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
33-9077,
34-60875,
39-2468,
IC-28984
|
Issue Date: | File Number:S7-25-09 |
Rulemaking:Concept Release on Possible Rescission of Rule 436(g) Under The Securities Act of 1933
Corporation Finance
|
Status:
Concept
Release
Concept Release on Possible Rescission of Rule 436(g) Under the Securities Act of 1933
33-9071A
|
Issue Date: | File Number:S7-24-09 |
Rulemaking:Credit Ratings Disclosure
Investment Management
|
Status:
Proposed
Rule
Credit Ratings Disclosure
33-9070A,
34-60797A,
IC-28942A
|
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:
Proposed
Rule
Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
33-9074
|
Issue Date: | File Number:S7-22-09 |
Rulemaking:Amendments to Rules Requiring Internet Availability of Proxy Materials
Corporation Finance
|
Status:
Proposed
Rule
Amendments to Rules Requiring Internet Availability of Proxy Materials
33-9073,
34-60825,
IC-28946
|
Issue Date: | File Number:S7-06-03 | 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
33-9072,
34-60813
|
Issue Date: | File Number:S7-25-09 |
Rulemaking:Concept Release on Possible Rescission of Rule 436(g) Under The Securities Act of 1933
Corporation Finance
|
Status:
Concept
Release
Concept Release on Possible Rescission of Rule 436(g) Under The Securities Act of 1933
33-9071
|
Issue Date: | File Number:S7-20-09 |
Rulemaking:Credit Ratings Disclosure
Investment Management
|
Status:
Proposed
Rule
Credit Ratings Disclosure
33-9070,
34-60797,
IC-28942
|
Issue Date: | File Number:S7-19-08 |
Rulemaking:Security Ratings
Corporation Finance, Investment Management, Trading and Markets
|
Status:
Proposed
Rule
References to Ratings of Nationally Recognized Statistical Rating Organizations
33-9069
|
Issue Date: | File Number:S7-19-08 |
Rulemaking:References to Ratings of Nationally Recognized Statistical Rating Organizations
Trading and Markets
|
Status:
Final
Rule
References to Ratings of Nationally Recognized Statistical Rating Organizations
34-60789
|
Issue Date: | File Number:S7-20-09 |
Rulemaking:Disclosure of Certain Money Market Fund Portfolio Holdings
Investment Management
|
Status:
Interim Final
Rule
Disclosure of Certain Money Market Fund Portfolio Holdings
IC-28903
|
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
34-60684
|
Issue Date: | File Number:S7-20-09 |
Rulemaking:Disclosure of Certain Money Market Fund Portfolio Holdings
Investment Management
|
Status:
Final
Rule
Disclosure of Certain Money Market Fund Portfolio Holdings
IC-28903
|
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:
Final
Rule
Extension of Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps
33-9063,
34-60663,
39-2467
|
Issue Date: | File Number: | Rulemaking:Commission Guidance Regarding the Financial Accounting Standards Board's Accounting Standards Codification |
Status:
Interpretive
Release
Commission Guidance Regarding the Financial Accounting Standards Board's Accounting Standards Codification
33-9062A,
34-60519A,
FR-80A
|
Issue Date: | File Number:S7-08-09 |
Rulemaking:Amendments to Regulation SHO
Trading and Markets
|
Status:
Proposed
Rule
Amendments to Regulation SHO
34-60509
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to Director of Division of Enforcement |
Status:
Final
Rule
Delegation of Authority to Director of Division of Enforcement
34-60448
|
Issue Date: | File Number:S7-29-04 | Rulemaking:Regulation S-AM: Limitations on Affiliate Marketing |
Status:
Final
Rule
Regulation S-AM: Limitations on Affiliate Marketing
34-60423,
IC-28842,
IA-2911
|
Issue Date: | File Number:S7-18-09 |
Rulemaking:Political Contributions by Certain Investment Advisers
Investment Management
|
Status:
Proposed
Rule
Political Contributions by Certain Investment Advisers
IA-2910
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9058,
34-60390,
39-2466,
IC-28838 Dates:
|
Issue Date: | File Number:S7-30-08 |
Rulemaking:Amendments to Regulation SHO
Trading and Markets
|
Status:
Final
Rule
Amendments to Regulation SHO
34-60388
|
Issue Date: | File Number:S7-15-09 |
Rulemaking:Amendment to Municipal Securities Disclosure
Trading and Markets
|
Status:
Proposed
Rule
Proposed Amendment to Municipal Securities Disclosure
34-60332
|
Issue Date: | File Number:S7-13-09 |
Rulemaking:Proxy Disclosure Enhancements
Corporation Finance
|
Status:
Proposed
Rule
Proxy Disclosure and Solicitation Enhancements
33-9052
|
Issue Date: | File Number:S7-12-09 |
Rulemaking:Shareholder Approval of Executive Compensation of TARP Recipients
Corporation Finance
|
Status:
Proposed
Rule
Shareholder Approval of Executive Compensation of TARP Recipients
34-60218
|
Issue Date: | File Number:S7-11-09 |
Rulemaking:Money Market Fund Reform
Investment Management
|
Status:
Proposed
Rule
Money Market Fund Reform
IC-28807
|
Issue Date: | File Number:S7-06-03 | Rulemaking:Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers |
Status:
Final
Rule
Technical Amendment; Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers
33-8934A,
34-58028A,
33-8889
|
Issue Date: | File Number:S7-10-09 |
Rulemaking:Facilitating Shareholder Director Nominations
Corporation Finance
|
Status:
Proposed
Rule
Facilitating Shareholder Director Nominations
33-9046,
34-60089,
IC-28765
|
Issue Date: | File Number:S7-28-07 | Rulemaking:Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies |
Status:
Final
Rule
Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies
33-8998A,
IC-28584A
|
Issue Date: | File Number:S7-09-09 |
Rulemaking:Custody of Funds or Securities of Clients by Investment Advisers
Investment Management
|
Status:
Proposed
Rule
Custody of Funds or Securities of Clients by Investment Advisers
IA-2876
|
Issue Date: | File Number:S7-12-08 |
Rulemaking:Interactive Data for Mutual Fund Risk/Return Summary
Investment Management
|
Status:
Final
Rule
Interactive Data for Mutual Fund Risk/Return Summary; Correction
33-9006A,
34-59391A,
39-2462A,
IC-28617A
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to the General Counsel |
Status:
Final
Rule
Delegation of Authority to the General Counsel
34-59829
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9027,
34-59776,
39-2465,
IC-28698
|
Issue Date: | File Number:S7-09-07 | Rulemaking:Final Model Privacy Form Under the Gramm-Leach-Bliley Act |
Status:
Proposed
Rule
Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act
34-59769,
IA-2866,
IC-28697
|
Issue Date: | File Number: | Rulemaking:Technical Amendments to Rules, Forms, Schedules, and Codification of Financial Reporting Policies |
Status:
Final
Rule
Technical Amendments to Rules, Forms, Schedules, and Codification of Financial Reporting Policies
33-9026,
34-59775,
FR-79
|
Issue Date: | File Number:S7-08-09 |
Rulemaking:Amendments to Regulation SHO
Trading and Markets
|
Status:
Proposed
Rule
Amendments to Regulation SHO
34-59748
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9022,
34-59728,
39-2464,
IC-28691
|
Issue Date: | File Number:S7-11-08 |
Rulemaking:Interactive Data To Improve Financial Reporting
Corporation Finance
|
Status:
Final
Rule
Interactive Data To Improve Financial Reporting
33-9002A
|
Issue Date: | File Number: | Rulemaking:Attaching Authenticating Documents to Online Form ID Applications |
Status:
Final
Rule
Attaching Authenticating Documents to Online Form ID Applications
33-9013,
34-59536,
39-2463,
IC-28642
|
Issue Date: | File Number:S7-12-08 |
Rulemaking:Interactive Data for Mutual Fund Risk/Return Summary
Investment Management
|
Status:
Final
Rule
Interactive Data for Mutual Fund Risk/Return Summary
33-9006,
34-59391,
39-2462,
IC-28617
|
Issue Date: | File Number:S7-27-08 |
Rulemaking:Roadmap for the Potential Use of Financial Statements Prepared in Accordance With International Financial Reporting Standards by U.S. Issuers
Corporation Finance
|
Status:
Proposed
Rule
Roadmap for the Potential Use of Financial Statements Prepared in Accordance With International Financial Reporting Standards by U.S. Issuers
33-9005,
34-59350
|
Issue Date: | File Number:S7-04-09 |
Rulemaking:Amendments to Rules for Nationally Recognized Statistical Rating Organizations
Trading and Markets
|
Status:
Proposed
Rule
Re-Proposed Rules for Nationally Recognized Statistical Rating Organizations
34-59343
|
Issue Date: | File Number:S7-13-08 |
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
34-59342
|
Issue Date: | File Number:S7-11-08 |
Rulemaking:Interactive Data To Improve Financial Reporting
Corporation Finance
|
Status:
Final
Rule
Interactive Data To Improve Financial Reporting
33-9002
|
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:
Final
Rule
Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps
33-8999,
33-9063,
34-59246,
39-2549,
33-9232,
33-9158
|
Issue Date: | File Number:S7-28-07 | Rulemaking:Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies |
Status:
Final
Rule
Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies
33-8998,
IC-28584
|
Issue Date: | File Number:S7-14-08 |
Rulemaking:Indexed Annuities And Certain Other Insurance Contracts
Investment Management
|
Status:
Final
Rule
Indexed Annuities And Certain Other Insurance Contracts
33-8996,
34-59221
|
Issue Date: | File Number:S7-15-08 |
Rulemaking:Modernization of Oil and Gas Reporting
Corporation Finance
|
Status:
Interpretive
Release
Modernization of Oil and Gas Reporting
33-8995,
34-59192,
FR-78
|
Issue Date: | File Number:S7-15-08 |
Rulemaking:Modernization of Oil and Gas Reporting
Corporation Finance
|
Status:
Final
Rule
Modernization of Oil and Gas Reporting
33-8995,
34-59192,
FR-78
|
Displaying 1201 - 1300 of 2713
Modified: Feb. 20, 2024