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:S7-03-13 |
Rulemaking:Money Market Fund Reform; Amendments to Form PF
Investment Management
|
Status:
Final
Rule
Money Market Fund Reform; Amendments to Form PF
33-9616
|
Issue Date: | File Number:S7-02-13 |
Rulemaking:Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities; Republication
Trading and Markets
|
Status:
Interpretive
Release
Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities; Republication
34-72472
|
Issue Date: | File Number:S7-02-13 |
Rulemaking:Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities; Republication
Trading and Markets
|
Status:
Final
Rule
Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities; Republication
34-72472
|
Issue Date: | File Number:S7-07-14 |
Rulemaking:Freedom of Information Act Regulations: Fee Schedule, Addition of Appeals Time Frame, and Miscellaneous Administrative Changes
FOIA Services
|
Status:
Proposed
Rule
Freedom of Information Act Regulations: Fee Schedule, Addition of Appeal Time Frame, and Miscellaneous Administrative Changes
34-72440
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9600,
34-72394,
39-2497,
IC-31081
|
Issue Date: | File Number:S7-05-14 |
Rulemaking:Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers
Trading and Markets
|
Status:
Proposed
Rule
Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Capital Rule for Certain Security-Based Swap Dealers
34-71958
|
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
33-9570,
34-71861,
IC-31004
|
Issue Date: | File Number:S7-08-10 |
Rulemaking:Asset-Backed Securities Disclosure and Registration
Corporation Finance
|
Status:
Proposed
Rule
Extension of Comment Period for Asset-Backed Securities Release
33-9568,
34-71830
|
Issue Date: | File Number:S7-03-14 |
Rulemaking:Standards for Covered Clearing Agencies
Trading and Markets
|
Status:
Proposed
Rule
Standards for Covered Clearing Agencies
34-71699
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9554,
34-71643,
39-2496,
IC-30972
|
Issue Date: | File Number:S7-08-10 |
Rulemaking:Asset-Backed Securities Disclosure and Registration
Corporation Finance
|
Status:
Proposed
Rule
Re-Opening of Comment Period for Asset-Backed Securities Release
33-9552,
34-71611
|
Issue Date: | File Number:S7-26-11 |
Rulemaking:Exemptions for Security-Based Swaps
Corporation Finance
|
Status:
Interim Final
Rule
Extension of Exemptions for Security-Based Swaps
33-9545,
34-71482,
39-2495
|
Issue Date: | File Number:S7-01-14 |
Rulemaking:Treatment of Certain Collateralized Debt Obligations Backed Primarily by Trust Preferred Securities With Regard to Prohibitions and Restrictions on Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Investment Management, Trading and Markets
|
Status:
Interim Final
Rule
Treatment of Certain Collateralized Debt Obligations Backed Primarily by Trust Preferred Securities With Regard to Prohibitions and Restrictions on Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
BHCA-2
|
Issue Date: | File Number:S7-45-10 |
Rulemaking:Registration of Municipal Advisors; Temporary Stay of Final Rule
Municipal Securities
|
Status:
Final
Rule
Registration of Municipal Advisors; Temporary Stay of Final Rule
34-71288
|
Issue Date: | File Number: | Rulemaking:Responsibilities of the General Counsel |
Status:
Final
Rule
Responsibilities of the General Counsel
34-71238
|
Issue Date: | File Number:S7-7-11 | Rulemaking:Removal of Certain References to Credit Ratings Under the Investment Company Act |
Status:
Final
Rule
Removal of Certain References to Credit Ratings Under the Investment Company Act
33-9506
|
Issue Date: | File Number:S7-15-11 |
Rulemaking:Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934
Trading and Markets
|
Status:
Final
Rule
Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934
34-71194
|
Issue Date: | File Number: | Rulemaking:Securities Exempted; Distribution of Shares by Registered Open-End Management Investment Company; Applications Regarding Joint Enterprises or Arrangements and Certain Profit-Sharing Plans |
Status:
Final
Rule
Securities Exempted; Distribution of Shares by Registered Open-End Management Investment Company; Applications Regarding Joint Enterprises or Arrangements and Certain Profit-Sharing Plans
33-9503,
IC-30845
|
Issue Date: | File Number:S7-11-13 |
Rulemaking:Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A)
Corporation Finance
|
Status:
Proposed
Rule
Proposed Rule Amendments for Small and Additional Issues Exemptions Under Section 3(b) of the Securities Act
33-9497,
34-71120,
39-2493
|
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:
Final
Rule
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
BHCA-1
|
Issue Date: | File Number:S7-09-13 |
Rulemaking:Crowdfunding
Corporation Finance, Trading and Markets
|
Status:
Proposed
Rule
Crowdfunding
33-9470,
34-70741
|
Issue Date: | File Number:S7-06-13 |
Rulemaking:Amendments to Regulation D, Form D and Rule 156
Corporation Finance
|
Status:
Proposed
Rule
Amendments to Regulation D, Form D and Rule 156; Re-Opening of Comment Period
33-9458,
34-70538,
IC-30737
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9457,
34-70497,
39-2492,
IC-30722
|
Issue Date: | File Number:S7-19-10 |
Rulemaking:Registration of Municipal Advisors (Corrected to conform to Federal Register version)
Municipal Securities
|
Status:
Interim Final
Rule
Extension of Temporary Registration of Municipal Advisors
34-70468
|
Issue Date: | File Number:S7-45-10 |
Rulemaking:Registration of Municipal Advisors (Corrected to conform to Federal Register version)
Municipal Securities
|
Status:
Final
Rule
Registration of Municipal Advisors (Corrected to conform to Federal Register version)
34-70642
|
Issue Date: | File Number:S7-07-13 |
Rulemaking:Pay Ratio Disclosure
Corporation Finance
|
Status:
Proposed
Rule
Pay Ratio Disclosure
33-9452,
34-70443
|
Issue Date: | File Number:S7-14-11 |
Rulemaking:Credit Risk Retention
Corporation Finance
|
Status:
Proposed
Rule
Credit Risk Retention
34-70277
|
Issue Date: | File Number:S7-08-07 | Rulemaking:Financial Responsibility Rules for Broker-Dealers |
Status:
Final
Rule
Financial Responsibility Rules for Broker-Dealers
34-70072,
34-66910
|
Issue Date: | File Number:S7-23-11 |
Rulemaking:Broker-Dealer Reports
Trading and Markets
|
Status:
Final
Rule
Broker-Dealer Reports
34-70073
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to Director of the Division of Enforcement |
Status:
Final
Rule
Delegation of Authority to Director of the Division of Enforcement
34-70049
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9433,
34-70040,
39-2491,
IC-30629
|
Issue Date: | File Number: | Rulemaking:Rescission of Supervised Investment Bank Holding Company Rules |
Status:
Final
Rule
Rescission of Supervised Investment Bank Holding Company Rules
34-69979
|
Issue Date: | File Number:S7-30-11 |
Rulemaking:Retail Foreign Exchange Transactions
Trading and Markets
|
Status:
Final
Rule
Retail Foreign Exchange Transactions
34-69964
|
Issue Date: | File Number:S7-06-13 |
Rulemaking:Amendments to Regulation D, Form D and Rule 156
Corporation Finance
|
Status:
Proposed
Rule
Amendments to Regulation D, Form D and Rule 156
33-9416,
34-69960,
IC-30595
|
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:
Final
Rule
Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings
33-9415,
34-69959,
IA-3624
|
Issue Date: | File Number:S7-21-11 |
Rulemaking:Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings
Corporation Finance
|
Status:
Final
Rule
Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings
33-9414
|
Issue Date: | File Number:S7-03-13 |
Rulemaking:Money Market Fund Reform; Amendments to Form PF
Investment Management
|
Status:
Proposed
Rule
Money Market Fund Reform; Amendments to Form PF
33-9408,
IA-3616,
IC-30551
|
Issue Date: | File Number:S7-01-13 |
Rulemaking:Regulation Systems Compliance and Integrity
Trading and Markets
|
Status:
Proposed
Rule
Regulation Systems Compliance and Integrity
34-69606
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9403,
34-69568,
39-2490,
IC-30515
|
Issue Date: | File Number:S7-02-13, S7-34-10, S7-40-11 |
Rulemaking:Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities; Republication
Trading and Markets
|
Status:
Proposed
Rule
Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and Forms Relating to the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
34-69490
|
Issue Date: | File Number:S7-27-10, S7-32-10, S7-34-10, S7-35-10, S7-43-10, S7-03-11, S7-06-11, S7-08-11, S7-25-11, S7-40-11, S7-05-12, S7-08-12 |
Rulemaking:Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Trading and Markets
|
Status:
Proposed
Rule
Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act
34-69491
|
Issue Date: | File Number:S7-02-12 |
Rulemaking:Identity Theft Red Flags Rules
Investment Management, Trading and Markets
|
Status:
Final
Rule
Identity Theft Red Flags Rules
34-69359,
IA-3582,
IC-30456
|
Issue Date: | File Number:S7-29-11 |
Rulemaking:Amendment to Rule Filing Requirements for Dually-Registered Clearing Agencies
Trading and Markets
|
Status:
Final
Rule
Amendment to Rule Filing Requirements for Dually-Registered Clearing Agencies
34-69284
|
Issue Date: | File Number:S7-01-13 |
Rulemaking:Regulation Systems Compliance and Integrity
Trading and Markets
|
Status:
Proposed
Rule
Regulation Systems Compliance and Integrity
34-69077
|
Issue Date: | File Number:S7-26-11 |
Rulemaking:Exemptions for Security-Based Swaps
Corporation Finance
|
Status:
Interim Final
Rule
Extension of Exemptions for Security-Based Swaps
33-9383,
34-68753,
39-2489
|
Issue Date: | File Number:S7-11-11 |
Rulemaking:Lost Securityholders and Unresponsive Payees
Trading and Markets
|
Status:
Final
Rule
Lost Securityholders and Unresponsive Payees
34-68668
|
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
34-68660
|
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
|
Displaying 801 - 900 of 2714
Modified: Feb. 20, 2024