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:S7-24-19 |
Rulemaking:Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
|
Status:
Final
Rule
Disclosure of Payments by Resource Extraction Issuers
34-90679,
34-87783
|
Issue Date: | File Number:S7-08-11 |
Rulemaking:Exemption From the Definition of "Clearing Agency" for Certain Activities of Security-Based Swap Dealers and Security-Based Swap Execution Facilities
Trading and Markets
|
Status:
Final
Rule
Exemption From the Definition of "Clearing Agency" for Certain Activities of Security-Based Swap Dealers and Security-Based Swap Execution Facilities
34-90667
|
Issue Date: | File Number:S7-11-20 |
Rulemaking:Administration of the Electronic Data Gathering, Analysis, and Retrieval System
Edgar Business Office
|
Status:
Final
Rule
Administration of the Electronic Data Gathering, Analysis, and Retrieval System
33-10901,
34-90636,
39-2535,
IC-34136
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual, Proposed Collection and Comment Request for Form ID |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual, Proposed Collection and Comment Request for Form ID
33-10902,
34-90637,
39-2536,
IC-34137
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to Director of the Division of Enforcement |
Status:
Final
Rule
Delegation of Authority to Director of the Division of Enforcement
33-10900,
34-90623,
IA-5644,
IC-34134
|
Issue Date: | File Number:S7-03-20 |
Rulemaking:Market Data Infrastructure
Trading and Markets
|
Status:
Final
Rule
Market Data Infrastructure
34-90610
|
Issue Date: | File Number:S7-07-20 |
Rulemaking:Good Faith Determinations of Fair Value
Investment Management
|
Status:
Final
Rule
Good Faith Determinations of Fair Value
IC-34128
|
Issue Date: | File Number:S7-19-20 |
Rulemaking:Temporary Rules to Include Certain "Platform Workers" in Compensatory Offerings Under Rule 701 and Form S-8
Corporation Finance
|
Status:
Proposed
Rule
Temporary Rules to Include Certain "Platform Workers" in Compensatory Offerings Under Rule 701 and Form S-8
33-10892,
34-90948
|
Issue Date: | File Number:S7-18-20 |
Rulemaking:Modernization of Rules and Forms for Compensatory Securities Offerings and Sales
Corporation Finance
|
Status:
Proposed
Rule
Modernization of Rules and Forms for Compensatory Securities Offerings and Sales
33-10891
|
Issue Date: | File Number:S7-01-20 |
Rulemaking:Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information
Corporation Finance
|
Status:
Final
Rule
Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information
33-10890,
34-90459,
IC-34100
|
Issue Date: | File Number: |
Rulemaking:Electronic Signatures in Regulation S-T Rule 302
Corporation Finance
|
Status:
Final
Rule
Electronic Signatures in Regulation S-T Rule 302
33-10889,
34-90441,
39-2534,
IC-34096
|
Issue Date: | File Number:S7-19-15 |
Rulemaking:Amendments to the Commission's Rules of Practice (Conformed to Federal Register version) Effective Date: The final rules are effective January 29, 2021, except for Instruction 8 which is effective July 12, 2021 Compliance Date: April 12, 2021
General Counsel
|
Status:
Final
Rule
Amendments to the Commission's Rules of Practice (Conformed to Federal Register version) Effective Date: The final rules are effective January 29, 2021, except for Instruction 8 which is effective July 12, 2021 Compliance Date: April 12, 2021
34-90442A
|
Issue Date: | File Number:S7-05-20 |
Rulemaking:Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets
Corporation Finance
|
Status:
Final
Rule
Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets
33-10884,
34-90300,
IC-34082
|
Issue Date: | File Number:S7-24-15 |
Rulemaking:Use of Derivatives by Registered Investment Companies and Business Development Companies
Investment Management
|
Status:
Final
Rule
Use of Derivatives by Registered Investment Companies and Business Development Companies
IC-34084
|
Issue Date: | File Number:S7-09-19 |
Rulemaking:Customer Margin Rules Relating to Security Futures
Trading and Markets
|
Status:
Final
Rule
Customer Margin Rules Relating to Security Futures
34-90244
|
Issue Date: | File Number:S7-26-19 |
Rulemaking:Qualifications of Accountants
Investment Management
|
Status:
Final
Rule
Qualifications of Accountants
33-10876,
34-90210,
FR-88,
IA-5613,
IC-34052
|
Issue Date: | File Number:S7-27-18 |
Rulemaking:Fund of Funds Arrangements
Investment Management
|
Status:
Final
Rule
Fund of Funds Arrangements
33-10871,
IC-34045
|
Issue Date: | File Number:S7-12-20 |
Rulemaking:Regulation ATS for ATSs That Trade U.S. Government Securities, NMS Stock, and Other Securities; Regulation SCI for ATSs That Trade U.S. Treasury Securities and Agency Securities; and Electronic Corporate Bond and Municipal Securities Markets
Trading and Markets
|
Status:
Proposed
Rule
Regulation ATS for ATSs That Trade U.S. Government Securities, NMS Stock, and Other Securities; Regulation SCI for ATSs That Trade U.S. Treasury Securities and Agency Securities; and Electronic Corporate Bond and Municipal Securities Markets
34-90019
|
Issue Date: | File Number:S7-16-18 |
Rulemaking:Whistleblower Program Rules
Enforcement, General Counsel
|
Status:
Final
Rule
Whistleblower Program Rules
34-89963
|
Issue Date: | File Number:S7-23-19 |
Rulemaking:Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8
Corporation Finance
|
Status:
Final
Rule
Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8
34-89964
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10845,
34-89920,
39-2533,
IC-34015
|
Issue Date: | File Number:S7-14-19 |
Rulemaking:Publication or Submission of Quotations Without Specified Information
Trading and Markets
|
Status:
Final
Rule
Publication or Submission of Quotations Without Specified Information
33-10842,
34-89891
|
Issue Date: | File Number:S7-02-17 |
Rulemaking:Update of Statistical Disclosures for Bank and Savings and Loan Registrants
Corporation Finance
|
Status:
Final
Rule
Update of Statistical Disclosures for Bank and Savings and Loan Registrants
33-10835,
34-89835
|
Issue Date: | File Number: |
Rulemaking:Temporary Amendments to Regulation Crowdfunding; Extension
Corporation Finance
|
Status:
Interim Final
Rule
Temporary Amendments to Regulation Crowdfunding; Extension
33-10829
|
Issue Date: | File Number:S7-25-19 |
Rulemaking:Accredited Investor Definition
Corporation Finance
|
Status:
Final
Rule
Accredited Investor Definition
33-10824
|
Issue Date: | File Number:S7-11-19 |
Rulemaking:Modernization of Regulation S-K Items 101, 103, and 105
Corporation Finance
|
Status:
Final
Rule
Modernization of Regulation S-K Items 101, 103, and 105
33-10825,
34-89670
|
Issue Date: | File Number:S7-11-20 |
Rulemaking:Administration of the Electronic Data Gathering, Analysis, and Retrieval System
Edgar Business Office
|
Status:
Proposed
Rule
Administration of the Electronic Data Gathering, Analysis, and Retrieval System
33-10821,
34-89633,
39-2532,
IC-33974
|
Issue Date: | File Number:S7-10-20 |
Rulemaking:Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail To Enhance Data Security
Trading and Markets
|
Status:
Proposed
Rule
Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail To Enhance Data Security
34-89632
|
Issue Date: | File Number:S7-15-19 |
Rulemaking:Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments and Modified Procedures for Proposed NMS Plans and Plan Amendments
Trading and Markets
|
Status:
Final
Rule
Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments and Modified Procedures for Proposed NMS Plans and Plan Amendments
34-89618
|
Issue Date: | File Number:S7-09-20 |
Rulemaking:Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements
Investment Management
|
Status:
Proposed
Rule
Tailored Shareholder Reports, Treatment of Annual Prospectus Updates for Existing Investors, and Improved Fee and Risk Disclosure for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements
33-10814,
34-89478,
IC-33963
|
Issue Date: | File Number:S7-02-16 |
Rulemaking:Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Trading and Markets
|
Status:
Final
Rule
Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
34-89394
|
Issue Date: | File Number:S7-22-19 |
Rulemaking:Exemptions From the Proxy Rules for Proxy Voting Advice
Corporation Finance
|
Status:
Final
Rule
Exemptions From the Proxy Rules for Proxy Voting Advice
34-89372
|
Issue Date: | File Number:S7-08-20 |
Rulemaking:Reporting Threshold for Institutional Investment Managers
Investment Management
|
Status:
Proposed
Rule
Reporting Threshold for Institutional Investment Managers
34-89290
|
Issue Date: | File Number:S7-19-19 |
Rulemaking:Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940
Investment Management
|
Status:
Final
Rule
Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940
IC-33921
|
Issue Date: | File Number:S7-02-20 |
Rulemaking:Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Trading and Markets, Investment Management
|
Status:
Final
Rule
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
BHCA-9
|
Issue Date: | File Number:S7-05-19 |
Rulemaking:Amendments to Financial Disclosures About Acquired and Disposed Businesses
Chief Accountant, Corporation Finance, Investment Management
|
Status:
Final
Rule
Amendments to Financial Disclosures About Acquired and Disposed Businesses
33-10786,
34-88914,
IC-33872
|
Issue Date: | File Number:S7-13-19 |
Rulemaking:Amendments to the National Market System Plan Governing the Consolidated Audit Trail
Trading and Markets
|
Status:
Final
Rule
Amendments to the National Market System Plan Governing the Consolidated Audit Trail
34-88890
|
Issue Date: | File Number: |
Rulemaking:Temporary Amendments to Regulation Crowdfunding
Corporation Finance
|
Status:
Interim Final
Rule
Temporary Amendments to Regulation Crowdfunding
33-10781
|
Issue Date: | File Number:S7-07-20 |
Rulemaking:Good Faith Determinations of Fair Value
Investment Management
|
Status:
Proposed
Rule
Good Faith Determinations of Fair Value
IC-33845
|
Issue Date: | File Number:S7-23-16 |
Rulemaking:Definition of "Covered Clearing Agency"
Trading and Markets
|
Status:
Final
Rule
Definition of "Covered Clearing Agency"
34-88616
|
Issue Date: | File Number:S7-03-19 |
Rulemaking:Securities Offering Reform for Closed-End Investment Companies
Investment Management
|
Status:
Final
Rule
Securities Offering Reform for Closed-End Investment Companies
33-10771,
34–88606,
IC–33836
|
Issue Date: | File Number: | Rulemaking:Relief for Form ID Filers and Regulation Crowdfunding and Regulation A Issuers Related to Coronavirus Disease 2019 (COVID-19) |
Status:
Interim Final
Rule
Relief for Form ID Filers and Regulation Crowdfunding and Regulation A Issuers Related to Coronavirus Disease 2019 (COVID-19)
33-10768,
34-88492,
39-2531,
IC-33832
|
Issue Date: | File Number:S7-06-19 |
Rulemaking:Accelerated Filer and Large Accelerated Filer Definitions
Corporation Finance
|
Status:
Final
Rule
Accelerated Filer and Large Accelerated Filer Definitions
34-88365
|
Issue Date: | File Number:S7-23-18 |
Rulemaking:Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
Investment Management
|
Status:
Final
Rule
Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
33-10765,
34-88358,
IC-33814, 33-10605
|
Issue Date: | File Number:S7-05-20 |
Rulemaking:Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets
Corporation Finance
|
Status:
Proposed
Rule
Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets
33-10763,
34-88321
|
Issue Date: | File Number:S7-19-18 |
Rulemaking:Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities
Corporation Finance
|
Status:
Final
Rule
Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities
33-10762,
34-88307,
33-10526
|
Issue Date: | File Number: | Rulemaking:Exemptions From Investment Adviser Registration for Advisers to Certain Rural Business Investment Companies |
Status:
Final
Rule
Exemptions From Investment Adviser Registration for Advisers to Certain Rural Business Investment Companies
IA-5454
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to the General Counsel of the Commission |
Status:
Final
Rule
Delegation of Authority to the General Counsel of the Commission
33-10757,
34-88245,
IA-5446,
IC-33802
|
Issue Date: | File Number:S7-03-20 |
Rulemaking:Market Data Infrastructure
Trading and Markets
|
Status:
Proposed
Rule
Market Data Infrastructure
34-88216
|
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:S7-01-20 |
Rulemaking:Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information
Corporation Finance
|
Status:
Proposed
Rule
Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information
33-10750,
34-88093,
IC-33795
|
Displaying 301 - 400 of 2709
Modified: Feb. 20, 2024