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:S7-23-03 | Rulemaking:Short Sales |
Status:
Final
Rule
Short Sales
34-50103
|
Issue Date: | File Number:S7-03-04 | Rulemaking:Investment Company Governance |
Status:
Final
Rule
Investment Company Governance
IC-26520
|
Issue Date: | File Number:S7-17-04 | Rulemaking:Covered Securities Pursuant to Section 18 of the Securities Act of 1933 |
Status:
Final
Rule
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
33-8442
|
Issue Date: | File Number: | Rulemaking:Delegations of Authority to the Director of the Division of Market Regulation, the Director of the Division of Investment Management and the Director of the Office of Compliance Inspections and Examinations |
Status:
Final
Rule
Delegations of Authority to the Director of the Division of Market Regulation, the Director of the Division of Investment Management and the Director of the Office of Compliance Inspections and Examinations
34-49973,
IC-26493
|
Issue Date: | File Number:S7-04-04 | Rulemaking:Investment Adviser Codes of Ethics |
Status:
Final
Rule
Investment Adviser Codes of Ethics
IA-2256
|
Issue Date: | File Number:S7-05-04 | Rulemaking:Collection Practices Under Section 31 of the Exchange Act |
Status:
Final
Rule
Collection Practices Under Section 31 of the Exchange Act
34-49928
|
Issue Date: | File Number:S7-08-04 | Rulemaking:Disclosure Regarding Approval of Investment Advisory Contracts by Directors of Investment Companies |
Status:
Final
Rule
Disclosure Regarding Approval of Investment Advisory Contracts by Directors of Investment Companies
33-8433,
34-49909,
IC-26486
|
Issue Date: | File Number:S7-21-03 | Rulemaking:Alternative Net Capital Requirements for Broker-Dealers That Are Part of Consolidated Supervised Entities |
Status:
Final
Rule
Alternative Net Capital Requirements for Broker-Dealers That Are Part of Consolidated Supervised Entities
34-49830
|
Issue Date: | File Number:S7-22-03 | Rulemaking:Supervised Investment Bank Holding Companies |
Status:
Final
Rule
Supervised Investment Bank Holding Companies
34-49831
|
Issue Date: | File Number:S7-28-03 | Rulemaking:Disclosure of Breakpoint Discounts by Mutual Funds |
Status:
Final
Rule
Disclosure of Breakpoint Discounts by Mutual Funds
33-8427,
34-49817,
IC-26464
|
Issue Date: | File Number:S7-15-03 | Rulemaking:Foreign Bank Exemption from the Insider Lending Prohibition of Exchange Act Section 13(k) |
Status:
Final
Rule
Foreign Bank Exemption from the Insider Lending Prohibition of Exchange Act Section 13(k)
34-49616
|
Issue Date: | File Number:S7-14-04 | Rulemaking:Mandated Electronic Filing for Form ID |
Status:
Final
Rule
Mandated Electronic Filing for Form ID
33-8410
|
Issue Date: | File Number:S7-26-03 | Rulemaking:Disclosure Regarding Market Timing and Selective Disclosure of Portfolio Holdings |
Status:
Final
Rule
Disclosure Regarding Market Timing and Selective Disclosure of Portfolio Holdings
33-8408,
33-8343
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-8409
|
Issue Date: | File Number: | Rulemaking:Revision of Rule Concerning Holding Period and Disclosure Requirements for Members' and Employees' Investment Company Transactions |
Status:
Final
Rule
Revision of Rule Concerning Holding Period and Disclosure Requirements for Members' and Employees' Investment Company Transactions
34-49562
|
Issue Date: | File Number:S7-22-02 | Rulemaking:Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date |
Status:
Final
Rule
Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date
33-8400
|
Issue Date: | File Number:S7-25-03 | Rulemaking:Adoption of Amendments to the Rules of Practice and Delegations of Authority of the Commission |
Status:
Final
Rule
Adoption of Amendments to the Rules of Practice and Delegations of Authority of the Commission
34-49412
|
Issue Date: | File Number:S7-51-02 | Rulemaking:Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies |
Status:
Final
Rule
Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies
33-8393,
33-8393A,
33-8164
|
Issue Date: | File Number:S7-40-02, S7-06-03 | Rulemaking:Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports |
Status:
Final
Rule
Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports
33-8392
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to the Director of the Division of Market Regulation |
Status:
Final
Rule
Delegation of Authority to the Director of the Division of Market Regulation
34-49259
|
Issue Date: | File Number:S7-13-03 | Rulemaking:Recordkeeping Requirements for Registered Transfer Agents |
Status:
Final
Rule
Recordkeeping Requirements for Registered Transfer Agents
34-48949
|
Issue Date: | File Number:S7-03-03 | Rulemaking:Compliance Programs of Investment Companies and Investment Advisers |
Status:
Final
Rule
Compliance Programs of Investment Companies and Investment Advisers
IA-2204
|
Issue Date: | File Number:S7-18-00 | Rulemaking:Processing Requirements for Cancelled Security Certificates |
Status:
Final
Rule
Processing Requirements for Cancelled Security Certificates
34-48931,
34-43401
|
Issue Date: | File Number:S7-14-03 | Rulemaking:Disclosure Regarding Nominating Committee Functions and Communications Between Security Holders and Boards of Directors; Republication |
Status:
Final
Rule
Disclosure Regarding Nominating Committee Functions and Communications Between Security Holders and Boards of Directors; Republication
33-8340
|
Issue Date: | File Number:S7-50-02 | Rulemaking:Purchases of Certain Equity Securities by the Issuer and Others |
Status:
Final
Rule
Purchases of Certain Equity Securities by the Issuer and Others
33-8335
|
Issue Date: | File Number:S7-17-02 | Rulemaking:Amendments to Investment Company Advertising Rules |
Status:
Final
Rule
Amendments to Investment Company Advertising Rules
33-8294
|
Issue Date: | File Number:S7-28-02 | Rulemaking:Custody of Funds or Securities of Clients by Investment Advisers |
Status:
Final
Rule
Custody of Funds or Securities of Clients by Investment Advisers
IA-2176
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-8255A
|
Issue Date: | File Number: | Rulemaking:Adoption of Filing Fee Account Rule |
Status:
Final
Rule
Adoption of Filing Fee Account Rule
33-8267
|
Issue Date: | File Number:S7-48-02 | Rulemaking:Broker-Dealer Exemption From Sending Certain Financial Information to Customers |
Status:
Final
Rule
Broker-Dealer Exemption From Sending Certain Financial Information to Customers
34-48272,
34-46920
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-8255
|
Issue Date: | File Number:S7-10-00 | Rulemaking:Electronic Filing by Investment Advisers; Amendments To Form ADV |
Status:
Final
Rule
Electronic Filing by Investment Advisers; Amendments To Form ADV; Technical Amendments
34-48167
|
Issue Date: | File Number:S7-47-02 | Rulemaking:Certain Research and Development Companies |
Status:
Final
Rule
Certain Research and Development Companies
IC-26077,
IC-28535
|
Issue Date: | File Number:S7-04-03 | Rulemaking:Rules of Practice |
Status:
Final
Rule
Rules of Practice
33-8240
|
Issue Date: | File Number:S7-40-02, S7-06-03 | Rulemaking:Certification of Management Investment Company Shareholder Reports and Designation of Certified Shareholder Reports as Exchange Act Periodic Reporting Forms; Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002 |
Status:
Final
Rule
Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports
33-8238
|
Issue Date: | File Number:S7-39-02 | Rulemaking:Improper Influence on Conduct of Audits |
Status:
Final
Rule
Improper Influence on Conduct of Audits
34-47890
|
Issue Date: | File Number:S7-52-02 | Rulemaking:Mandated Electronic Filing and Web Site Posting for Forms 3, 4 and 5 |
Status:
Final
Rule
Mandated Electronic Filing and Web Site Posting for Forms 3, 4 and 5
33-8230
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-8224
|
Issue Date: | File Number:S7-25-02 | Rulemaking:Customer Identification Programs for Broker-Dealers |
Status:
Final
Rule
Customer Identification Programs for Broker-Dealers
34-47752
|
Issue Date: | File Number:S7-26-02 | Rulemaking:Customer Identification Programs for Mutual Funds |
Status:
Final
Rule
Customer Identification Programs for Mutual Funds
IC-26031,
IC-25657
|
Issue Date: | File Number:S7-02-03 | Rulemaking:Standards Relating to Listed Company Audit Committees |
Status:
Final
Rule
Standards Relating to Listed Company Audit Committees
33-8220
|
Issue Date: | File Number:S7-08-02 | Rulemaking:Acceleration of Periodic Report Filing Dates and Disclosure Concerning Web Site Access to Reports; Correction |
Status:
Final
Rule
Acceleration of Periodic Report Filing Dates and Disclosure Concerning Web Site Access to Reports; Correction
33-8128A
|
Issue Date: | File Number:S7-44-02, S7-43-02 | Rulemaking:Conditions for Use of Non-GAAP Financial Measures |
Status:
Final
Rule
Filing Guidance Related to: Conditions for Use of Non-GAAP Financial Measures; and Insider Trades During Pension Fund Blackout Periods
33-8216
|
Issue Date: | File Number:S7-40-02 | Rulemaking:Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002 |
Status:
Final
Rule
Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002; Correction
33-8177A
|
Issue Date: | File Number:S7-49-02 | Rulemaking:Strengthening the Commission's Requirements Regarding Auditor Independence |
Status:
Final
Rule
Strengthening the Commission's Requirements Regarding Auditor Independence
33-8183A
|
Issue Date: | File Number:S7-26-98 | Rulemaking:Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 |
Status:
Final
Rule
Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
34-44992A
|
Issue Date: | File Number:S7-20-02 | Rulemaking:Customer Protection-Reserves and Custody of Securities; Delegation of Authority to the Director of the Division of Market Regulation |
Status:
Final
Rule
Customer Protection-Reserves and Custody of Securities; Delegation of Authority to the Director of the Division of Market Regulation
34-47480
|
Issue Date: | File Number:S7-30-02 | Rulemaking:Regulation Analyst Certification |
Status:
Final
Rule
Regulation Analyst Certification
33-8193
|
Issue Date: | File Number:S7-41-02 | Rulemaking:Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934 |
Status:
Final
Rule
Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934
34-47364
|
Issue Date: | File Number:S7-22-01 | Rulemaking:Custody of Investment Company Assets With a Securities Depository |
Status:
Final
Rule
Custody of Investment Company Assets With a Securities Depository
IC-25934
|
Issue Date: | File Number:S7-36-02 | Rulemaking:Disclosure of Proxy Voting Policies and Proxy Voting Records by Registered Management Investment Companies |
Status:
Final
Rule
Disclosure of Proxy Voting Policies and Proxy Voting Records by Registered Management Investment Companies
33-8188
|
Issue Date: | File Number:S7-38-02 | Rulemaking:Proxy Voting by Investment Advisers |
Status:
Final
Rule
Proxy Voting by Investment Advisers
IA-2106
|
Issue Date: | File Number:S7-45-02 | Rulemaking:Implementation of Standards of Professional Conduct for Attorneys |
Status:
Final
Rule
Implementation of Standards of Professional Conduct for Attorneys
33-8185
|
Issue Date: | File Number:S7-42-02 | Rulemaking:Disclosure in Management's Discussion and Analysis About Off-Balance Sheet Arrangements and Aggregate Contractual Obligations |
Status:
Final
Rule
Disclosure in Management's Discussion and Analysis About Off-Balance Sheet Arrangements and Aggregate Contractual Obligations
33-8182
|
Issue Date: | File Number:S7-49-02 | Rulemaking:Strengthening the Commission's Requirements Regarding Auditor Independence |
Status:
Final
Rule
Strengthening the Commission's Requirements Regarding Auditor Independence
33-8183
|
Issue Date: | File Number:S7-33-02, S7-40-02 | Rulemaking:Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002 |
Status:
Final
Rule
Certification of Management Investment Company Shareholder Reports and Designation of Certified Shareholder Reports as Exchange Act Periodic Reporting Forms; Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002
34-47262
|
Issue Date: | File Number:S7-46-02 | Rulemaking:Retention of Records Relevant to Audits and Reviews |
Status:
Final
Rule
Retention of Records Relevant to Audits and Reviews
33-8180
|
Issue Date: | File Number:S7-40-02 | Rulemaking:Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002 |
Status:
Final
Rule
Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002
33-8177
|
Issue Date: | File Number:S7-43-02 | Rulemaking:Conditions for Use of Non-GAAP Financial Measures |
Status:
Final
Rule
Conditions for Use of Non-GAAP Financial Measures
33-8176
|
Issue Date: | File Number:S7-44-02 | Rulemaking:Insider Trades During Pension Fund Blackout Periods |
Status:
Final
Rule
Insider Trades During Pension Fund Blackout Periods
34-47225
|
Issue Date: | File Number:S7-13-02 | Rulemaking:Transactions of Investment Companies With Portfolio and Subadviser Affiliates |
Status:
Final
Rule
Transactions of Investment Companies With Portfolio and Subadviser Affiliates
IC-25888
|
Issue Date: | File Number:S7-29-02 | Rulemaking:Exemption for Standardized Options From Provisions of the Securities Act of 1933 and From the Registration Requirements of the Securities Exchange Act of 1934 |
Status:
Final
Rule
Exemption for Standardized Options From Provisions of the Securities Act of 1933 and From the Registration Requirements of the Securities Exchange Act of 1934
33-8171
|
Issue Date: | File Number:S7-18-02 | Rulemaking:Repeal of the Trade-Through Disclosure Rules for Options |
Status:
Final
Rule
Repeal of the Trade-Through Disclosure Rules for Options
34-47013
|
Issue Date: | File Number:S7-10-02 | Rulemaking:Exemption for Certain Investment Advisers Operating Through the Internet |
Status:
Final
Rule
Exemption for Certain Investment Advisers Operating Through the Internet
IA-2091
|
Issue Date: | File Number:S7-07-02 | Rulemaking:Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Annuity Contracts |
Status:
Final
Rule
Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Annuity Contracts
33-8147
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to the Director of the Division of Market Regulation |
Status:
Final
Rule
Delegation of Authority to the Director of the Division of Market Regulation
34-46667
|
Issue Date: | File Number:S7-17-01 | Rulemaking:Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products |
Status:
Final
Rule
Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products
34-46473
|
Issue Date: | File Number:S7-19-02 | Rulemaking:Confirmation Requirements for Transactions of Security Futures Products Effected in Futures Accounts |
Status:
Final
Rule
Confirmation Requirements for Transactions of Security Futures Products Effected in Futures Accounts
34-46471
|
Issue Date: | File Number:S7-08-02 | Rulemaking:Acceleration of Periodic Report Filing Dates and Disclosure Concerning Web Site Access to Reports |
Status:
Final
Rule
Acceleration of Periodic Report Filing Dates and Disclosure Concerning Web Site Access to Reports
33-8128
|
Issue Date: | File Number:S7-21-02 | Rulemaking:Certification of Disclosure in Companies' Quarterly and Annual Reports |
Status:
Final
Rule
Certification of Disclosure in Companies' Quarterly and Annual Reports
33-8124
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to the General Counsel of the Commission |
Status:
Final
Rule
Delegation of Authority to the General Counsel of the Commission
34-46418
|
Issue Date: | File Number:S7-31-02 | Rulemaking:Ownership Reports and Trading by Officers, Directors and Principal Security Holders |
Status:
Final
Rule
Ownership Reports and Trading by Officers, Directors and Principal Security Holders
34-46421
|
Issue Date: | File Number:S7-16-01 | Rulemaking:Customer Margin Rules Relating to Security Futures |
Status:
Final
Rule
Customer Margin Rules Relating to Security Futures
34-46292
|
Issue Date: | File Number:S7-21-01 | Rulemaking:Investment Company Mergers |
Status:
Final
Rule
Investment Company Mergers
IC-25666
|
Issue Date: | File Number:S7-14-02 | Rulemaking:Assessments on Security Futures Transactions and Fees on Sales of Securities Resulting from Physical Settlement of Security Futures Pursuant to Section 31 of the Exchange Act |
Status:
Final
Rule
Assessments on Security Futures Transactions and Fees on Sales of Securities Resulting from Physical Settlement of Security Futures Pursuant to Section 31 of the Exchange Act
34-46169
|
Issue Date: | File Number: | Rulemaking:Technical Amendments to Rules and Forms Due to the National Securities Markets Improvement Act of 1996 and the Gramm-Leach-Bliley Act |
Status:
Final
Rule
Technical Amendments to Rules and Forms Due to the National Securities Markets Improvement Act of 1996 and the Gramm-Leach-Bliley Act
34-46106
|
Issue Date: | File Number:S7-15-01 | Rulemaking:Cash Settlement and Regulatory Halt Requirements for Security Futures Products |
Status:
Final
Rule
Cash Settlement and Regulatory Halt Requirements for Security Futures Products
34-45956
|
Issue Date: | File Number:S7-18-01 | Rulemaking:Mandated EDGAR Filing For Foreign Issuers |
Status:
Final
Rule
Mandated EDGAR Filing For Foreign Issuers
33-8099
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to the Secretary of the Commission |
Status:
Final
Rule
Delegation of Authority to the Secretary of the Commission
34-45848,
34-36824
|
Issue Date: | File Number:S7-20-00 | Rulemaking:Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate |
Status:
Final
Rule
Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate
IC-25560
|
Issue Date: | File Number:S7-11-02 | Rulemaking:Amendment to Definition of "Equity Security" |
Status:
Final
Rule
Amendment to Definition of "Equity Security"
33-8091
|
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:
Final
Rule
Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Life Insurance Policies
33-8088,
IC-25522,
33-7514
|
Displaying 1001 - 1100 of 1536
Modified: Feb. 20, 2024