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 of Transfer Agents |
Status:
Final
Rule
Regulation of Transfer Agents
34-13636
|
Issue Date: | File Number: | Rulemaking:Adoption of Rule 15ba2-1, Related Form MSD, Rule 15ba2-2 and Temporary Rule 15ba2-3(T) Relating to the Registration Of Municipal Securities Dealers Under Section 15b(a) of the Securities Exchange Act of 1934; Adoption of Temporary Rule 15a-1 (T) Relating to the Registration Of Municipal Securities Brokers and Dealers Under Section 15 of the Act; and Delegation of Authority to the Staff of The Commission |
Status:
Final
Rule
Adoption of Rule 15ba2-1, Related Form MSD, Rule 15ba2-2 and Temporary Rule 15ba2-3(T) Relating to the Registration Of Municipal Securities Dealers Under Section 15b(a) of the Securities Exchange Act of 1934; Adoption of Temporary Rule 15a-1 (T) Relating
34-11742
|
Issue Date: | File Number: | Rulemaking:Guidelines for Control Locations for Foreign Securities Pursuant to Subparagraphs (c)(4) and (c)(7) of Rule 15c3-3 Under the Securities Exchange Act of 1934 |
Status:
Interpretive
Release
Guidelines for Control Locations for Foreign Securities Pursuant to Subparagraphs (c)(4) and (c)(7) of Rule 15c3-3 Under the Securities Exchange Act of 1934
34-10429
|
Issue Date: | File Number: | Rulemaking:Guidelines As to the Applicability of Federal Securities Laws to Offers and Sales of Condominiums or Units in a Real Estate Development |
Status:
Interpretive
Release
Guidelines As to the Applicability of Federal Securities Laws to Offers and Sales of Condominiums or Units in a Real Estate Development
33-5347
|
Issue Date: | File Number: | Rulemaking:Multi-level Distributorships and Pyramid Sales Plans |
Status:
Interpretive
Release
Multi-level Distributorships and Pyramid Sales Plans
33-5211
|
Issue Date: | File Number: | Rulemaking:Nonpublic Offering Exemption |
Status:
Final
Rule
Nonpublic Offering Exemption
33-4552
|
Issue Date: | File Number: | Rulemaking:Statement of the Commission as to the applicability of theFederal securities laws to real estate investment trusts |
Status:
Interpretive
Release
Statement of the Commission as to the applicability of theFederal securities laws to real estate investment trusts
33-4298,
34-6419,
IC-3140
|
Displaying 2701 - 2709 of 2709
Modified: Feb. 20, 2024