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:S7-03-22 |
Rulemaking:Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
Investment Management
|
Status:
Final
Rule
Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
IA-6383
|
Issue Date: | File Number:S7-32-10, S7-18-21, S7-21-21, S7-22-21, S7-03-22, S7-08-22, S7-09-22, S7-10-22, S7-13-22, S7-16-22, S7-17-22, S7-18-22 |
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
Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments
33-11117,
34-96005,
IA-6162,
IC-34724
|
Issue Date: | File Number:S7-03-22 |
Rulemaking:Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
Investment Management
|
Status:
Proposed
Rule
Reopening of Comment Periods for "Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews" and "Amendments Regarding the Definition of `Exchange' and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency S
34-94868
|
Issue Date: | File Number:S7-03-22 |
Rulemaking:Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
Investment Management
|
Status:
Proposed
Rule
Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
IA-5955,
34-94868
|
Displaying 1 - 8 of 8
Modified: Feb. 20, 2024