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:S7-29-96 | 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
|
Issue Date: | File Number:S7-27-97 | Rulemaking:Delivery of Disclosure Documents to Households |
Status:
Proposed
Rule
Delivery of Disclosure Documents to Households
33-7475,
33-7766
|
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:
Proposed
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-1682,
IA-1731
|
Issue Date: | File Number: | Rulemaking:Rule to Provide That the Commission Will Not Accept Paper Filings That are Required To Be Filed Electronically |
Status:
Final
Rule
Rule to Provide That the Commission Will Not Accept Paper Filings That are Required To Be Filed Electronically
33-7472
|
Issue Date: | File Number:S7-26-96 | Rulemaking:Offshore Press Conferences, Meetings with Company Representatives Conducted Offshore and Press-Related Materials Released Offshore |
Status:
Final
Rule
Offshore Press Conferences, Meetings with Company Representatives Conducted Offshore and Press-Related Materials Released Offshore
33-7470,
33-7356
|
Issue Date: | File Number:S7-21-96 | Rulemaking:Lost Securityholders |
Status:
Final
Rule
Lost Securityholders
34-39176,
34-37595
|
Issue Date: | File Number:S7-24-96 | Rulemaking:Rule Amendments Relating to Multiple Class and Series Investment Companies |
Status:
Final
Rule
Rule Amendments Relating to Multiple Class and Series Investment Companies
IC-22835,
IC-22203
|
Issue Date: | File Number:S7-25-97 | Rulemaking:Amendments To Rules On Shareholder Proposals |
Status:
Proposed
Rule
Amendments to Rules on Shareholder Proposals
34-39093,
34-40018
|
Issue Date: | File Number:S7-19-97 | Rulemaking:Registration Under the Securities Act of 1933 of Certain Investment Company Securities |
Status:
Final
Rule
Registration Under the Securities Act of 1933 of Certain Investment Company Securities
33-7448,
33-7430
|
Issue Date: | File Number: | Rulemaking:Amendment of Rules Governing the Delegation of Authority to Regional Directors and the Director of the Division of Corporation Finance |
Status:
Final
Rule
Amendment of Rules Governing the Delegation of Authority to Regional Directors and the Director of the Division of Corporation Finance
33-7445
|
Issue Date: | File Number:S7-22-97 | Rulemaking:Equity Index Insurance Products |
Status:
Concept
Release
Equity Index Insurance Products
33-7438
|
Issue Date: | File Number:S7-7-96 | Rulemaking:Exemption for the Acquisition of Securities During the Existence of An Underwriting or Selling Syndicate |
Status:
Final
Rule
Exemption for the Acquisition of Securities During the Existence of An Underwriting or Selling Syndicate
IC-22775
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-7432,
34-38883,
35-26747,
39-2356,
IC-22769
|
Issue Date: | File Number:S7-16-97 | Rulemaking:Regulation of Exchanges |
Status:
Concept
Release
Regulation of Exchanges
34-38860
|
Issue Date: | File Number:S7-15-96 | Rulemaking:Phase Two Recommendations of Task Force on Disclosure Simplification Effective Date: Sep. 2, 1997 |
Status:
Final
Rule
Phase Two Recommendations of Task Force on Disclosure Simplification Effective Date: Sep. 2, 1997
33-7431 Part 1,
33-7301
|
Issue Date: | File Number:S7-15-96 | Rulemaking:Phase Two Recommendations of Task Force on Disclosure Simplification Effective Date: Sep. 2, 1997 |
Status:
Final
Rule
Phase Two Recommendations of Task Force on Disclosure Simplification Effective Date: Sep. 2, 1997
33-7431 Part 2,
33-7301
|
Issue Date: | File Number:S7-19-97 | Rulemaking:Registration Under the Securities Act of 1933 of Certain Investment Company Securities |
Status:
Proposed
Rule
Registration Under the Securities Act of 1933 of Certain Investment Company Securities
33-7430,
33-7448
|
Issue Date: | File Number:S7-18-97 | Rulemaking:Rulemaking for EDGAR System |
Status:
Proposed
Rule
Rulemaking for EDGAR System
34-38800
|
Issue Date: | File Number:S7-28-96 | Rulemaking:Rulemaking for the EDGAR System |
Status:
Final
Rule
Rulemaking for the EDGAR System
33-7427
|
Issue Date: | File Number: | Rulemaking:Amendments to Forms and Schedules to Remove Voluntary Provision of Social Security Numbers |
Status:
Final
Rule
Amendments to Forms and Schedules to Remove Voluntary Provision of Social Security Numbers
33-7424
|
Issue Date: | File Number:S7-17-97 | Rulemaking:Covered Securities Pursuant to Section 18 of the Securities Act of 1933 |
Status:
Proposed
Rule
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
33-7422
|
Issue Date: | File Number:S7-16-97 | Rulemaking:Regulation of Exchanges |
Status:
Concept
Release
Regulation of Exchanges
34-38672
|
Issue Date: | File Number:S7-31-96 | Rulemaking:Rules Implementing Amendments to the Investment Advisers Act of 1940 |
Status:
Final
Rule
Rules Implementing Amendments to the Investment Advisers Act of 1940
IA-1633
|
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-22658
|
Issue Date: | File Number:S7-23-96 | Rulemaking:Expansion of Short-Form Registration To Include Companies With Non-Voting Common Equity |
Status:
Final
Rule
Expansion of Short-Form Registration To Include Companies With Non-Voting Common Equity
33-7419,
33-7326
|
Issue Date: | File Number:S7-6-97 | Rulemaking:Definition of "Prepared By or On Behalf of the Issuer' for Purposes of Determining if an Offering Document is Subject to State Regulation |
Status:
Final
Rule
Definition of "Prepared By or On Behalf of the Issuer' for Purposes of Determining if an Offering Document is Subject to State Regulation
33-7418,
33-7388
|
Issue Date: | File Number:S7-30-96 | Rulemaking:Privately Offered Investment Companies |
Status:
Final
Rule
Privately Offered Investment Companies
IC-22597
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual; Correction and Further Delay of Implementation |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual; Correction and Further Delay of Implementation
33-7411,
34-38465,
35-26699,
39-2351,
IC-22595
|
Issue Date: | File Number: | Rulemaking:Informal Guidance Program for Small Entities |
Status:
Final
Rule
Informal Guidance Program for Small Entities
33-7407
|
Issue Date: | File Number:S7-14-97 | Rulemaking:Penalty-Reduction Policy for Small Entities |
Status:
Final
Rule
Penalty-Reduction Policy for Small Entities
33-7408
|
Issue Date: | File Number:S7-24-95 | Rulemaking:Status of Investment Advisory Programs Under the Investment Company Act of 1940 |
Status:
Final
Rule
Status of Investment Advisory Programs Under the Investment Company Act of 1940
IC-22579,
IC-21260
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual; Correction and Delay of Implementation |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual; Correction and Delay of Implementation
33-7405,
34-38419,
35-26688,
39-2348,
IC-22571
|
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:
Proposed
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
33-7404
|
Issue Date: | File Number:S7-20-96 | Rulemaking:Implementation of Section 10A of the Securities Exchange Act of 1934 |
Status:
Final
Rule
Implementation of Section 10A of the Securities Exchange Act of 1934
34-38387
|
Issue Date: | File Number:S7-11-96 | Rulemaking:Anti-Manipulation Rules Concerning Securities Offerings; Corrections |
Status:
Final
Rule
Anti-Manipulation Rules Concerning Securities Offerings; Corrections
33-7400
|
Issue Date: | File Number:S7-11-97 | Rulemaking:Investment Company Names |
Status:
Proposed
Rule
Investment Company Names
IC-22530,
IC-24828
|
Issue Date: | File Number:S7-18-96 | Rulemaking:Proposed New Disclosure Option for Open-End Management Investment Companies |
Status:
Proposed
Rule
Proposed New Disclosure Option for Open-End Management Investment Companies
33-7399
|
Issue Date: | File Number:S7-10-97 | Rulemaking:Registration Form Used by Open-End Management Investment Companies |
Status:
Proposed
Rule
Registration Form Used by Open-End Management Investment Companies
33-7398,
33-7512f,
33-7512r
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-7394,
34-38319,
35-26672,
39-2346,
IC-22522
|
Issue Date: | File Number:S7-9-97 | Rulemaking:Delayed Pricing for Certain Registrants |
Status:
Proposed
Rule
Delayed Pricing for Certain Registrants
33-7393
|
Issue Date: | File Number:S7-8-97 | Rulemaking:Offshore Offers and Sales |
Status:
Proposed
Rule
Offshore Offers and Sales
33-7392
|
Issue Date: | File Number:S7-07-97 | Rulemaking:Revision of Rule 144, Rule 145 and Form 144 |
Status:
Proposed
Rule
Revision of Rule 144, Rule 145 and Form 144
33-7391
|
Issue Date: | File Number:S7-17-95 | Rulemaking:Revision of Holding Period Requirements in Rules 144 and 145 |
Status:
Final
Rule
Revision of Holding Period Requirements in Rules 144 and 145
33-7390
|
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 Activities; Exemption of Capital Contributions and Advances to Such Companies |
Status:
Final
Rule
Exemption of Acquisition by Registered Public-Utility Holding Companies of Securities of Nonutility Companies Engaged in Certain Energy-Related and Gas-Related Activities; Exemption of Capital Contributions and Advances to Such Companies
35-26667
|
Issue Date: | File Number:S7-6-97 | Rulemaking:Definition of "Prepared By or On Behalf of the Issuer' for Purposes of Determining if an Offering Document is Subject to State Regulation |
Status:
Proposed
Rule
Definition of "Prepared by or on Behalf of the Issuer' for Purposes of Determining if an Offering Document is Subject to State Regulation.
33-7388,
33-7418
|
Issue Date: | File Number:S7-7-94 | Rulemaking:Net Capital Rule |
Status:
Final
Rule
Net Capital Rule
34-38248
|
Issue Date: | File Number:S7-21-93 | Rulemaking:Reporting Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934 |
Status:
Final
Rule
Reporting Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934
34-38245
|
Issue Date: | File Number:S7-35-95 | Rulemaking:Disclosure of Accounting Policies for Derivative Financial Instruments and Derivative Commodity Instruments and Disclosure of Quantitative and Qualitative Information About Market Risk Inherent in Derivative Financial Instruments, Other Financial Instruments, and Derivative Commodity Instruments |
Status:
Final
Rule
Disclosure of Accounting Policies for Derivative Financial Instruments and Derivative Commodity Instruments and Disclosure of Quantitative and Qualitative Information About Market Risk Inherent in Derivative Financial Instruments, Other Financial Instrume
33-7386
|
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:
Proposed
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
33-7383
|
Issue Date: | File Number:S7-3-97 | Rulemaking:Plain English Disclosure |
Status:
Proposed
Rule
Plain English Disclosure
34-38164,
33-7497
|
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
34-38159
|
Issue Date: | File Number:S7-30-95 | Rulemaking:Order Execution Obligations |
Status:
Final
Rule
Order Execution Obligations
34-38139
|
Issue Date: | File Number:S7-30-95 | Rulemaking:Order Execution Obligations |
Status:
Final
Rule
Order Execution Obligations
34-38110
|
Issue Date: | File Number:S7-32-96 | Rulemaking:Securities Transactions Exempt From Transaction Fees |
Status:
Final
Rule
Securities Transactions Exempt From Transaction Fees
34-38073,
IC-22415
|
Issue Date: | File Number:S7-31-96 | Rulemaking:Rules Implementing Amendments to the Investment Advisers Act of 1940 |
Status:
Proposed
Rule
Rules Implementing Amendments to the Investment Advisers Act of 1940
IA-1601
|
Issue Date: | File Number:S7-12-96 | Rulemaking:Odd-Lot Tender Offers by Issuers |
Status:
Final
Rule
Odd-Lot Tender Offers by Issuers
33-7376,
33-7283,
34-38068,
IC-22413
|
Issue Date: | File Number: | Rulemaking:Suspension of Form ADV-S |
Status:
Final
Rule
Suspension of Form ADV-S
IA-1602
|
Issue Date: | File Number:S7-11-96 | Rulemaking:Anti-manipulation Rules Concerning Securities Offerings |
Status:
Final
Rule
Anti-manipulation Rules Concerning Securities Offerings
33-7375,
34-38067,
IC-22412,
International Series Release No. 1039
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Displaying 2401 - 2500 of 2713
Modified: Feb. 20, 2024