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:Commission Guidance on Management's Discussion and Analysis of Financial Condition and Results of Operations
Corporation Finance
|
Status:
Interpretive
Release
Commission Guidance on Management's Discussion and Analysis of Financial Condition and Results of Operations
33-10751,
34-88094
|
Issue Date: | File Number: |
Rulemaking:Commission Interpretation and Guidance Regarding the Applicability of the Proxy Rules to Proxy Voting Advice
Corporation Finance
|
Status:
Interpretive
Release
Commission Interpretation and Guidance Regarding the Applicability of the Proxy Rules to Proxy Voting Advice
34-86721
|
Issue Date: | File Number: |
Rulemaking:Regulation Best Interest: The Broker-Dealer Standard of Conduct
Trading and Markets, Investment Management
|
Status:
Interpretive
Release
Commission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion From the Definition of Investment Adviser
IA-5249
|
Issue Date: | File Number:S7-07-18 |
Rulemaking:Commission Interpretation Regarding Standard of Conduct for Investment Advisers
Investment Management
|
Status:
Interpretive
Release
Commission Interpretation Regarding Standard of Conduct for Investment Advisers
IA-5248
|
Issue Date: | File Number:S7-09-18 |
Rulemaking:Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation
Investment Management
|
Status:
Interpretive
Release
Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation
IA-4889
|
Issue Date: | File Number: |
Rulemaking:Commission Statement and Guidance on Public Company Cybersecurity Disclosures
Corporation Finance
|
Status:
Interpretive
Release
Commission Statement and Guidance on Public Company Cybersecurity Disclosures
33-10459,
34-82746
|
Issue Date: | File Number:S7-07-13 |
Rulemaking:Pay Ratio Disclosure
Corporation Finance
|
Status:
Interpretive
Release
Commission Guidance on Pay Ratio Disclosure
33-10415,
34-81673
|
Issue Date: | File Number: | Rulemaking:Commission Guidance Regarding Revenue Recognition for Bill-and-Hold Arrangements |
Status:
Interpretive
Release
Commission Guidance Regarding Revenue Recognition for Bill-and-Hold Arrangements
33-10402,
34-81428,
IC-32784
|
Issue Date: | File Number: | Rulemaking:Updates to Commission Guidance Regarding Accounting for Sales of Vaccines and Bioterror Countermeasures to the Federal Government for Placement Into the Pediatric Vaccine Stockpile or the Strategic National Stockpile |
Status:
Interpretive
Release
Updates to Commission Guidance Regarding Accounting for Sales of Vaccines and Bioterror Countermeasures to the Federal Government for Placement Into the Pediatric Vaccine Stockpile or the Strategic National Stockpile
33-10403,
34-81429,
IC-32785
|
Issue Date: | File Number:S7-03-16 |
Rulemaking:Notice of Proposed Commission Interpretation Regarding Automated Quotations Under Regulation NMS
Trading and Markets
|
Status:
Interpretive
Release
Commission Interpretation Regarding Automated Quotations Under Regulation NMS
34-78102
|
Issue Date: | File Number:S7-05-16 | Rulemaking:Certain Natural Gas and Electric Power Contracts |
Status:
Interpretive
Release
Certain Natural Gas and Electric Power Contracts
33-10062
|
Issue Date: | File Number:S7-03-16 |
Rulemaking:Notice of Proposed Commission Interpretation Regarding Automated Quotations Under Regulation NMS
Trading and Markets
|
Status:
Interpretive
Release
Notice of Proposed Commission Interpretation Regarding Automated Quotations Under Regulation NMS
34-77407
|
Issue Date: | File Number: | Rulemaking:Interpretation of the SEC's Whistleblower Rules Under Section 21F of the Securities Exchange Act of 1934 |
Status:
Interpretive
Release
Interpretation of the SEC's Whistleblower Rules Under Section 21F of the Securities Exchange Act of 1934
34-75592
|
Issue Date: | File Number: | Rulemaking:Commission Guidance Regarding the Definition of the Terms "Spouse" and "Marriage" Following the Supreme Court's Decision in United States v. Windsor |
Status:
Interpretive
Release
Commission Guidance Regarding the Definition of the Terms "Spouse" and "Marriage" Following the Supreme Court's Decision in United States v. Windsor
33-9850
|
Issue Date: | File Number:S7-16-11 |
Rulemaking:Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
Trading and Markets
|
Status:
Interpretive
Release
Forward Contracts With Embedded Volumetric Optionality
34-74936
|
Issue Date: | File Number:S7-16-11 |
Rulemaking:Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
Trading and Markets
|
Status:
Interpretive
Release
Forward Contracts With Embedded Volumetric Optionality
33-9681,
34-73584
|
Issue Date: | File Number:S7-02-13 |
Rulemaking:Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities; Republication
Trading and Markets
|
Status:
Interpretive
Release
Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities; Republication
34-72472
|
Issue Date: | File Number:S7-06-12 |
Rulemaking:Commission Guidance Regarding Definitions of Mortgage Related Security and Small Business Related Security
Trading and Markets
|
Status:
Interpretive
Release
Commission Guidance Regarding Definitions of Mortgage Related Security and Small Business Related Security
34-67448
|
Issue Date: | File Number: | Rulemaking:Commission Guidance Regarding Auditing, Attestation, and Related Professional Practice Standards Related To Brokers and Dealers |
Status:
Interpretive
Release
Commission Guidance Regarding Auditing, Attestation, and Related Professional Practice Standards Related To Brokers and Dealers
34-62991
|
Issue Date: | File Number: |
Rulemaking:Commission Guidance on Presentation of Liquidity and Capital Resources Disclosures in Management's Discussion and Analysis
Corporation Finance
|
Status:
Interpretive
Release
Commission Guidance on Presentation of Liquidity and Capital Resources Disclosures in Management's Discussion and Analysis
33-9144,
34-62934,
FR-83
|
Issue Date: | File Number: | Rulemaking:Commission Guidance Regarding Disclosure Related to Climate Change |
Status:
Interpretive
Release
Commission Guidance Regarding Disclosure Related to Climate Change
33-9106,
34-61469,
FR-82
|
Issue Date: | File Number: |
Rulemaking:Custody of Funds or Securities of Clients by Investment Advisers
Investment Management
|
Status:
Interpretive
Release
Commission Guidance Regarding Independent Public Accountant Engagements Performed Pursuant to Rule 206(4)-2 Under the Investment Advisers Act of 1940
IA-2969,
FR-81
|
Issue Date: | File Number: | Rulemaking:Commission Guidance Regarding the Financial Accounting Standards Board's Accounting Standards Codification |
Status:
Interpretive
Release
Commission Guidance Regarding the Financial Accounting Standards Board's Accounting Standards Codification
33-9062A,
34-60519A,
FR-80A
|
Issue Date: | File Number:S7-15-08 |
Rulemaking:Modernization of Oil and Gas Reporting
Corporation Finance
|
Status:
Interpretive
Release
Modernization of Oil and Gas Reporting
33-8995,
34-59192,
FR-78
|
Issue Date: | File Number:S7-23-08 |
Rulemaking:Commission Guidance on the Use of Company Web Sites
Corporation Finance
|
Status:
Interpretive
Release
Commission Guidance on the Use of Company Web Sites
34-58288,
IC-28351
|
Issue Date: | File Number:S7-24-06 | Rulemaking:Amendments to Rules Regarding Management's Report on Internal Control Over Financial Reporting |
Status:
Interpretive
Release
Commission Guidance Regarding Management's Report on Internal Control Over Financial Reporting Under Section 13(a) or 15(d) of the Securities Exchange Act of 1934
33-8810,
34-55929,
FR-77
|
Issue Date: | File Number:S7-13-06 | Rulemaking:Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934 |
Status:
Interpretive
Release
Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934
34-54165
|
Issue Date: | File Number: | Rulemaking:Commission Guidance Regarding Accounting for Sales of Vaccines and Bioterror Countermeasures to the Federal Government for Placement Into the Pediatric Vaccine Stockpile or the Strategic National Stockpile |
Status:
Interpretive
Release
Commission Guidance Regarding Accounting for Sales of Vaccines and Bioterror Countermeasures to the Federal Government for Placement Into the Pediatric Vaccine Stockpile or the Strategic National Stockpile
33-8642,
34-52885,
IC-27178
|
Issue Date: | File Number:S7-09-05 | Rulemaking:Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934 |
Status:
Interpretive
Release
Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934
34-52635
|
Issue Date: | File Number:S7-03-05 | Rulemaking:Commission Guidance Regarding Prohibited Conduct in Connection with IPO Allocations |
Status:
Interpretive
Release
Commission Guidance Regarding Prohibited Conduct in Connection with IPO Allocations
33-8565,
34-51500,
IC-26828
|
Issue Date: | File Number: | Rulemaking:Commission Guidance Regarding the Public Company Accounting Oversight Board's Auditing and Related Professional Practice Standard No. 1 |
Status:
Interpretive
Release
Commission Guidance Regarding the Public Company Accounting Oversight Board's Auditing and Related Professional Practice Standard No. 1
33-8422,
FR-73
|
Issue Date: | File Number: | Rulemaking:Commission Guidance Regarding Management's Discussion and Analysis of Financial Condition and Results of Operations |
Status:
Interpretive
Release
Commission Guidance Regarding Management's Discussion and Analysis of Financial Condition and Results of Operations
33-8350,
34-48960,
FR-72
|
Issue Date: | File Number: | Rulemaking:Commission Guidance on Rule 3b-3 and Married Put Transactions |
Status:
Interpretive
Release
Commission Guidance on Rule 3b-3 and Married Put Transactions
34-48795
|
Issue Date: | File Number: | Rulemaking:Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 |
Status:
Interpretive
Release
Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
34-47910
|
Issue Date: | File Number: | Rulemaking:Electronic Storage of Broker-Dealer Records |
Status:
Interpretive
Release
Electronic Storage of Broker-Dealer Records
34-47806
|
Issue Date: | File Number:S7-23-02 | Rulemaking:Commission Guidance on the Application of Certain Provisions of the Securities Act of 1933, the Securities Exchange Act of 1934, and Rules Thereunder to Trading in Security Futures Products |
Status:
Interpretive
Release
Commission Guidance on the Application of Certain Provisions of the Securities Act of 1933, the Securities Exchange Act of 1934, and Rules Thereunder to Trading in Security Futures Products
33-8107,
34-46101
|
Issue Date: | File Number: | Rulemaking:Commission Guidance on the Scope of Section 28(e) of the Exchange Act |
Status:
Interpretive
Release
Commission Guidance on the Scope of Section 28(e) of the Exchange Act
34-45194
|
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: | 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: | 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: | Rulemaking:Commission Guidance on Mini-Tender Offers and Limited Partnership Tender Offers |
Status:
Interpretive
Release
Commission Guidance on Mini-Tender Offers and Limited Partnership Tender Offers
34-43069,
IC-24564>
|
Issue Date: | File Number:S7-11-00 | Rulemaking:Use of Electronic Media |
Status:
Interpretive
Release
Use of Electronic Media
34-42728
|
Issue Date: | File Number: | Rulemaking:Interpretive Matters Concerning Independent Directors of Investment Companies |
Status:
Interpretive
Release
Interpretive Matters Concerning Independent Directors of Investment Companies
IC-24083
|
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: | 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: | 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: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:S7-13-96 | 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:
Interpretive
Release
Use of Electronic Media for Delivery Purposes
33-7233,
34-36345,
IC-21399
|
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:S7-04-94 | 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: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: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: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
|
Displaying 1 - 100 of 112
Modified: Feb. 20, 2024