35094,
IC-20766,
International Series No. 758
|
Issue Date: | File Number:S7-13-94 | Rulemaking:Reconciliation of the Accounting by Foreign Private Issuers for Business Combinations |
Status:
Final
Rule
Reconciliation of the Accounting by Foreign Private Issuers for Business Combinations
33-7119,
34-35095,
International Series Release No. 759
|
Issue Date: | File Number:S7-34-94 | Rulemaking:Transfer Agents Operating Direct Registration System |
Status:
Concept
Release
Transfer Agents Operating Direct Registration System
34-35038
|
Issue Date: | File Number:S7-35-94 | Rulemaking:Proposed Amendments to the Transfer Agent Rules |
Status:
Proposed
Rule
Proposed Amendments to the Transfer Agent Rules
34-35040
|
Issue Date: | File Number:S7-26-94 | Rulemaking:Limited Partnership Roll-Up Transactions |
Status:
Final
Rule
Limited Partnership Roll-Up Transactions
33-7113,
34-35036
|
Issue Date: | File Number:S7-1-92 | Rulemaking:Notice of Assumption or Termination of Transfer Agent Services |
Status:
Final
Rule
Notice of Assumption or Termination of Transfer Agent Services
34-35039
|
Issue Date: | File Number:S7-5-94 | Rulemaking:Municipal Securities Disclosure |
Status:
Final
Rule
Municipal Securities Disclosure
34-34961
|
Issue Date: | File Number:S7-6-94 | Rulemaking:Confirmation of Transactions |
Status:
Final
Rule
Confirmation of Transactions
34-34962
|
Issue Date: | File Number:S7-32-94 | Rulemaking:Request for Comments on Modernization of the Regulation of Public-Utility Holding Companies |
Status:
Concept
Release
Request for Comments on Modernization of the Regulation of Public-Utility Holding Companies
35-26153,
IC-20675,
International Series Release No. 740
|
Issue Date: | File Number:S7-16-94 | Rulemaking:Exemptive Relief and Simplification of Filing Requirements for Debt Securities To Be Listed on a National Securities Exchange |
Status:
Final
Rule
Exemptive Relief and Simplification of Filing Requirements for Debt Securities To Be Listed on a National Securities Exchange
34-34922
|
Issue Date: | File Number:S7-30-94 | Rulemaking:Internalized/Affiliate Practices, Payment for Order Flow and Order Routing Practices |
Status:
Proposed
Rule
Internalized/Affiliate Practices, Payment for Order Flow and Order Routing Practices
34-34903
|
Issue Date: | File Number:S7-29-93 | Rulemaking:Payment for Order Flow |
Status:
Final
Rule
Payment for Order Flow
34-34902
|
Issue Date: | File Number:S7-29-94 | Rulemaking:Safe Harbor for Forward-Looking Statements |
Status:
Concept
Release
Safe Harbor for Forward-Looking Statements
33-7101,
34-34831,
35-26141,
39-2324,
IC-20613
|
Issue Date: | File Number:S7-33-93 | Rulemaking:Amendments to Proxy Rules for Registered Investment Companies |
Status:
Final
Rule
Amendments to Proxy Rules for Registered Investment Companies
33-7102,
34-34832,
IC-20614
|
Issue Date: | File Number:S7-28-94 | Rulemaking:Customer Limit Orders |
Status:
Proposed
Rule
Customer Limit Orders
34-34753
|
Issue Date: | File Number: | Rulemaking:Rulemaking for EDGAR System: Financial Data Schedules |
Status:
Final
Rule
Rulemaking for EDGAR System: Financial Data Schedules
33-7072,
34-34330,
35-26079,
IC-20388
|
Issue Date: | File Number:S7-04-94 | Rulemaking:Statement of the Commission Regarding Disclosure Obligations of Municipal Securities Issuers and Others |
Status:
Interpretive
Release
Statement of the Commission Regarding Disclosure Obligations of Municipal Securities Issuers and Others
33-7049,
34-33741,
FR-42
|
Issue Date: | File Number: | Rulemaking:Executive Compensation Disclosure; Securityholder Lists and Mailing Requests |
Status:
Final
Rule
Executive Compensation Disclosure; Securityholder Lists and Mailing Requests
33-7032
|
Issue Date: | File Number: | Rulemaking:Adoption of Additional Small Business Initiatives |
Status:
Final
Rule
Adoption of Additional Small Business Initiatives
33-6996
|
Issue Date: | File Number: | Rulemaking:Disclosure of Mutual Fund Performance and Portfolio Managers |
Status:
Final
Rule
Disclosure of Mutual Fund Performance and Portfolio Managers
33-6988,
IC-19382
|
Issue Date: | File Number: | Rulemaking:Registration of Successors to BrokerDealers and Investment Advisers |
Status:
Interpretive
Release
Registration of Successors to BrokerDealers and Investment Advisers
34-31661,
IA-1357
|
Issue Date: | File Number: | Rulemaking:Adoption of Small Business Initiatives |
Status:
Final
Rule
Adoption of Small Business Initiatives
33-6949
|
Issue Date: | File Number: | Rulemaking:Final Temporary Risk Assessment Rules |
Status:
Final
Rule
Final Temporary Risk Assessment Rules
34-30929
|
Issue Date: | File Number: | Rulemaking:Penny Stock Disclosure Rules |
Status:
Final
Rule
Penny Stock Disclosure Rules
34-30608
|
Issue Date: | File Number: | Rulemaking:Acceptance of Signature Guarantees from Eligible Guarantor Institutions |
Status:
Final
Rule
Acceptance of Signature Guarantees from Eligible Guarantor Institutions
34-30146
|
Issue Date: | File Number: | Rulemaking:Limited Partnership Reorganizations and Public Offerings of Limited Partnership Interests |
Status:
Interpretive
Release
Limited Partnership Reorganizations and Public Offerings of Limited Partnership Interests
33-6900,
34-29314
|
Issue Date: | File Number: | Rulemaking:Registration Requirements for Foreign Broker-Dealers |
Status:
Final
Rule
Registration Requirements for Foreign Broker-Dealers
34-27017
|
Issue Date: | File Number: | Rulemaking:Municipal Securities Disclosure |
Status:
Final
Rule
Municipal Securities Disclosure
34-26985
|
Issue Date: | File Number: | Rulemaking:Management's Discussion and Analysis of Financial Condition and Results of Operations; Certain Investment Company Disclosures |
Status:
Interpretive
Release
Management's Discussion and Analysis of Financial Condition and Results of Operations; Certain Investment Company Disclosures
33-6835,
34-26831,
IC-16961,
FR-36
|
Issue Date: | File Number:S7-20-88 | Rulemaking:Amendments to Municipal Securities Disclosure |
Status:
Proposed
Rule
Amendments to Municipal Securities Disclosure
34-26100
|
Issue Date: | File Number: | Rulemaking:Applicability of the Investment Advisers Act to Financial Planners, Pension Consultants, and Other Persons Who Provide Investment Advisory Services as a Component of Other Financial Services |
Status:
Interpretive
Release
Applicability of the Investment Advisers Act to Financial Planners, Pension Consultants, and Other Persons Who Provide Investment Advisory Services as a Component of Other Financial Services
IA-1092
|
Issue Date: | File Number: | Rulemaking:The Commission is adopting Rule 3a4-1 specifying a non--exclusive safe harbor under which persons associated with an issuer of securities who participate in sales of that issuer's securities will not be considered to be acting as "brokers" as that term is defined in the Securities Exchange Act of 1934. |
Status:
Final
Rule
The Commission is adopting Rule 3a4-1 specifying a non--exclusive safe harbor under which persons associated with an issuer of securities who participate in sales of that issuer's securities will not be considered to be acting as "brokers" as
34-22172
|
Issue Date: | File Number: | Rulemaking:Processing of Tender Offers within the National Clearance and SettlementSystem |
Status:
Final
Rule
Processing of Tender Offers within the National Clearance and SettlementSystem
34-20581
|
Issue Date: | File Number: | Rulemaking:Maintenance of Accurate Securityholder Files and safeguarding of Funds and Securities by Registered Transfer Agents |
Status:
Final
Rule
Maintenance of Accurate Securityholder Files and safeguarding of Funds and Securities by Registered Transfer Agents
34-19860
|
Issue Date: | File Number: | Rulemaking:Applicability of the Investment Advisers Act to Financial Planners, Pension Consultants, and Other Persons Who Provide Investment Advisory Services as a Component of Other Financial Services |
Status:
Interpretive
Release
Applicability of the Investment Advisers Act to Financial Planners, Pension Consultants, and Other Persons Who Provide Investment Advisory Services as a Component of Other Financial Services
IA-770
|
Issue Date: | File Number: | Rulemaking:Regulation of Transfer Agents |
Status:
Interpretive
Release
Regulation of Transfer Agents.
34-17111
|
Issue Date: | File Number: | Rulemaking:Securities Position Listing Rule |
Status:
Final
Rule
Securities Position Listing Rule
34-16443
|
Issue Date: | File Number: | Rulemaking:Division of Investment Management's Interpretive Positions Relating to Rule 13f-1 and Related Form 13F |
Status:
Interpretive
Release
Division of Investment Management's Interpretive Positions Relating to Rule 13f-1 and Related Form 13F
34-15292
|
Displaying 2601 - 2700 of 2710
Modified: Feb. 20, 2024