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:S7-23-98 | Rulemaking:Rules of Practice |
Status:
Proposed
Rule
Rules of Practice
34-40364
|
Issue Date: | File Number:4-208 | Rulemaking:Intermarket Trading System ("ITS') Plan; Proposed Amendments to Expand the ITS/Computer Assisted Execution System Linkage to all Listed Securities and to Eliminate the Unanimous Vote Provision |
Status:
Proposed
Rule
Intermarket Trading System ("ITS') Plan; Proposed Amendments to Expand the ITS/Computer Assisted Execution System Linkage to all Listed Securities and to Eliminate the Unanimous Vote Provision
34-40260
|
Issue Date: | File Number:S7-22-98 | Rulemaking:Temporary Exemption for Certain Investment Advisers |
Status:
Proposed
Rule
Temporary Exemption for Certain Investment Advisers
IC-23325,
IC-24177
|
Issue Date: | File Number:4-208 | Rulemaking:Proposed Rulemaking Pursuant to Section 11A of the Securities Exchange Act of 1934 to Amend the Intermarket Trading System ("ITS') Plan To Link the PCX Application of the OptiMark System to the ITS System |
Status:
Proposed
Rule
Proposed Rulemaking Pursuant to Section 11A of the Securities Exchange Act of 1934 to Amend the Intermarket Trading System ("ITS') Plan To Link the PCX Application of the OptiMark System to the ITS System
34-40204
|
Issue Date: | File Number:S7-16-98 | Rulemaking:Proposed Amendment to Rule 102(e) of the Commission's Rules of Practice |
Status:
Proposed
Rule
Proposed Amendment to Rule 102(e) of the Commission's Rules of Practice
33-7555
|
Issue Date: | File Number:S7-8-98 | Rulemaking:Year 2000 Readiness Reports To Be Made by Certain Transfer Agents |
Status:
Proposed
Rule
Year 2000 Readiness Reports To Be Made by Certain Transfer Agents
34-40165,
34-40163
|
Issue Date: | File Number:S7-7-98 | Rulemaking:Reports To Be Made by Certain Brokers and Dealers |
Status:
Proposed
Rule
Reports To Be Made by Certain Brokers and Dealers
34-40164
|
Issue Date: | File Number:S7-20-98 | Rulemaking:Investment Adviser Year 2000 Reports |
Status:
Proposed
Rule
Investment Adviser Year 2000 Reports
IA-1728,
IA-1769
|
Issue Date: | File Number:S7-19-98 | Rulemaking:Options Disclosure Document |
Status:
Proposed
Rule
Options Disclosure Document
33-7550,
33-8049
|
Issue Date: | File Number:S7-18-98 | Rulemaking:Amendment to Rule 9b-1 Under the Securities Exchange Act Relating to the Options Disclosure Document |
Status:
Proposed
Rule
Amendment to Rule 9b-1 Under the Securities Exchange Act Relating to the Options Disclosure Document
34-40129
|
Issue Date: | File Number:S7-17-98 | Rulemaking:Segment Reporting |
Status:
Proposed
Rule
Segment Reporting
33-7549,
33-7620
|
Issue Date: | File Number:S7-16-98 | Rulemaking:Proposed Amendment to Rule 102(e) of the Commission's Rules of Practice |
Status:
Proposed
Rule
Proposed Amendment to Rule 102(e) of the Commission's Rules of Practice
34-40089
|
Issue Date: | File Number:S7-15-98 | Rulemaking:Exemption of the Securities of the Kingdom of Belgium Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities |
Status:
Proposed
Rule
Exemption of the Securities of the Kingdom of Belgium Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
34-40077,
34-41116
|
Issue Date: | File Number:S7-14-98 | Rulemaking:Revision of Rule 504 of Regulation D, the "Seed Capital' Exemption |
Status:
Proposed
Rule
Revision of Rule 504 of Regulation D, the "Seed Capital' Exemption
33-7541,
33-7644
|
Issue Date: | File Number:S7-13-98 | Rulemaking:Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products; Correction |
Status:
Proposed
Rule
Proposed Amendment to Rule 19b-4, Under the Securities Exchange Act of 1934, That Would Deem the Listing and Trading of New Derivative Securities Products by Self-Regulatory Organizations To Not Be Proposed Rule Changes
34-39885
|
Issue Date: | File Number:S7-12-98 | Rulemaking:Regulation of Exchanges and Alternative Trading Systems |
Status:
Proposed
Rule
Regulation of Exchanges and Alternative Trading Systems
34-39884,
34-40760
|
Issue Date: | File Number:S7-7-98 | Rulemaking:Reports to be Made by Certain Brokers and Dealers |
Status:
Proposed
Rule
Reports to be Made by Certain Brokers and Dealers
34-39858
|
Issue Date: | File Number:S7-8-98 | Rulemaking:Year 2000 Readiness Reports To Be Made by Transfer Agents |
Status:
Proposed
Rule
Year 2000 Readiness Reports To Be Made by Transfer Agents
34-39859
|
Issue Date: | File Number:S7-9-98 | Rulemaking:Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Life Insurance Policies |
Status:
Proposed
Rule
Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Life Insurance Policies
33-7514,
33-8088
|
Issue Date: | File Number:S7-8-98 | Rulemaking:Year 2000 Readiness Reports To Be Made by Transfer Agents |
Status:
Proposed
Rule
Year 2000 Readiness Reports To Be Made by Transfer Agents
34-39726
|
Issue Date: | File Number:S7-7-98 | Rulemaking:Reports To Be Made by Certain Brokers and Dealers |
Status:
Proposed
Rule
Reports To Be Made by Certain Brokers and Dealers
34-39724
|
Issue Date: | File Number:S7-5-98 | Rulemaking:Rule 701Exempt Offerings Pursuant to Compensatory Arrangements |
Status:
Proposed
Rule
Rule 701Exempt Offerings Pursuant to Compensatory Arrangements
33-7511,
33-7645
|
Issue Date: | File Number:S7-2-98 | Rulemaking:Registration of Securities on Form S-8 |
Status:
Proposed
Rule
Registration of Securities on Form S-8
33-7506
|
Issue Date: | File Number:S7-30-97, S7-31-97, S7-32-97 | Rulemaking:OTC Derivatives Dealers; Correction |
Status:
Proposed
Rule
OTC Derivatives Dealers, Net Capital Rule
34-39704,
34-39454,
33-39455
|
Issue Date: | File Number:S7-3-98 | Rulemaking:Publication or Submission of Quotations Without Specified Information |
Status:
Proposed
Rule
Publication or Submission of Quotations Without Specified Information
34-39670
|
Issue Date: | File Number:S7-33-97 | Rulemaking:Capital Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934 |
Status:
Proposed
Rule
Capital Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934
34-39457
|
Issue Date: | File Number:S7-31-97 | Rulemaking:OTC Derivatives Dealers; Correction |
Status:
Proposed
Rule
Net Capital Rule
34-39455,
34-39704,
34-39456
|
Issue Date: | File Number:S7-30-97 | Rulemaking:OTC Derivatives Dealers; Correction |
Status:
Proposed
Rule
OTC Derivatives Dealers
34-39454
|
Issue Date: | File Number:S7-28-97 | Rulemaking:Exemption for Investment Advisers Operating in Multiple States; Revisions to Rules Implementing Amendments to the Investment Advisers Act of 1940; Investment Advisers With Principal Offices and Places of Business in Colorado or Iowa |
Status:
Proposed
Rule
Exemption for Investment Advisers Operating in Multiple States; Revisions to Rules Implementing Amendments to the Investment Advisers Act of 1940
IA-1681,
IA-1733
|
Issue Date: | File Number:S7-27-97 | Rulemaking:Delivery of Disclosure Documents to Households |
Status:
Proposed
Rule
Delivery of Disclosure Documents to Households
33-7475,
33-7766
|
Issue Date: | File Number:S7-29-97 | Rulemaking:Exemption To Allow Investment Advisers To Charge Fees Based Upon a Share of Capital Gains Upon or Capital Appreciation of a Client's Account |
Status:
Proposed
Rule
Exemption To Allow Investment Advisers To Charge Fees Based Upon a Share of Capital Gains Upon or Capital Appreciation of a Client's Account
IA-1682,
IA-1731
|
Issue Date: | File Number:S7-25-97 | Rulemaking:Amendments To Rules On Shareholder Proposals |
Status:
Proposed
Rule
Amendments to Rules on Shareholder Proposals
34-39093,
34-40018
|
Issue Date: | File Number:S7-19-97 | Rulemaking:Registration Under the Securities Act of 1933 of Certain Investment Company Securities |
Status:
Proposed
Rule
Registration Under the Securities Act of 1933 of Certain Investment Company Securities
33-7430,
33-7448
|
Issue Date: | File Number:S7-18-97 | Rulemaking:Rulemaking for EDGAR System |
Status:
Proposed
Rule
Rulemaking for EDGAR System
34-38800
|
Issue Date: | File Number:S7-17-97 | Rulemaking:Covered Securities Pursuant to Section 18 of the Securities Act of 1933 |
Status:
Proposed
Rule
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
33-7422
|
Issue Date: | File Number:S7-4-97 | Rulemaking:Definitions of "Small Business' or "Small Organization' Under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933 |
Status:
Proposed
Rule
Definitions of "Small Business' or "Small Organization' Under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933
33-7404
|
Issue Date: | File Number:S7-11-97 | Rulemaking:Investment Company Names |
Status:
Proposed
Rule
Investment Company Names
IC-22530,
IC-24828
|
Issue Date: | File Number:S7-18-96 | Rulemaking:Proposed New Disclosure Option for Open-End Management Investment Companies |
Status:
Proposed
Rule
Proposed New Disclosure Option for Open-End Management Investment Companies
33-7399
|
Issue Date: | File Number:S7-10-97 | Rulemaking:Registration Form Used by Open-End Management Investment Companies |
Status:
Proposed
Rule
Registration Form Used by Open-End Management Investment Companies
33-7398,
33-7512f,
33-7512r
|
Issue Date: | File Number:S7-9-97 | Rulemaking:Delayed Pricing for Certain Registrants |
Status:
Proposed
Rule
Delayed Pricing for Certain Registrants
33-7393
|
Issue Date: | File Number:S7-8-97 | Rulemaking:Offshore Offers and Sales |
Status:
Proposed
Rule
Offshore Offers and Sales
33-7392
|
Issue Date: | File Number:S7-07-97 | Rulemaking:Revision of Rule 144, Rule 145 and Form 144 |
Status:
Proposed
Rule
Revision of Rule 144, Rule 145 and Form 144
33-7391
|
Issue Date: | File Number:S7-6-97 | Rulemaking:Definition of "Prepared By or On Behalf of the Issuer' for Purposes of Determining if an Offering Document is Subject to State Regulation |
Status:
Proposed
Rule
Definition of "Prepared by or on Behalf of the Issuer' for Purposes of Determining if an Offering Document is Subject to State Regulation.
33-7388,
33-7418
|
Issue Date: | File Number:S7-4-97 | Rulemaking:Definitions of "Small Business' or "Small Organization' Under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933 |
Status:
Proposed
Rule
Definitions of "Small Business' or "Small Organization' Under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933
33-7383
|
Issue Date: | File Number:S7-3-97 | Rulemaking:Plain English Disclosure |
Status:
Proposed
Rule
Plain English Disclosure
34-38164,
33-7497
|
Issue Date: | File Number:S7-27-96 | Rulemaking:Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 |
Status:
Proposed
Rule
Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
34-38159
|
Issue Date: | File Number:S7-31-96 | Rulemaking:Rules Implementing Amendments to the Investment Advisers Act of 1940 |
Status:
Proposed
Rule
Rules Implementing Amendments to the Investment Advisers Act of 1940
IA-1601
|
Issue Date: | File Number:S7-30-96 | Rulemaking:Private Investment Companies |
Status:
Proposed
Rule
Private Investment Companies
IC-22405
|
Issue Date: | File Number:S7-29-96 | Rulemaking:Technical Revisions to the Rules and Forms Regulating Money Market Funds |
Status:
Proposed
Rule
Technical Revisions to the Rules and Forms Regulating Money Market Funds
33-7371,
33-7479
|
Issue Date: | File Number:S7-28-96 | Rulemaking:Rulemaking for the EDGAR System |
Status:
Proposed
Rule
Rulemaking for the EDGAR System
33-7369
|
Issue Date: | File Number:S7-27-96 | Rulemaking:Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 |
Status:
Proposed
Rule
Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
34-37850
|
Issue Date: | File Number:S7-26-96 | Rulemaking:Offshore Press Conferences, Meetings with Company Representatives Conducted Offshore and Press-Related Materials Released Offshore |
Status:
Proposed
Rule
Offshore Press Conferences, Meetings With Company Representatives Conducted Offshore and Press Related Materials Released Offshore
33-7356,
33-7470
|
Issue Date: | File Number:S7-24-96 | Rulemaking:Rule Amendments Relating to Multiple Class and Series Investment Companies |
Status:
Proposed
Rule
Rule Amendments Relating to Multiple Class and Series Investment Companies
IC-22203,
IC-22835
|
Issue Date: | File Number:S7-23-96 | Rulemaking:Expansion of Short-Form Registration To Include Companies With Non-Voting Common Equity |
Status:
Proposed
Rule
Expansion of Short-Form Registration To Include Companies With Non-voting Common Equity
33-7326,
33-7419
|
Issue Date: | File Number:S7-22-96 | Rulemaking:Proposed Quote Rule Amendment |
Status:
Proposed
Rule
Proposed Quote Rule Amendment
34-37620
|
Issue Date: | File Number:S7-21-96 | Rulemaking:Lost Securityholders |
Status:
Proposed
Rule
Lost Securityholders
34-37595,
34-39176
|
Issue Date: | File Number:S7-20-96 | Rulemaking:Proposed Rule: Implementation of Section 10A of the Securities Exchange Act of 1934 |
Status:
Proposed
Rule
Proposed Rule: Implementation of Section 10A of the Securities Exchange Act of 1934
34-37594
|
Issue Date: | File Number:S7-17-96 | Rulemaking:Broker-Dealer Registration and Reporting |
Status:
Proposed
Rule
Broker-Dealer Registration and Reporting
34-37432
|
Issue Date: | File Number:S7-16-96 | Rulemaking:Amendments to Beneficial Ownership Reporting Requirements |
Status:
Proposed
Rule
Amendments to Beneficial Ownership Reporting Requirements
34-37403,
34-39538
|
Issue Date: | File Number:S7-15-96 | Rulemaking:Phase Two Recommendations of Task Force on Disclosure Simplification Effective Date: Sep. 2, 1997 |
Status:
Proposed
Rule
Phase Two Recommendations of Task Force on Disclosure Simplification
33-7301,
33-7431 Part 1
|
Issue Date: | File Number:S7-12-96 | Rulemaking:Odd-Lot Tender Offers by Issuers |
Status:
Proposed
Rule
Odd-lot Tender Offers by Issuers
33-7283,
33-7376
|
Issue Date: | File Number:S7-11-96 | Rulemaking:Trading Practices Rules Concerning Securities Offerings |
Status:
Proposed
Rule
Trading Practices Rules Concerning Securities Offerings
33-7282
|
Displaying 801 - 900 of 927
Modified: Feb. 20, 2024