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:Technical Amendments to Commission Rules |
Status:
Final
Rule
Technical Amendments to Commission Rules
33-11139,
34-96508,
IA-6203,
IC-34774
|
Issue Date: | File Number:S7-32-22 |
Rulemaking:Regulation Best Execution
Trading and Markets
|
Status:
Proposed
Rule
Regulation Best Execution
34-96496
|
Issue Date: | File Number:S7-31-22 |
Rulemaking:Order Competition Rule
Trading and Markets
|
Status:
Proposed
Rule
Order Competition Rule
34-96495
|
Issue Date: | File Number:S7-30-22 |
Rulemaking:Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders
Trading and Markets
|
Status:
Proposed
Rule
Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders
34-96494
|
Issue Date: | File Number:S7-29-22 |
Rulemaking:Disclosure of Order Execution Information
Trading and Markets
|
Status:
Proposed
Rule
Disclosure of Order Execution Information
34-96493
|
Issue Date: | File Number:S7-20-21 |
Rulemaking:Insider Trading Arrangements and Related Disclosures
Corporation Finance
|
Status:
Final
Rule
Insider Trading Arrangements and Related Disclosures
33-11138,
34-96492,
33-11013
|
Issue Date: | File Number:S7-21-21 |
Rulemaking:Share Repurchase Disclosure Modernization
Corporation Finance, Investment Management
|
Status:
Proposed
Rule
Reopening of Comment Period for Share Repurchase Disclosure Modernization
34-96458,
IC-34768
|
Issue Date: | File Number:S7-26-22 |
Rulemaking:Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting
Investment Management
|
Status:
Proposed
Rule
Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting
33-11130
|
Issue Date: | File Number:S7-11-21 |
Rulemaking:Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers
Investment Management
|
Status:
Final
Rule
Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers
33-11131,
34-96206,
IC-34745
|
Issue Date: | File Number:S7-25-22 |
Rulemaking:Outsourcing by Investment Advisers
Investment Management
|
Status:
Proposed
Rule
Outsourcing by Investment Advisers
IA-6176
|
Issue Date: | File Number:S7-12-15 |
Rulemaking:Listing Standards for Recovery of Erroneously Awarded Compensation
Corporation Finance
|
Status:
Final
Rule
Listing Standards for Recovery of Erroneously Awarded Compensation
33-11126,
34-96159,
IC-34732
|
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:
Final
Rule
Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements
33-11125,
34-96158,
IC-34731
|
Issue Date: | File Number:S7-19-21 |
Rulemaking:Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
Trading and Markets
|
Status:
Final
Rule
Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
34-96034
|
Issue Date: | File Number:S7-32-10, S7-18-21, S7-21-21, S7-22-21, S7-03-22, S7-08-22, S7-09-22, S7-10-22, S7-13-22, S7-16-22, S7-17-22, S7-18-22 |
Rulemaking:Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers
Trading and Markets
|
Status:
Proposed
Rule
Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments
33-11117,
34-96005,
IA-6162,
IC-34724
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-11101,
34-95817,
39-2546,
IC-34703
|
Issue Date: | File Number:S7-23-22 |
Rulemaking:Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities
Trading and Markets
|
Status:
Proposed
Rule
Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities
34-95763
|
Issue Date: | File Number: | Rulemaking:Inflation Adjustments Under Titles I and III of the JOBS Act |
Status:
Final
Rule
Inflation Adjustments Under Titles I and III of the JOBS Act
33-11098,
34-95715
|
Issue Date: | File Number:S7-07-22 |
Rulemaking:Whistleblower Program Rules
General Counsel
|
Status:
Final
Rule
Whistleblower Program Rules
34-95620
|
Issue Date: | File Number:S7-07-15 |
Rulemaking:Pay Versus Performance
Corporation Finance
|
Status:
Final
Rule
Pay Versus Performance
34-95607
|
Issue Date: | File Number:S7-22-22 |
Rulemaking:Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
Investment Management
|
Status:
Proposed
Rule
Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
IA-6083
|
Issue Date: | File Number:S7-21-22 |
Rulemaking:Clearing Agency Governance and Conflicts of Interest
Trading and Markets
|
Status:
Proposed
Rule
Clearing Agency Governance and Conflicts of Interest
34-95431
|
Issue Date: | File Number:S7-05-15 |
Rulemaking:Exemption for Certain Exchange Members
Trading and Markets
|
Status:
Proposed
Rule
Exemption for Certain Exchange Members
34-95388
|
Issue Date: | File Number:S7-20-22 |
Rulemaking:Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8
Corporation Finance
|
Status:
Proposed
Rule
Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8
34-95267,
IC-34647
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-11082,
34-95274,
39-2545,
IC-34649
|
Issue Date: | File Number:S7-17-21 |
Rulemaking:Proxy Voting Advice
Corporation Finance
|
Status:
Final
Rule
Proxy Voting Advice
34-95266,
IA-6068
|
Issue Date: | File Number:S7-15-21 |
Rulemaking:Electronic Submission of Applications for Orders Under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F
Investment Management
|
Status:
Final
Rule
Electronic Submission of Applications for Orders Under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F
34-95148,
IA-6056,
IC-34635
|
Issue Date: | File Number:S7-12-15 |
Rulemaking:Listing Standards for Recovery of Erroneously Awarded Compensation
Corporation Finance
|
Status:
Proposed
Rule
Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation
33-11071,
34-95057,
IC-34610
|
Issue Date: | File Number:S7-24-20 |
Rulemaking:Updating EDGAR Filing Requirements and Form 144 Filings
Corporation Finance
|
Status:
Final
Rule
Updating EDGAR Filing Requirements and Form 144 Filings
33-11070,
34-95025
|
Displaying 101 - 200 of 2709
Modified: Feb. 20, 2024