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: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:S7-07-18 |
Rulemaking:Regulation Best Interest: The Broker-Dealer Standard of Conduct
Trading and Markets, Investment Management
|
Status:
Final
Rule
Regulation Best Interest: The Broker-Dealer Standard of Conduct
34-86031
|
Issue Date: | File Number:S7-07-18 |
Rulemaking:Regulation Best Interest: The Broker-Dealer Standard of Conduct
Trading and Markets, Investment Management
|
Status:
Proposed
Rule
Regulation Best Interest
34-83062
|
Displaying 1 - 4 of 4
Modified: Feb. 20, 2024