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
33-9382,
34-68644,
39-2488,
IC-30348
|
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-3522
|
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:
Final
Rule
Extension of Dates for Certain Requirements and Amendment of Form 19b-4
34-68357
|
Issue Date: | File Number:S7-42-10 |
Rulemaking:Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
|
Status:
Final
Rule
Disclosure of Payments by Resource Extraction Issuers
34-67717A
|
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:
Final
Rule
Purchase of Certain Debt Securities by Business and Industrial Development Companies Relying on an Investment Company Act Exemption
IC-30268
|
Issue Date: | File Number:S7-08-12 |
Rulemaking:Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers
Trading and Markets
|
Status:
Proposed
Rule
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
34-68071
|
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-3483
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9364,
34-67978,
39-2486,
IC-30227
|
Issue Date: | File Number:S7-19-10 |
Rulemaking:Temporary Registration of Municipal Advisors
Municipal Securities
|
Status:
Interim Final
Rule
Extension of Temporary Registration of Municipal Advisors
34-67901
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9353,
34-67747,
39-2485,
IC-30185
|
Issue Date: | File Number:S7-07-12 |
Rulemaking:Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings
Corporation Finance
|
Status:
Proposed
Rule
Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings
33-9354
|
Issue Date: | File Number:S7-42-10 |
Rulemaking:Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
|
Status:
Final
Rule
Disclosure of Payments by Resource Extraction Issuers
34-67717
|
Issue Date: | File Number:S7-40-10 |
Rulemaking:Conflict Minerals
Corporation Finance
|
Status:
Final
Rule
Conflict Minerals
34-67716
|
Issue Date: | File Number:S7-11-10 |
Rulemaking:Consolidated Audit Trail
Trading and Markets
|
Status:
Final
Rule
Consolidated Audit Trail
34-67457
|
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:
Final
Rule
Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
33-9338,
34-67453,
33-9681,
34-74936
|
Issue Date: | File Number:S7-06-12 |
Rulemaking:Commission Guidance Regarding Definitions of Mortgage Related Security and Small Business Related Security
Trading and Markets
|
Status:
Interpretive
Release
Commission Guidance Regarding Definitions of Mortgage Related Security and Small Business Related Security
34-67448
|
Issue Date: | File Number:S7-30-11 |
Rulemaking:Retail Foreign Exchange Transactions
Trading and Markets
|
Status:
Interim Final
Rule
Extension of Interim Final Temporary Rule on Retail Foreign Exchange Transactions
34-67405
|
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:
Final
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
34-67286
|
Issue Date: | File Number:S7-13-11 |
Rulemaking:Listing Standards for Compensation Committees
Corporation Finance
|
Status:
Final
Rule
Listing Standards for Compensation Committees
33-9330,
34-67220
|
Issue Date: | File Number:S7-18-09 |
Rulemaking:Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Extension of Compliance Date
Investment Management
|
Status:
Final
Rule
Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Extension of Compliance Date
IA-3418
|
Issue Date: | File Number:S7-36-10 | Rulemaking:Political Contributions by Certain Investment Advisers |
Status:
Final
Rule
Political Contributions by Certain Investment Advisers
IA-3403
|
Issue Date: | File Number:S7-08-07 | Rulemaking:Financial Responsibility Rules for Broker-Dealers |
Status:
Proposed
Rule
Amendments to Financial Responsibility Rules for Broker-Dealers
34-66910
|
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:
Final
Rule
Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant"
34-66868
|
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
33-9309,
33-9570
|
Issue Date: | File Number:S7-22-11 |
Rulemaking:Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies
Corporation Finance
|
Status:
Final
Rule
Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies
33-9308,
34-66703,
39-2484
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9303,
34-66654,
39-2483,
IC-30008
|
Issue Date: | File Number:S7-04-11 |
Rulemaking:Net Worth Standard for Accredited Investors
Corporation Finance
|
Status:
Final
Rule
Net Worth Standard for Accredited Investors
33-9287A,
33-9177,
IA-3341A,
IC-29891A
|
Issue Date: | File Number: | Rulemaking:Rules of Organization; Conduct and Ethics; and Information and Requests |
Status:
Final
Rule
Rules of Organization; Conduct and Ethics; and Information and Requests
34-66502
|
Issue Date: | File Number:S7-02-12 |
Rulemaking:Identity Theft Red Flags Rules
Investment Management, Trading and Markets
|
Status:
Proposed
Rule
Identity Theft Red Flags Rules
IC-29969
|
Issue Date: | File Number:S7-17-11 |
Rulemaking:Investment Adviser Performance Compensation
Investment Management
|
Status:
Final
Rule
Investment Adviser Performance Compensation
IA-3372
|
Issue Date: | File Number: | Rulemaking:Reporting Line for the Commission's Inspector General |
Status:
Final
Rule
Reporting Line for the Commission's Inspector General
34-66355
|
Issue Date: | File Number:S7-31-11 |
Rulemaking:Covered Securities of Bats Exchange, Inc.
Trading and Markets
|
Status:
Final
Rule
Covered Securities of Bats Exchange, Inc.
33-9295
|
Issue Date: | File Number:S7-41-11 |
Rulemaking:Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Investment Management, Trading and Markets
|
Status:
Proposed
Rule
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
34-66057
|
Issue Date: | File Number:S7-38-11 |
Rulemaking:Prohibition Against Conflicts of Interest in Certain Securitizations
Trading and Markets
|
Status:
Proposed
Rule
Prohibition Against Conflicts of Interest in Certain Securitizations
34-66058
|
Issue Date: | File Number:S7-19-10 |
Rulemaking:Temporary Registration of Municipal Advisors
Municipal Securities
|
Status:
Interim Final
Rule
Extension of Temporary Registration of Municipal Advisors
34-66020
|
Issue Date: | File Number:S7-41-10 |
Rulemaking:Mine Safety Disclosure
Corporation Finance
|
Status:
Final
Rule
Mine Safety Disclosure
33-9286,
34-66019
|
Issue Date: | File Number:S7-04-11 |
Rulemaking:Net Worth Standard for Accredited Investors
Corporation Finance
|
Status:
Final
Rule
Net Worth Standard for Accredited Investors
33-9287,
IA-3341,
IC-29891,
33-9177
|
Issue Date: | File Number:S7-38-11 |
Rulemaking:Prohibition Against Conflicts of Interest in Certain Securitizations
Trading and Markets
|
Status:
Proposed
Rule
Prohibition Against Conflicts of Interest in Certain Securitizations
34-65942
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9281,
34-65803,
39-2481,
IC-29868
|
Issue Date: | File Number: | Rulemaking:Reporting Line for the Commission's Ethics Counsel |
Status:
Final
Rule
Reporting Line for the Commission's Ethics Counsel
34-65742
|
Issue Date: | File Number: | Rulemaking:Rescission of Outdated Rules and Forms, and Amendments To Correct References |
Status:
Final
Rule
Rescission of Outdated Rules and Forms, and Amendments To Correct References
33-9273,
34-65686,
39-2480,
IA-3310,
IC-29855
|
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:
Final
Rule
Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
IA-3308
|
Issue Date: | File Number: | Rulemaking:Technical Amendment to Delegation of Authority to the Director of the Division of Trading and Markets |
Status:
Final
Rule
Technical Amendment to Delegation of Authority to the Director of the Division of Trading and Markets
34-65628
|
Issue Date: | File Number:S7-41-11 |
Rulemaking:Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Investment Management, Trading and Markets
|
Status:
Proposed
Rule
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
34-65545
|
Issue Date: | File Number:S7-40-11 |
Rulemaking:Pay Ratio Disclosure
Corporation Finance
|
Status:
Proposed
Rule
Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
34-65543
|
Issue Date: | File Number: | Rulemaking:Consolidation of the Office of the Executive Director With the Office of the Chief Operating Officer |
Status:
Final
Rule
Consolidation of the Office of the Executive Director With the Office of the Chief Operating Officer
34-65385
|
Issue Date: | File Number:S7-38-11 |
Rulemaking:Prohibition Against Conflicts of Interest in Certain Securitizations
Trading and Markets
|
Status:
Proposed
Rule
Prohibition Against Conflicts of Interest in Certain Securitizations
34-65355
|
Issue Date: | File Number:S7-10-09 |
Rulemaking:Facilitating Shareholder Director Nominations
Corporation Finance
|
Status:
Final
Rule
Facilitating Shareholder Director Nominations
33-9259,
34-65343,
IC-29788
|
Issue Date: | File Number:S7-19-11 |
Rulemaking:Privacy Act of 1974: Implementation and Amendment of Exemptions
Information Technology
|
Status:
Final
Rule
Privacy Act of 1974: Implementation and Amendment of Exemptions
PA-47
|
Issue Date: | File Number: | Rulemaking:Amendments To Include New Applicant Types on Form ID |
Status:
Final
Rule
Amendments To Include New Applicant Types on Form ID
33-9256,
34-65244,
39-2478,
IC-29780
|
Issue Date: | File Number:S7-35-11 |
Rulemaking:Treatment of Asset-Backed Issuers Under the Investment Company Act
Investment Management
|
Status:
Concept
Release
Treatment of Asset-Backed Issuers Under the Investment Company Act
IC-29779
|
Issue Date: | File Number:S7-34-11 |
Rulemaking:Companies Engaged in the Business of Acquiring Mortgages and Mortgage-Related Instruments
Investment Management
|
Status:
Concept
Release
Companies Engaged in the Business of Acquiring Mortgages and Mortgage-Related Instruments
IC-29778
|
Issue Date: | File Number:S7-33-11 |
Rulemaking:Use of Derivatives by Investment Companies Under the Investment Company Act of 1940
Investment Management
|
Status:
Concept
Release
Use of Derivatives by Investment Companies Under the Investment Company Act of 1940
IC-29776
|
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
33-9175A,
34-63741A
|
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:
Final
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
34-65148
|
Issue Date: | File Number:S7-31-11 |
Rulemaking:Covered Securities of Bats Exchange, Inc.
Trading and Markets
|
Status:
Proposed
Rule
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
33-9251
|
Issue Date: | File Number: | Rulemaking:Commission Rules and Forms Related to the FASB's Accounting Standards Codification |
Status:
Final
Rule
Commission Rules and Forms Related to the FASB's Accounting Standards Codification
33-9250,
34-65052,
IC-29748
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9246
|
Issue Date: | File Number:S7-18-08 |
Rulemaking:Security Ratings
Corporation Finance, Investment Management, Trading and Markets
|
Status:
Final
Rule
Security Ratings
33-9245,
34-64975
|
Issue Date: | File Number:S7-10-10 |
Rulemaking:Large Trader Reporting
Trading and Markets
|
Status:
Final
Rule
Large Trader Reporting
34-64976
|
Displaying 901 - 1000 of 2713
Modified: Feb. 20, 2024