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:S7-04-23 |
Rulemaking:Safeguarding Advisory Client Assets
Investment Management
|
Status:
Proposed
Rule
Safeguarding Advisory Client Assets; Reopening of Comment Period
IA-6384
|
Issue Date: | File Number:S7-04-23 |
Rulemaking:Safeguarding Advisory Client Assets
Investment Management
|
Status:
Proposed
Rule
Safeguarding Advisory Client Assets
IA-6240
|
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Modified: Feb. 20, 2024