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:S7-08-10 |
Rulemaking:Asset-Backed Securities Disclosure and Registration
Corporation Finance
|
Status:
Proposed
Rule
Re-Proposal of Shelf Eligibility Conditions for Asset-Backed Securities
33-9244,
34-64968
|
Issue Date: | File Number: | Rulemaking:Technical Amendment to Commission Procedures for Filing Applications for Orders for Exemptive Relief Under Section 36 of the Exchange Act |
Status:
Final
Rule
Technical Amendment to Commission Procedures for Filing Applications for Orders for Exemptive Relief Under Section 36 of the Exchange Act
34-64913
|
Issue Date: | File Number:S7-30-11 |
Rulemaking:Retail Foreign Exchange Transactions
Trading and Markets
|
Status:
Interim Final
Rule
Retail Foreign Exchange Transactions
34-64874
|
Issue Date: | File Number:S7-29-11 |
Rulemaking:Amendment to Rule Filing Requirements for Dually-Registered Clearing Agencies
Trading and Markets
|
Status:
Interim Final
Rule
Amendment to Rule Filing Requirements for Dually-Registered Clearing Agencies
34-64832
|
Issue Date: | File Number:S7-02-09 |
Rulemaking:Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps
Corporation Finance
|
Status:
Interim Final
Rule
Extension of Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps
33-9232,
34-64800,
39-2476
|
Issue Date: | File Number:S7-26-11 |
Rulemaking:Exemptions for Security-Based Swaps
Corporation Finance
|
Status:
Interim Final
Rule
Exemptions for Security-Based Swaps
33-9231,
34-64794,
39-2475
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to the Director of Its Division of Enforcement |
Status:
Final
Rule
Delegation of Authority to the Director of Its Division of Enforcement
34-64778
|
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:
Proposed
Rule
Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
34-64766
|
Issue Date: | File Number:S7-03-10 |
Rulemaking:Risk Management Controls for Brokers or Dealers With Market Access
Trading and Markets
|
Status:
Final
Rule
Risk Management Controls for Brokers or Dealers With Market Access
34-64748
|
Issue Date: | File Number:S7-25-10 |
Rulemaking:Family Offices
Investment Management
|
Status:
Final
Rule
Family Offices
IA-3220
|
Issue Date: | File Number:S7-36-10 |
Rulemaking:Rules Implementing Amendments to the Investment Advisers Act of 1940
Investment Management
|
Status:
Final
Rule
Rules Implementing Amendments to the Investment Advisers Act of 1940
IA-3221
|
Issue Date: | File Number:S7-37-10 |
Rulemaking:Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers
Investment Management
|
Status:
Final
Rule
Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers
IA-3222
|
Issue Date: | File Number:S7-23-11 |
Rulemaking:Broker-Dealer Reports
Trading and Markets
|
Status:
Proposed
Rule
Broker-Dealer Reports
34-64676
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to the Director of Its Division of Enforcement |
Status:
Final
Rule
Delegation of Authority to the Director of Its Division of Enforcement
34-64649
|
Issue Date: | File Number:S7-22-11 |
Rulemaking:Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies
Corporation Finance
|
Status:
Proposed
Rule
Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies
33-9222
|
Issue Date: | File Number:S7-10-11 |
Rulemaking:Beneficial Ownership Reporting Requirements and Security-Based Swaps
Corporation Finance
|
Status:
Final
Rule
Beneficial Ownership Reporting Requirements and Security-Based Swaps
34-64628
|
Issue Date: | File Number:S7-14-11 |
Rulemaking:Credit Risk Retention
Corporation Finance
|
Status:
Proposed
Rule
Credit Risk Retention
34-64603
|
Issue Date: | File Number:S7-16-11 |
Rulemaking:Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
Trading and Markets
|
Status:
Proposed
Rule
Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
33-9204A,
34-64372A
|
Issue Date: | File Number:S7-21-11 |
Rulemaking:Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings
Corporation Finance
|
Status:
Proposed
Rule
Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings
33-9211
|
Issue Date: | File Number:S7-33-10 | Rulemaking:Securities Whistleblower Incentives and Protections |
Status:
Final
Rule
Securities Whistleblower Incentives and Protections
34-64545
|
Issue Date: | File Number:S7-19-11 |
Rulemaking:Privacy Act of 1974: Implementation and Amendment of Exemptions
Information Technology
|
Status:
Proposed
Rule
Privacy Act of 1974: Implementation and Amendment of Exemptions
PA-45
|
Issue Date: | File Number:S7-18-11 |
Rulemaking:Nationally Recognized Statistical Rating Organizations
Trading and Markets
|
Status:
Proposed
Rule
Nationally Recognized Statistical Rating Organizations
34-64514
|
Issue Date: | File Number: | Rulemaking:Amendment to Procedures for Holding Funds in Dormant Filing Fee Accounts |
Status:
Final
Rule
Amendment to Procedures for Holding Funds in Dormant Filing Fee Accounts
33-9208,
34-64495,
IC-29670
|
Issue Date: | File Number:S7-17-11 |
Rulemaking:Investment Adviser Performance Compensation
Investment Management
|
Status:
Proposed
Rule
Investment Adviser Performance Compensation
IA-3198
|
Issue Date: | File Number:S7-16-11 |
Rulemaking:Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
Trading and Markets
|
Status:
Proposed
Rule
Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
33-9204
|
Issue Date: | File Number:S7-13-11 |
Rulemaking:Listing Standards for Compensation Committees
Corporation Finance
|
Status:
Proposed
Rule
Listing Standards for Compensation Committees
33-9203,
34-64366
|
Issue Date: | File Number:S7-15-11 |
Rulemaking:Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934
Trading and Markets
|
Status:
Proposed
Rule
Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934
34-64352
|
Issue Date: | File Number: | Rulemaking:Technical Amendment to Rule 19b-4: Filings With Respect to Proposed Rule Changes by Self-Regulatory Organizations |
Status:
Final
Rule
Technical Amendment to Rule 19b-4: Filings With Respect to Proposed Rule Changes by Self-Regulatory Organizations
34-64251
|
Issue Date: | File Number: | Rulemaking:Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission |
Status:
Final
Rule
Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
34-64172
|
Issue Date: | File Number:S7-14-11 |
Rulemaking:Credit Risk Retention
Corporation Finance
|
Status:
Proposed
Rule
Credit Risk Retention
34-64148
|
Issue Date: | File Number:S7-13-11 |
Rulemaking:Listing Standards for Compensation Committees
Corporation Finance
|
Status:
Proposed
Rule
Listing Standards for Compensation Committees
33-9199
|
Issue Date: | File Number:S7-12-11 |
Rulemaking:Incentive-Based Compensation Arrangements
Investment Management, Trading and Markets
|
Status:
Proposed
Rule
Incentive-Based Compensation Arrangements
34-64140
|
Issue Date: | File Number:S7-11-11 |
Rulemaking:Lost Securityholders and Unresponsive Payees
Trading and Markets
|
Status:
Proposed
Rule
Rule 17Ad-17; Transfer Agents', Brokers', and Dealers' Obligation To Search for Lost Securityholders; Paying Agents' Obligation To Search for Missing Securityholders
34-64099
|
Issue Date: | File Number:S7-10-11 |
Rulemaking:Beneficial Ownership Reporting Requirements and Security-Based Swaps
Corporation Finance
|
Status:
Proposed
Rule
Beneficial Ownership Reporting Requirements and Security-Based Swaps
34-64087
|
Issue Date: | File Number:S7-07-11 |
Rulemaking:Purchase of Certain Debt Securities by Business and Industrial Development Companies Relying on an Investment Company Act Exemption
Investment Management
|
Status:
Proposed
Rule
References to Credit Ratings in Certain Investment Company Act Rules and Forms
33-9193,
IC-29592
|
Issue Date: | File Number:S7-27-10 |
Rulemaking:Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges With Respect to Security-Based Swaps Under Regulation MC
Trading and Markets
|
Status:
Proposed
Rule
Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges With Respect to Security-Based Swaps Under Regulation MC
34-64018
|
Issue Date: | File Number: | Rulemaking:Technical Amendments to Rule 17a-8: Financial Recordkeeping and Reporting of Currency and Foreign Transactions |
Status:
Final
Rule
Technical Amendments to Rule 17a-8: Financial Recordkeeping and Reporting of Currency and Foreign Transactions
34-63949
|
Issue Date: | File Number:S7-18-08 |
Rulemaking:Security Ratings
Corporation Finance, Investment Management, Trading and Markets
|
Status:
Proposed
Rule
Security Ratings
33-9186,
34-63874
|
Issue Date: | File Number:S7-06-11 |
Rulemaking:Registration and Regulation of Security-Based Swap Execution Facilities
Trading and Markets
|
Status:
Proposed
Rule
Registration and Regulation of Security-Based Swap Execution Facilities
34-63825
|
Issue Date: | File Number:S7-42-10 |
Rulemaking:Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
|
Status:
Proposed
Rule
Disclosure of Payments by Resource Extraction Issuers
34-63795
|
Issue Date: | File Number:S7-40-10 |
Rulemaking:Conflict Minerals
Corporation Finance
|
Status:
Proposed
Rule
Conflict Minerals
34-63793
|
Issue Date: | File Number:S7-05-11 |
Rulemaking:Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
Investment Management
|
Status:
Proposed
Rule
Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
IA-3145
|
Issue Date: | File Number:S7-04-11 |
Rulemaking:Net Worth Standard for Accredited Investors
Corporation Finance
|
Status:
Proposed
Rule
Net Worth Standard for Accredited Investors
33-9177,
33-9287A,
IA-3144,
IC-29572
|
Issue Date: | File Number:S7-31-10 |
Rulemaking:Shareholder Approval of Executive Compensation and Golden Parachute Compensation
Corporation Finance
|
Status:
Final
Rule
Shareholder Approval of Executive Compensation and Golden Parachute Compensation
33-9178,
34-63768
|
Issue Date: | File Number:S7-24-10 |
Rulemaking:Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Corporation Finance
|
Status:
Final
Rule
Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
33-9175,
34-63741
|
Issue Date: | File Number:S7-26-10 |
Rulemaking:Issuer Review of Assets in Offerings of Asset-Backed Securities
Corporation Finance
|
Status:
Final
Rule
Issuer Review of Assets in Offerings of Asset-Backed Securities
33-9176,
34-63742
|
Issue Date: | File Number:S7-03-11 |
Rulemaking:Trade Acknowledgment and Verification of Security-Based Swap Transactions
Trading and Markets
|
Status:
Proposed
Rule
Trade Acknowledgment and Verification of Security-Based Swap Transactions
34-63727
|
Issue Date: | File Number: | Rulemaking:Rules of Practice |
Status:
Final
Rule
Rules of Practice
34-63723
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to the Chief Accountant |
Status:
Final
Rule
Delegation of Authority to the Chief Accountant
34-63699
|
Issue Date: | File Number:S7-02-11 |
Rulemaking:Suspension of the Duty To File Reports for Classes of Asset-Backed Securities Under Section 15(D) of the Securities Exchange Act of 1934
Corporation Finance
|
Status:
Proposed
Rule
Suspension of the Duty To File Reports for Classes of Asset-Backed Securities Under Section 15(d) of the Securities Exchange Act of 1934
34-63652
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9169,
34-63646,
39-2473,
IC-29547
|
Issue Date: | File Number:S7-23-07 | Rulemaking:Principal Trades with Certain Advisory Clients |
Status:
Final
Rule
Principal Trades with Certain Advisory Clients
IA-3128
|
Issue Date: | File Number:S7-10-00 | Rulemaking:Amendments to Form ADV |
Status:
Final
Rule
Amendments To Form ADV; Extension of Compliance Date
IA-3129
|
Issue Date: | File Number:S7-45-10 |
Rulemaking:Registration of Municipal Advisors (Corrected to conform to Federal Register version)
Municipal Securities
|
Status:
Proposed
Rule
Registration of Municipal Advisors
34-63576,
34-67901
|
Issue Date: | File Number:S7-18-10 |
Rulemaking:Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
Corporation Finance
|
Status:
Final
Rule
Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
33-9165
|
Issue Date: | File Number:S7-43-10 |
Rulemaking:End-User Exception to Mandatory Clearing of Security-Based Swaps
Trading and Markets
|
Status:
Proposed
Rule
End-User Exception to Mandatory Clearing of Security-Based Swaps
34-63556
|
Issue Date: | File Number:S7-42-10 |
Rulemaking:Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
|
Status:
Proposed
Rule
Disclosure of Payments by Resource Extraction Issuers
34-63549
|
Issue Date: | File Number:S7-40-10 |
Rulemaking:Conflict Minerals
Corporation Finance
|
Status:
Proposed
Rule
Conflict Minerals
34-63547
|
Issue Date: | File Number:S7-41-10 |
Rulemaking:Mine Safety Disclosure
Corporation Finance
|
Status:
Proposed
Rule
Mine Safety Disclosure
33-9164,
34-63548
|
Issue Date: | File Number:S7-44-10 |
Rulemaking:Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations
Trading and Markets
|
Status:
Proposed
Rule
Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations
34-63557
|
Issue Date: | File Number:S7-39-10 |
Rulemaking:Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant"
Trading and Markets
|
Status:
Proposed
Rule
Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant"
34-63452
|
Issue Date: | File Number:S7-23-07 | Rulemaking:Principal Trades with Certain Advisory Clients |
Status:
Proposed
Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
IA-3118
|
Issue Date: | File Number:S7-02-09 |
Rulemaking:Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps
Corporation Finance
|
Status:
Interim Final
Rule
Extension of Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps
33-9158,
34-63348,
39-2472
|
Issue Date: | File Number:S7-35-10 |
Rulemaking:Security-Based Swap Data Repository Registration, Duties, and Core Principles
Trading and Markets
|
Status:
Proposed
Rule
Security-Based Swap Data Repository Registration, Duties, and Core Principles; Correction
34-63347
|
Issue Date: | File Number:S7-34-10 |
Rulemaking:Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Trading and Markets
|
Status:
Proposed
Rule
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
34-63346
|
Issue Date: | File Number:S7-37-10 |
Rulemaking:Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers
Investment Management
|
Status:
Proposed
Rule
Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers
IA-3111
|
Issue Date: | File Number:S7-08-09 |
Rulemaking:Amendments to Regulation SHO
Trading and Markets
|
Status:
Final
Rule
Regulation SHO
34-63247
|
Issue Date: | File Number:S7-33-10 | Rulemaking:Securities Whistleblower Incentives and Protections |
Status:
Proposed
Rule
Proposed Rules for Implementing the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934
34-63237
|
Issue Date: | File Number:S7-32-10 |
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
Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps
34-63236,
34-93784
|
Issue Date: | File Number:S7-03-10 |
Rulemaking:Risk Management Controls for Brokers or Dealers With Market Access
Trading and Markets
|
Status:
Final
Rule
Risk Management Controls for Brokers or Dealers With Market Access
34-63241
|
Issue Date: | File Number:S7-24-10 |
Rulemaking:Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Corporation Finance
|
Status:
Proposed
Rule
33-9148a correction
33-9148a
|
Issue Date: | File Number:S7-30-10 |
Rulemaking:Reporting of Proxy Votes on Executive Compensation and Other Matters
Investment Management
|
Status:
Proposed
Rule
Reporting of Proxy Votes on Executive Compensation and Other Matters
34-63123,
IC-29463
|
Issue Date: | File Number:S7-31-10 |
Rulemaking:Shareholder Approval of Executive Compensation and Golden Parachute Compensation
Corporation Finance
|
Status:
Proposed
Rule
Shareholder Approval of Executive Compensation and Golden Parachute Compensation
33-9153,
34-63124
|
Displaying 1001 - 1100 of 2713
Modified: Feb. 20, 2024