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:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10413,
34-81592,
39-2518,
IC-32818
|
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:S7-06-17 |
Rulemaking:Covered Securities Pursuant to Section 18 of the Securities Act of 1933
Trading and Markets
|
Status:
Proposed
Rule
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
33-10390
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10385,
34-81080,
39-2517,
IC-32724
|
Issue Date: | File Number: | Rulemaking:Technical Amendments to Form ADV and Form ADV-W |
Status:
Final
Rule
Technical Amendments to Form ADV and Form ADV-W
IA-4698
|
Issue Date: | File Number:S7-05-17 |
Rulemaking:Exemptions From Investment Adviser Registration for Advisers to Small Business Investment Companies
Investment Management
|
Status:
Proposed
Rule
Amendments to Investment Advisers Act Rules To Reflect Changes Made by the FAST Act
IA-4697
|
Issue Date: | File Number: | Rulemaking:Inflation Adjustments and Other Technical Amendments under Titles I and III of the JOBS Act |
Status:
Final
Rule
Inflation Adjustments and Other Technical Amendments Under Titles I and III of the Jobs Act
33-10332,
34-80355
|
Issue Date: | File Number:S7-22-16 |
Rulemaking:Securities Transaction Settlement Cycle
Trading and Markets
|
Status:
Final
Rule
Securities Transaction Settlement Cycle
34-80295
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10324,
34-80182,
39-2516,
IC-32527
|
Issue Date: | File Number:S7-03-17 |
Rulemaking:Inline XBRL Filing of Tagged Data
Corporation Finance
|
Status:
Proposed
Rule
Inline XBRL Filing of Tagged Data
33-10323
|
Issue Date: | File Number:S7-01-17 |
Rulemaking:Amendments to Municipal Securities Disclosure
Municipal Securities
|
Status:
Proposed
Rule
Proposed Amendments to Municipal Securities Disclosure
34-80130
|
Issue Date: | File Number:S7-19-16 |
Rulemaking:Exhibit Hyperlinks and HTML Format
Corporation Finance
|
Status:
Final
Rule
Exhibit Hyperlinks and HTML Format
33-10322,
34-80132
|
Issue Date: | File Number:S7-22-15 |
Rulemaking:Exemptions To Facilitate Intrastate and Regional Securities Offerings
Corporation Finance
|
Status:
Final
Rule
Exemptions to Facilitate Intrastate and Regional Securities Offerings, Technical Correction
33-10238A,
34-79161A
|
Issue Date: | File Number:S7-26-11 |
Rulemaking:Exemptions for Security-Based Swaps
Corporation Finance
|
Status:
Interim Final
Rule
Exemptions for Security-Based Swaps
33-10305
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10295,
34-79878,
39-2514,
IC-32452
|
Issue Date: | File Number: |
Rulemaking:Adjustments to Civil Monetary Penalty Amounts
Enforcement
|
Status:
Final
Rule
Adjustments to Civil Monetary Penalty Amounts
33-10276,
34-79749,
IA-4599,
IC-32414
|
Issue Date: | File Number:S7-12-14 |
Rulemaking:Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act
Corporation Finance
|
Status:
Final
Rule
Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act; Correction
33-10075A,
34-77757A,
33-9693
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10265,
34-79519,
39-2513,
IC-32387
|
Issue Date: | File Number: | Rulemaking:Interim Final Temporary Rule Regarding the Consolidated Audit Trail Dates: See Notification regarding expired temporary rule, |
Status:
Interim Final
Rule
Interim Final Temporary Rule Regarding the Consolidated Audit Trail Dates: See Notification regarding expired temporary rule,
34-79237
|
Issue Date: | File Number:S7-24-16 |
Rulemaking:Universal Proxy
Corporation Finance
|
Status:
Proposed
Rule
Universal Proxy
34-79164
|
Issue Date: | File Number:S7-22-15 |
Rulemaking:Exemptions To Facilitate Intrastate and Regional Securities Offerings
Corporation Finance
|
Status:
Final
Rule
Exemptions To Facilitate Intrastate and Regional Securities Offerings
33-10238,
34-79161
|
Issue Date: | File Number:S7-16-15 |
Rulemaking:Investment Company Liquidity Risk Management Programs
Investment Management
|
Status:
Final
Rule
Investment Company Liquidity Risk Management Programs
33-10233,
IC-32315
|
Issue Date: | File Number:S7-16-15 |
Rulemaking:Investment Company Swing Pricing
Investment Management
|
Status:
Final
Rule
Investment Company Swing Pricing
33-10234,
IC-32316
|
Issue Date: | File Number:S7-08-15 |
Rulemaking:Investment Company Reporting Modernization
Investment Management
|
Status:
Final
Rule
Investment Company Reporting Modernization
33-10231,
33-9776, 33-10442, 34-79095,
IC-32314
|
Issue Date: | File Number:S7-22-16 |
Rulemaking:Securities Transaction Settlement Cycle
Trading and Markets
|
Status:
Proposed
Rule
Amendment to Securities Transaction Settlement Cycle
34-78962
|
Issue Date: | File Number:S7-23-16 |
Rulemaking:Definition of "Covered Clearing Agency"
Trading and Markets
|
Status:
Proposed
Rule
Definition of Covered Clearing Agency
34-78963
|
Issue Date: | File Number:S7-03-14 |
Rulemaking:Standards for Covered Clearing Agencies
Trading and Markets
|
Status:
Final
Rule
Standards for Covered Clearing Agencies
34-78961
|
Issue Date: | File Number:S7-15-16 |
Rulemaking:Disclosure Update and Simplification
Corporation Finance
|
Status:
Proposed
Rule
Extension of Comment Period for Disclosure Update and Simplification
33-10220
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10217,
34-78883,
39-2512,
IC-32269
|
Issue Date: | File Number:S7-19-16 |
Rulemaking:Exhibit Hyperlinks and HTML Format
Corporation Finance
|
Status:
Proposed
Rule
Exhibit Hyperlinks and HTML Format
33-10201
|
Issue Date: | File Number:S7-15-15 |
Rulemaking:Access to Data Obtained by Security-Based Swap Data Repositories
Trading and Markets
|
Status:
Final
Rule
Access to Data Obtained by Security-Based Swap Data Repositories
34-78716
|
Issue Date: | File Number:S7-09-15 |
Rulemaking:Form ADV and Investment Advisers Act Rules
Investment Management
|
Status:
Final
Rule
Form ADV and Investment Advisers Act Rules
IA-4509
|
Issue Date: | File Number:S7-10-16 |
Rulemaking:Modernization of Property Disclosures for Mining Registrants
Corporation Finance
|
Status:
Proposed
Rule
Extension of Comment Period for Modernization of Property Disclosures for Mining Registrants
33-10127
|
Issue Date: | File Number:S7-03-15 |
Rulemaking:Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Trading and Markets
|
Status:
Final
Rule
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
34-78321
|
Issue Date: | File Number:S7-14-16 |
Rulemaking:Disclosure of Order Handling Information
Trading and Markets
|
Status:
Proposed
Rule
Disclosure of Order Handling Information
34-78309
|
Issue Date: | File Number:S7-15-16 |
Rulemaking:Disclosure Update and Simplification
Corporation Finance
|
Status:
Proposed
Rule
Disclosure Update and Simplification
33-10110
|
Issue Date: | File Number:S7-18-15 |
Rulemaking:Amendments to the Commission's Rules of Practice
General Counsel
|
Status:
Final
Rule
Amendments to the Commission's Rules of Practice
34-78319
|
Issue Date: | File Number:S7-13-16 |
Rulemaking:Adviser Business Continuity and Transition Plans
Investment Management
|
Status:
Proposed
Rule
Adviser Business Continuity and Transition Plans
IA-4439
|
Issue Date: | File Number:S7-11-16 |
Rulemaking:Adjustments to Civil Monetary Penalty Amounts
General Counsel
|
Status:
Interim Final
Rule
Adjustments to Civil Monetary Penalty Amounts
33-10104
|
Issue Date: | File Number:S7-12-16 |
Rulemaking:Smaller Reporting Company Definition
Corporation Finance
|
Status:
Proposed
Rule
Amendments to Smaller Reporting Company Definition
33-10107
|
Issue Date: | File Number:S7-25-15 |
Rulemaking:Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
|
Status:
Final
Rule
Disclosure of Payments by Resource Extraction Issuers
34-78167
|
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:S7-10-16 |
Rulemaking:Modernization of Property Disclosures for Mining Registrants
Corporation Finance
|
Status:
Proposed
Rule
Modernization of Property Disclosures for Mining Registrants
33-10098
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10095,
34-78044,
39-2510,
IC-32145
|
Issue Date: | File Number:S7-03-11 |
Rulemaking:Trade Acknowledgment and Verification of Security-Based Swap Transactions
Trading and Markets
|
Status:
Final
Rule
Trade Acknowledgment and Verification of Security-Based Swap Transactions
34-78011
|
Issue Date: | File Number:S7-09-16 |
Rulemaking:Form 10-K Summary
Corporation Finance
|
Status:
Interim Final
Rule
Form 10-K Summary
34-77969
|
Issue Date: | File Number:S7-30-11 |
Rulemaking:Retail Foreign Exchange Transactions
Trading and Markets
|
Status:
Final
Rule
Retail Foreign Exchange Transactions
34-77874
|
Issue Date: | File Number:S7-07-16 |
Rulemaking:Incentive-Based Compensation Arrangements
Trading and Markets, Investment Management
|
Status:
Proposed
Rule
Incentive-Based Compensation Arrangements
34-77776
|
Issue Date: | File Number:S7-12-14 |
Rulemaking:Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act
Corporation Finance
|
Status:
Final
Rule
Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act
33-10075,
34-77757
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10071,
34-77693,
39-2509,
IC-32091
|
Issue Date: | File Number:S7-25-11 |
Rulemaking:Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
Trading and Markets
|
Status:
Final
Rule
Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
34-77617
|
Issue Date: | File Number:S7-06-16 |
Rulemaking:Business and Financial Disclosure Required by Regulation S-K
Corporation Finance
|
Status:
Concept
Release
Business and Financial Disclosure Required by Regulation S-K
33-10064,
34-77599
|
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:S7-27-15 |
Rulemaking:Transfer Agent Regulations; Extension of Comment Period
Trading and Markets
|
Status:
Proposed
Rule
Transfer Agent Regulations; Extension of Comment Period
34-77172
|
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:
Proposed
Rule
Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
34-77157
|
Issue Date: | File Number:S7-06-15 |
Rulemaking:Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent; Security-Based Swap Dealer De Minimis Exception
Trading and Markets
|
Status:
Final
Rule
Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent; Security-Based Swap Dealer De Minimi
34-77104
|
Issue Date: | File Number:S7-25-15 |
Rulemaking:Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
|
Status:
Proposed
Rule
Extension of Comment Period for Disclosure of Payments by Resource Extraction Issuers
34-76958
|
Issue Date: | File Number:S7-15-15 |
Rulemaking:Access to Data Obtained by Security-Based Swap Data Repositories
Trading and Markets
|
Status:
Proposed
Rule
Access to Data Obtained by Security-Based Swap Data Repositories and Exemption From Indemnification Requirement
34-76922
|
Displaying 601 - 700 of 2709
Modified: Feb. 20, 2024