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: | Rulemaking:Management's Discussion and Analysis of Financial Condition and Results of Operations; Certain Investment Company Disclosures |
Status:
Interpretive
Release
Management's Discussion and Analysis of Financial Condition and Results of Operations; Certain Investment Company Disclosures
33-6835,
34-26831,
IC-16961,
FR-36
|
Issue Date: | File Number: | Rulemaking:Applicability of the Investment Advisers Act to Financial Planners, Pension Consultants, and Other Persons Who Provide Investment Advisory Services as a Component of Other Financial Services |
Status:
Interpretive
Release
Applicability of the Investment Advisers Act to Financial Planners, Pension Consultants, and Other Persons Who Provide Investment Advisory Services as a Component of Other Financial Services
IA-1092
|
Issue Date: | File Number: | Rulemaking:Applicability of the Investment Advisers Act to Financial Planners, Pension Consultants, and Other Persons Who Provide Investment Advisory Services as a Component of Other Financial Services |
Status:
Interpretive
Release
Applicability of the Investment Advisers Act to Financial Planners, Pension Consultants, and Other Persons Who Provide Investment Advisory Services as a Component of Other Financial Services
IA-770
|
Issue Date: | File Number: | Rulemaking:Regulation of Transfer Agents |
Status:
Interpretive
Release
Regulation of Transfer Agents.
34-17111
|
Issue Date: | File Number: | Rulemaking:Division of Investment Management's Interpretive Positions Relating to Rule 13f-1 and Related Form 13F |
Status:
Interpretive
Release
Division of Investment Management's Interpretive Positions Relating to Rule 13f-1 and Related Form 13F
34-15292
|
Issue Date: | File Number: | Rulemaking:Guidelines for Control Locations for Foreign Securities Pursuant to Subparagraphs (c)(4) and (c)(7) of Rule 15c3-3 Under the Securities Exchange Act of 1934 |
Status:
Interpretive
Release
Guidelines for Control Locations for Foreign Securities Pursuant to Subparagraphs (c)(4) and (c)(7) of Rule 15c3-3 Under the Securities Exchange Act of 1934
34-10429
|
Issue Date: | File Number: | Rulemaking:Guidelines As to the Applicability of Federal Securities Laws to Offers and Sales of Condominiums or Units in a Real Estate Development |
Status:
Interpretive
Release
Guidelines As to the Applicability of Federal Securities Laws to Offers and Sales of Condominiums or Units in a Real Estate Development
33-5347
|
Issue Date: | File Number: | Rulemaking:Multi-level Distributorships and Pyramid Sales Plans |
Status:
Interpretive
Release
Multi-level Distributorships and Pyramid Sales Plans
33-5211
|
Issue Date: | File Number: | Rulemaking:Statement of the Commission as to the applicability of theFederal securities laws to real estate investment trusts |
Status:
Interpretive
Release
Statement of the Commission as to the applicability of theFederal securities laws to real estate investment trusts
33-4298,
34-6419,
IC-3140
|
Displaying 101 - 112 of 112
Modified: Feb. 20, 2024