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:S7-16-04 | Rulemaking:Rulemaking for EDGAR System |
Status:
Final
Rule
Rulemaking for EDGAR System
33-8590A,
34-52052A,
35-28002A,
39-2437A,
IC-26990A
|
Issue Date: | File Number:S7-38-04 | Rulemaking:Securities Offering Reform |
Status:
Final
Rule
Securities Offering Reform; Correction
33-8591A,
34-52056A,
IC-26993A,
FR-75A,
International Series Release No. 1294A
|
Issue Date: | File Number:S7-03-06 | Rulemaking:Executive Compensation and Related Person Disclosure |
Status:
Proposed
Rule
Executive Compensation and Related Party Disclosure
33-8655
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-8656,
34-53186,
35-28081,
39-2441,
IC-27219
|
Issue Date: | File Number:S7-10-04 | Rulemaking:Regulation NMS |
Status:
Final
Rule
Regulation NMS
34-51808A
|
Issue Date: | File Number:S7-12-05 | Rulemaking:Termination of a Foreign Private Issuer's Registration of a Class of Securities Under Section 12(g) and Duty To File Reports Under Section 13(a) or 15(d) of the Securities Exchange Act of 1934 |
Status:
Proposed
Rule
Termination of a Foreign Private Issuer's Registration of a Class of Securities Under Section 12(g) and Duty To File Reports Under Section 15(d) of the Securities Exchange Act of 1934
34-53020
|
Issue Date: | File Number:S7-08-05 | Rulemaking:Revisions to Accelerated Filer Definition and Accelerated Deadlines for Filing Periodic Reports |
Status:
Final
Rule
Revisions to Accelerated Filer Definition and Accelerated Deadlines for Filing Periodic Reports
33-8644,
34-52989
|
Issue Date: | File Number:S7-11-05 | Rulemaking:Amendments to the Tender Offer Best-Price Rules |
Status:
Proposed
Rule
Amendments to the Tender Offer Best-Price Rule
34-52968,
IC-27193
|
Issue Date: | File Number:S7-10-05 | Rulemaking:Internet Availability of Proxy Materials |
Status:
Proposed
Rule
Internet Availability of Proxy Materials
34-52926,
IC-27182
|
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:S7-05-05 | Rulemaking:Adoption of Amendments to the Rules of Practice and Related Provisions and Delegations of Authority of the Commission |
Status:
Final
Rule
Adoption of Amendments to the Rules of Practice and Related Provisions and Delegations of Authority of the Commission
34-52846
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-8633,
34-52708,
35-28053,
39-2440,
IC-27139
|
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: | Rulemaking:Adoption of Amendment to Delegation of Authority to Secretary of the Commission |
Status:
Final
Rule
Adoption of Amendment to Delegation of Authority to Secretary of the Commission
34-52602
|
Issue Date: | File Number:S7-08-05 | Rulemaking:Revisions to Accelerated Filer Definition and Accelerated Deadlines for Filing Periodic Reports |
Status:
Proposed
Rule
Revisions to Accelerated Filer Definition and Accelerated Deadlines for Filing Periodic Reports
33-8617,
34-52491
|
Issue Date: | File Number:S7-40-02, S7-06-03 | Rulemaking:Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports of Non-Accelerated Filers and Foreign Private Issuers |
Status:
Final
Rule
Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports of Companies That Are Not Accelerated Filers
33-8618,
34-52492
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-8612,
34-52477,
35-28033,
39-2439,
IC-27070
|
Issue Date: | File Number:S7-25-99 | Rulemaking:Certain Broker-Dealers Deemed Not To Be Investment Advisers, Extension of Compliance Date |
Status:
Final
Rule
Certain Broker-Dealers Deemed Not To Be Investment Advisers, Extension of Compliance Date
34-52407,
IA-2426
|
Issue Date: | File Number:S7-10-04 | Rulemaking:Regulation NMS |
Status:
Final
Rule
Regulation NMS
34-52355
|
Issue Date: | File Number:S7-27-04 | 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
33-8600,
34-52202,
35-28013,
IC-27025
|
Issue Date: | File Number:S7-02-04 | Rulemaking:Amendments to the Penny Stock Rules |
Status:
Final
Rule
Amendments to the Penny Stock Rules
34-51983A
|
Issue Date: | File Number:S7-10-04 | Rulemaking:Regulation NMS |
Status:
Final
Rule
Regulation NMS
34-52196
|
Issue Date: | File Number:S7-11-01 | Rulemaking:Technical Amendments to Rules Setting Forth the Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index |
Status:
Final
Rule
Technical Amendments to Rules Setting Forth the Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index
34-52115
|
Issue Date: | File Number:S7-38-04 | Rulemaking:Securities Offering Reform |
Status:
Final
Rule
Securities Offering Reform
33-8591,
34-52056,
IC-26993,
FR-75
|
Issue Date: | File Number:S7-16-04 | Rulemaking:Rulemaking for EDGAR System |
Status:
Final
Rule
Rulemaking for EDGAR System
33-8590,
34-52052,
35-28002,
39-2437,
IC-26990
|
Issue Date: | File Number:S7-19-04 | Rulemaking:Use of Form S-8, Form 8-K, and Form 20-F by Shell Companies |
Status:
Final
Rule
Use of Form S-8, Form 8-K, and Form 20-F by Shell Companies
33-8587,
34-52038,
International Series Rel. No. 1293
|
Issue Date: | File Number:S7-25-04 | Rulemaking:Removal From Listing and Registration of Securities Pursuant to Section 12(d) of the Securities Exchange Act of 1934 |
Status:
Final
Rule
Removal From Listing and Registration of Securities Pursuant to Section 12(d) of the Securities Exchange Act of 1934
34-52029
|
Issue Date: | File Number:S7-02-04 | Rulemaking:Amendments to the Penny Stock Rules |
Status:
Final
Rule
Amendments to the Penny Stock Rules
34-51983
|
Issue Date: | File Number:S7-03-04 | Rulemaking:Investment Company Governance |
Status:
Final
Rule
Investment Company Governance
IC-26985,
IC-26323,
IC-27395
|
Issue Date: | File Number:S7-10-04 | Rulemaking:Regulation NMS |
Status:
Final
Rule
Regulation NMS
34-51808
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-8573,
34-51710,
35-27970,
39-2436,
IC-26872
|
Issue Date: | File Number:S7-05-05 | Rulemaking:Adoption of Amendments to the Rules of Practice and Related Provisions and Delegations of Authority of the Commission |
Status:
Proposed
Rule
Proposed Amendments to the Rules of Practice and Related Provisions
34-51595
|
Issue Date: | File Number:S7-04-05 | Rulemaking:Definition of Nationally Recognized Statistical Rating Organization |
Status:
Proposed
Rule
Definition of Nationally Recognized Statistical Rating Organization
33-8570,
34-51572,
IC-26834
|
Issue Date: | File Number: | Rulemaking:Amendment to Rule 4-01(a) of Regulation S-X Regarding the Compliance Date for Statement of Financial Accounting Standards No. 123 (Revised 2004), Share-Based Payment |
Status:
Final
Rule
Amendment to Rule 4-01(a) of Regulation S-X Regarding the Compliance Date for Statement of Financial Accounting Standards No. 123 (Revised 2004), Share-Based Payment
33-8568,
34-51558,
35-27959,
IC-26833,
FR-74
|
Issue Date: | File Number:S7-15-04 | Rulemaking:First-Time Application of International Financial Reporting Standards |
Status:
Final
Rule
First-Time Application of International Financial Reporting Standards
33-8567,
34-51535,
IS-1285
|
Issue Date: | File Number:S7-25-99 | Rulemaking:Certain Broker-Dealers Deemed Not To Be Investment Advisers |
Status:
Final
Rule
Certain Broker-Dealers Deemed Not To Be Investment Advisers
34-51523,
IA-2376
|
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:S7-11-04 | Rulemaking:Mutual Fund Redemption Fees |
Status:
Final
Rule
Mutual Fund Redemption Fees
IC-26782
|
Issue Date: | File Number:S7-40-02, S7-06-03 | Rulemaking:Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports of Non-Accelerated Filers and Foreign Private Issuers |
Status:
Final
Rule
Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports of Non-Accelerated Filers and Foreign Private Issuers
33-8545,
34-51293
|
Displaying 1601 - 1700 of 2713
Modified: Feb. 20, 2024