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:S7-12-10 |
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: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:S7-11-13 |
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:S7-09-13 |
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: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:S7-06-13 |
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:S7-03-13 |
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: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:S7-01-13 |
Rulemaking:Regulation Systems Compliance and Integrity
Trading and Markets
|
Status:
Proposed
Rule
Regulation Systems Compliance and Integrity
34-69077
|
Issue Date: | File Number:S7-08-12 |
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: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: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:S7-08-07 | Rulemaking:Financial Responsibility Rules for Broker-Dealers |
Status:
Proposed
Rule
Amendments to Financial Responsibility Rules for Broker-Dealers
34-66910
|
Issue Date: | File Number:S7-12-10 |
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:S7-02-12 |
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:S7-41-11 |
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:S7-38-11 |
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: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: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:S7-31-11 |
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:S7-08-10 |
Rulemaking:Asset-Backed Securities Disclosure and Registration
Corporation Finance
|
Status:
Proposed
Rule
Re-Proposal of Shelf Eligibility Conditions for Asset-Backed Securities
33-9244,
34-64968
|
Issue Date: | File Number:S7-25-11 |
Rulemaking:Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
Trading and Markets
|
Status:
Proposed
Rule
Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
34-64766
|
Issue Date: | File Number:S7-23-11 |
Rulemaking:Broker-Dealer Reports
Trading and Markets
|
Status:
Proposed
Rule
Broker-Dealer Reports
34-64676
|
Issue Date: | File Number:S7-22-11 |
Rulemaking:Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies
Corporation Finance
|
Status:
Proposed
Rule
Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies
33-9222
|
Issue Date: | File Number:S7-14-11 |
Rulemaking:Credit Risk Retention
Corporation Finance
|
Status:
Proposed
Rule
Credit Risk Retention
34-64603
|
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:
Proposed
Rule
Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
33-9204A,
34-64372A
|
Issue Date: | File Number:S7-21-11 |
Rulemaking:Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings
Corporation Finance
|
Status:
Proposed
Rule
Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings
33-9211
|
Issue Date: | File Number:S7-19-11 |
Rulemaking:Privacy Act of 1974: Implementation and Amendment of Exemptions
Information Technology
|
Status:
Proposed
Rule
Privacy Act of 1974: Implementation and Amendment of Exemptions
PA-45
|
Issue Date: | File Number:S7-18-11 |
Rulemaking:Nationally Recognized Statistical Rating Organizations
Trading and Markets
|
Status:
Proposed
Rule
Nationally Recognized Statistical Rating Organizations
34-64514
|
Issue Date: | File Number:S7-17-11 |
Rulemaking:Investment Adviser Performance Compensation
Investment Management
|
Status:
Proposed
Rule
Investment Adviser Performance Compensation
IA-3198
|
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:
Proposed
Rule
Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
33-9204
|
Issue Date: | File Number:S7-13-11 |
Rulemaking:Listing Standards for Compensation Committees
Corporation Finance
|
Status:
Proposed
Rule
Listing Standards for Compensation Committees
33-9203,
34-64366
|
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:
Proposed
Rule
Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934
34-64352
|
Issue Date: | File Number:S7-14-11 |
Rulemaking:Credit Risk Retention
Corporation Finance
|
Status:
Proposed
Rule
Credit Risk Retention
34-64148
|
Issue Date: | File Number:S7-13-11 |
Rulemaking:Listing Standards for Compensation Committees
Corporation Finance
|
Status:
Proposed
Rule
Listing Standards for Compensation Committees
33-9199
|
Issue Date: | File Number:S7-12-11 |
Rulemaking:Incentive-Based Compensation Arrangements
Investment Management, Trading and Markets
|
Status:
Proposed
Rule
Incentive-Based Compensation Arrangements
34-64140
|
Issue Date: | File Number:S7-11-11 |
Rulemaking:Lost Securityholders and Unresponsive Payees
Trading and Markets
|
Status:
Proposed
Rule
Rule 17Ad-17; Transfer Agents', Brokers', and Dealers' Obligation To Search for Lost Securityholders; Paying Agents' Obligation To Search for Missing Securityholders
34-64099
|
Issue Date: | File Number:S7-10-11 |
Rulemaking:Beneficial Ownership Reporting Requirements and Security-Based Swaps
Corporation Finance
|
Status:
Proposed
Rule
Beneficial Ownership Reporting Requirements and Security-Based Swaps
34-64087
|
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:
Proposed
Rule
References to Credit Ratings in Certain Investment Company Act Rules and Forms
33-9193,
IC-29592
|
Issue Date: | File Number:S7-27-10 |
Rulemaking:Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges With Respect to Security-Based Swaps Under Regulation MC
Trading and Markets
|
Status:
Proposed
Rule
Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges With Respect to Security-Based Swaps Under Regulation MC
34-64018
|
Issue Date: | File Number:S7-18-08 |
Rulemaking:Security Ratings
Corporation Finance, Investment Management, Trading and Markets
|
Status:
Proposed
Rule
Security Ratings
33-9186,
34-63874
|
Issue Date: | File Number:S7-06-11 |
Rulemaking:Registration and Regulation of Security-Based Swap Execution Facilities
Trading and Markets
|
Status:
Proposed
Rule
Registration and Regulation of Security-Based Swap Execution Facilities
34-63825
|
Issue Date: | File Number:S7-42-10 |
Rulemaking:Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
|
Status:
Proposed
Rule
Disclosure of Payments by Resource Extraction Issuers
34-63795
|
Issue Date: | File Number:S7-40-10 |
Rulemaking:Conflict Minerals
Corporation Finance
|
Status:
Proposed
Rule
Conflict Minerals
34-63793
|
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:
Proposed
Rule
Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
IA-3145
|
Issue Date: | File Number:S7-04-11 |
Rulemaking:Net Worth Standard for Accredited Investors
Corporation Finance
|
Status:
Proposed
Rule
Net Worth Standard for Accredited Investors
33-9177,
33-9287A,
IA-3144,
IC-29572
|
Issue Date: | File Number:S7-03-11 |
Rulemaking:Trade Acknowledgment and Verification of Security-Based Swap Transactions
Trading and Markets
|
Status:
Proposed
Rule
Trade Acknowledgment and Verification of Security-Based Swap Transactions
34-63727
|
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:
Proposed
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
34-63652
|
Issue Date: | File Number:S7-45-10 |
Rulemaking:Registration of Municipal Advisors (Corrected to conform to Federal Register version)
Municipal Securities
|
Status:
Proposed
Rule
Registration of Municipal Advisors
34-63576,
34-67901
|
Issue Date: | File Number:S7-43-10 |
Rulemaking:End-User Exception to Mandatory Clearing of Security-Based Swaps
Trading and Markets
|
Status:
Proposed
Rule
End-User Exception to Mandatory Clearing of Security-Based Swaps
34-63556
|
Issue Date: | File Number:S7-42-10 |
Rulemaking:Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
|
Status:
Proposed
Rule
Disclosure of Payments by Resource Extraction Issuers
34-63549
|
Issue Date: | File Number:S7-40-10 |
Rulemaking:Conflict Minerals
Corporation Finance
|
Status:
Proposed
Rule
Conflict Minerals
34-63547
|
Issue Date: | File Number:S7-41-10 |
Rulemaking:Mine Safety Disclosure
Corporation Finance
|
Status:
Proposed
Rule
Mine Safety Disclosure
33-9164,
34-63548
|
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:
Proposed
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
34-63557
|
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:
Proposed
Rule
Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant"
34-63452
|
Displaying 301 - 400 of 927
Modified: Feb. 20, 2024