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:S7-27-10 |
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
34-63107
|
Issue Date: | File Number:S7-14-08 |
Rulemaking:Indexed Annuities And Certain Other Insurance Contracts
Investment Management
|
Status:
Final
Rule
Indexed Annuities
33-9152
|
Issue Date: | File Number:S7-28-10 |
Rulemaking:Reporting of Security-Based Swap Transaction Data
Trading and Markets
|
Status:
Interim Final
Rule
Reporting of Security-Based Swap Transaction Data
34-63094
|
Issue Date: | File Number:S7-26-10 |
Rulemaking:Issuer Review of Assets in Offerings of Asset-Backed Securities
Corporation Finance
|
Status:
Proposed
Rule
Issuer Review of Assets in Offerings of Asset-Backed Securities
33-9150,
34-63091
|
Issue Date: | File Number: | Rulemaking:Technical Amendments to Forms N-CSR and N-SAR in Connection With the Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010 |
Status:
Final
Rule
Technical Amendments to Forms N-CSR and N-SAR in Connection With the Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010
34-63087,
IC-29461
|
Issue Date: | File Number:S7-25-10 |
Rulemaking:Family Offices
Investment Management
|
Status:
Proposed
Rule
Family Offices
IA-3098
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to the Director of the Division of Trading and Markets |
Status:
Final
Rule
Delegation of Authority to the Director of the Division of Trading and Markets
34-63049
|
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
Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
33-9148,
34-63029
|
Issue Date: | File Number:S7-23-10 |
Rulemaking:Removal From Regulation FD of the Exemption for Credit Rating Agencies
Corporation Finance
|
Status:
Final
Rule
Removal From Regulation FD of the Exemption for Credit Rating Agencies
33-9146,
34-63003,
IC-29448
|
Issue Date: | File Number: | Rulemaking:Commission Guidance Regarding Auditing, Attestation, and Related Professional Practice Standards Related To Brokers and Dealers |
Status:
Interpretive
Release
Commission Guidance Regarding Auditing, Attestation, and Related Professional Practice Standards Related To Brokers and Dealers
34-62991
|
Issue Date: | File Number: |
Rulemaking:Commission Guidance on Presentation of Liquidity and Capital Resources Disclosures in Management's Discussion and Analysis
Corporation Finance
|
Status:
Interpretive
Release
Commission Guidance on Presentation of Liquidity and Capital Resources Disclosures in Management's Discussion and Analysis
33-9144,
34-62934,
FR-83
|
Issue Date: | File Number:S7-22-10 |
Rulemaking:Short-Term Borrowings Disclosure
Corporation Finance
|
Status:
Proposed
Rule
Short-Term Borrowings Disclosure
33-9143,
34-62932
|
Issue Date: | File Number: | Rulemaking:Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers |
Status:
Final
Rule
Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers
33-9142,
34-62914
|
Issue Date: | File Number: | Rulemaking:Rescission of Rules Pertaining to the Payment of Bounties for Information Leading to the Recovery of Civil Penalties for Insider Trading |
Status:
Final
Rule
Rescission of Rules Pertaining to the Payment of Bounties for Information Leading to the Recovery of Civil Penalties for Insider Trading
34-62921
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9140,
34-62873,
39-2471,
IC-29413
|
Issue Date: | File Number:S7-19-10 |
Rulemaking:Temporary Registration of Municipal Advisors
Municipal Securities
|
Status:
Interim Final
Rule
Temporary Registration of Municipal Advisors
34-62824
|
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
34-62821,
34-62690
|
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:
Proposed
Rule
Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
33-9137
|
Issue Date: | File Number:S7-10-09 |
Rulemaking:Facilitating Shareholder Director Nominations
Corporation Finance
|
Status:
Final
Rule
Facilitating Shareholder Director Nominations
33-9136,
34-62764,
IC-29384
|
Issue Date: | File Number:S7-16-10 |
Rulemaking:Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act
Trading and Markets
|
Status:
Concept
Release
Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act
34-62717
|
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
34-62690,
34-62821
|
Issue Date: | File Number:S7-10-00 | Rulemaking:Electronic Filing by Investment Advisers; Amendments To Form ADV; Technical Amendments |
Status:
Final
Rule
Amendments to Form ADV
IA-3060
|
Issue Date: | File Number: | Rulemaking:Amendments to the Informal and Other Procedures, Rules of Organization and Program Management, and Rules of Practice; Interim Commission Review of Public Company Accounting Oversight Board Inspection Reports and Regulation P |
Status:
Final
Rule
Amendments to the Informal and Other Procedures, Rules of Organization and Program Management, and Rules of Practice; Interim Commission Review of Public Company Accounting Oversight Board Inspection Reports and Regulation P
34-62575
|
Issue Date: | File Number:S7-15-10 |
Rulemaking:Mutual Fund Distribution Fees; Confirmations
Investment Management
|
Status:
Proposed
Rule
Mutual Fund Distribution Fees; Confirmations
33-9128,
34-62544,
IC-29367
|
Issue Date: | File Number: | Rulemaking:Technical Amendment to Rules of Organization; Conduct and Ethics; and Information and Requests |
Status:
Final
Rule
Technical Amendment to Rules of Organization; Conduct and Ethics; and Information and Requests
34-62520
|
Issue Date: | File Number:S7-14-10 |
Rulemaking:Concept Release on the U.S. Proxy System
Corporation Finance
|
Status:
Concept
Release
Concept Release on the U.S. Proxy System
34-62495,
IA-3052,
IC-29340
|
Issue Date: | File Number: | Rulemaking:Adoption of Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission and Revisions to the Commission's Ethics Rules |
Status:
Final
Rule
Adoption of Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission and Revisions to the Commission's Ethics Rules
34-62501
|
Issue Date: | File Number:S7-21-09 |
Rulemaking:Elimination of Flash Order Exception From Rule 602 of Regulation NMS
Trading and Markets
|
Status:
Proposed
Rule
Elimination of Flash Order Exception From Rule 602 of Regulation NMS
34-62445
|
Issue Date: | File Number:S7-18-09 |
Rulemaking:Political Contributions by Certain Investment Advisers
Investment Management
|
Status:
Final
Rule
Political Contributions by Certain Investment Advisers
IA-3043
|
Issue Date: | File Number:S7-12-10 |
Rulemaking:Investment Company Advertising: Target Date Retirement Fund Names and Marketing
Investment Management
|
Status:
Proposed
Rule
Investment Company Advertising: Target Date Retirement Fund Names and Marketing
33-9126,
34-62300,
IC-29301,
33-9570
|
Issue Date: | File Number:S7-15-09 |
Rulemaking:Amendment to Municipal Securities Disclosure
Trading and Markets
|
Status:
Final
Rule
Amendment to Municipal Securities Disclosure
34-62184A
|
Issue Date: | File Number:S7-11-10 |
Rulemaking:Consolidated Audit Trail
Trading and Markets
|
Status:
Proposed
Rule
Consolidated Audit Trail
34-62174
|
Issue Date: | File Number:S7-10-10 |
Rulemaking:Large Trader Reporting
Trading and Markets
|
Status:
Proposed
Rule
Large Trader Reporting System
34-61908
|
Issue Date: | File Number:S7-09-10 |
Rulemaking:Proposed Amendments to Rule 610 of Regulation NMS
Trading and Markets
|
Status:
Proposed
Rule
Proposed Amendments to Rule 610 of Regulation NMS
34-61902
|
Issue Date: | File Number:S7-08-10 |
Rulemaking:Asset-Backed Securities Disclosure and Registration
Corporation Finance
|
Status:
Proposed
Rule
Asset-Backed Securities
33-9117,
34-61858
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9115,
34-61821,
39-2469,
IC-29199
|
Issue Date: | File Number:S7-08-09 |
Rulemaking:Amendments to Regulation SHO
Trading and Markets
|
Status:
Final
Rule
Amendments to Regulation SHO
34-61595
|
Issue Date: | File Number:S7-13-09 |
Rulemaking:Proxy Disclosure Enhancements
Corporation Finance
|
Status:
Final
Rule
Proxy Disclosure Enhancements; Correction
33-9089A
|
Issue Date: | File Number:S7-11-09, S7-20-09 |
Rulemaking:Money Market Fund Reform
Investment Management
|
Status:
Final
Rule
Money Market Fund Reform
IC-29132
|
Issue Date: | File Number:S7-22-09 |
Rulemaking:Amendments to Rules Requiring Internet Availability of Proxy Materials
Corporation Finance
|
Status:
Final
Rule
Amendments to Rules Requiring Internet Availability of Proxy Materials
33-9108,
34-61560,
IC-29131
|
Issue Date: | File Number: | Rulemaking:Commission Guidance Regarding Disclosure Related to Climate Change |
Status:
Interpretive
Release
Commission Guidance Regarding Disclosure Related to Climate Change
33-9106,
34-61469,
FR-82
|
Issue Date: | File Number:S7-04-10 |
Rulemaking:Purchases of Certain Equity Securities by the Issuer and Others
Trading and Markets
|
Status:
Proposed
Rule
Purchases of Certain Equity Securities by the Issuer and Others
34-61414
|
Issue Date: | File Number:S7-03-10 |
Rulemaking:Risk Management Controls for Brokers or Dealers With Market Access
Trading and Markets
|
Status:
Proposed
Rule
Risk Management Controls for Brokers or Dealers With Market Access
34-61379
|
Issue Date: | File Number:S7-02-10 |
Rulemaking:Concept Release on Equity Market Structure
Trading and Markets
|
Status:
Concept
Release
Concept Release on Equity Market Structure
34-61358
|
Issue Date: | File Number: | Rulemaking:Delegations of Authority to the Director of Its Division of Enforcement |
Status:
Final
Rule
Delegations of Authority to the Director of Its Division of Enforcement
34-61339
|
Issue Date: | File Number:S7-12-09 |
Rulemaking:Shareholder Approval of Executive Compensation of TARP Recipients
Corporation Finance
|
Status:
Final
Rule
Shareholder Approval of Executive Compensation of TARP Recipients
34-61335
|
Issue Date: | File Number:S7-23-07 | Rulemaking:Principal Trades with Certain Advisory Clients |
Status:
Final
Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
IA-2965A
|
Issue Date: | File Number: |
Rulemaking:Custody of Funds or Securities of Clients by Investment Advisers
Investment Management
|
Status:
Interpretive
Release
Commission Guidance Regarding Independent Public Accountant Engagements Performed Pursuant to Rule 206(4)-2 Under the Investment Advisers Act of 1940
IA-2969,
FR-81
|
Issue Date: | File Number:S7-09-09 |
Rulemaking:Custody of Funds or Securities of Clients by Investment Advisers
Investment Management
|
Status:
Final
Rule
Custody of Funds or Securities of Clients by Investment Advisers
IA-2968
|
Issue Date: | File Number:S7-23-07 | Rulemaking:Principal Trades with Certain Advisory Clients |
Status:
Final
Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
IA-2965
|
Issue Date: | File Number:S7-30-09 |
Rulemaking:Revisions To Rule 163
Corporation Finance
|
Status:
Proposed
Rule
Revisions To Rule 163
33-9098
|
Issue Date: | File Number:S7-13-09 |
Rulemaking:Proxy Disclosure Enhancements
Corporation Finance
|
Status:
Final
Rule
Proxy Disclosure Enhancements
33-9089
|
Issue Date: | File Number:S7-23-09 |
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
33-9087
|
Issue Date: | File Number:S7-10-09 |
Rulemaking:Facilitating Shareholder Director Nominations
Corporation Finance
|
Status:
Proposed
Rule
Facilitating Shareholder Director Nominations
33-9086,
34-61161,
IC-29069
|
Issue Date: | File Number:S7-28-09 |
Rulemaking:Proposed Rules for Nationally Recognized Statistical Rating Organizations
Trading and Markets
|
Status:
Proposed
Rule
Proposed Rules for Nationally Recognized Statistical Rating Organizations
34-61051
|
Issue Date: | File Number:S7-04-09 |
Rulemaking:Amendments to Rules for Nationally Recognized Statistical Rating Organizations
Trading and Markets
|
Status:
Final
Rule
Amendments to Rules for Nationally Recognized Statistical Rating Organizations
34-61050
|
Issue Date: | File Number:S7-09-07 | Rulemaking:Final Model Privacy Form Under the Gramm-Leach-Bliley Act |
Status:
Final
Rule
Final Model Privacy Form Under the Gramm-Leach-Bliley Act
34-61003,
IA-2950,
IC-28997,
34-59769
|
Issue Date: | File Number:S7-27-09 |
Rulemaking:Regulation of Non-Public Trading Interest
Trading and Markets
|
Status:
Proposed
Rule
Regulation of Non-Public Trading Interest
34-60997
|
Issue Date: | File Number:S7-29-04 | Rulemaking:Regulation S-AM: Limitations on Affiliate Marketing; Extension of Compliance Date |
Status:
Final
Rule
Regulation S-AM: Limitations on Affiliate Marketing; Extension of Compliance Date
34-60946,
IA-2946,
IC-28990
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9077,
34-60875,
39-2468,
IC-28984
|
Displaying 1101 - 1200 of 2713
Modified: Feb. 20, 2024