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.

Issue Date File Number Rulemaking Status
S7-15-23 EDGAR Filer Access and Account Management
EDGAR Business Office
Final Rule
EDGAR Filer Access and Account Management
View Related Activity
S7-30-22 Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders
Trading and Markets
Final Rule
Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders
View Related Activity
Adoption of Updated EDGAR Filer Manual
Final Rule
Adoption of Updated EDGAR Filer Manual
S7-26-22 Form N-PORT and Form N-CEN Reporting; Guidance on Open-End Fund Liquidity Risk
Investment Management
Final Rule
Form N-PORT and Form N-CEN Reporting; Guidance on Open-End Fund Liquidity Risk Management Programs
View Related Activity
S7-2024-01 Qualifying Venture Capital Funds Inflation Adjustment
Investment Management
Final Rule
Qualifying Venture Capital Funds Inflation Adjustment
View Related Activity
S7-2024-05 Financial Data Transparency Act Joint Data Standards
Corporation Finance
Proposed Rule
Financial Data Transparency Act Joint Data Standards
S7-16-23 Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities
Investment Management
Final Rule
Registration for Index-Linked Annuities and Registered Market Value Adjustment Annuities; Amendments to Form N-4 for Index-Linked Annuities, Registered Market Value Adjustment Annuities, and Variable Annuities; Other Technical Amendments
View Related Activity
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
S7-05-23 Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information
Investment Management, Trading and Markets
Final Rule
Final rule; correction
View Related Activity
S7-05-23 Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information
Investment Management, Trading and Markets
Final Rule
Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information
View Related Activity
S7-2024-02 Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers
Investment Management
Proposed Rule
Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers
S7-13-23 Exemption for Certain Investment Advisers Operating Through the Internet
Investment Management
Final Rule
Exemption for Certain Investment Advisers Operating Through the Internet
View Related Activity
S7-21-21 Share Repurchase Disclosure Modernization
Corporation Finance, Investment Management
Final Rule
Final Rule, Technical Amendment
View Related Activity
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
S7-29-22 Disclosure of Order Execution Information
Trading and Markets
Final Rule
Disclosure of Order Execution Information
View Related Activity
S7-10-22 The Enhancement and Standardization of Climate-Related Disclosures for Investors
Corporation Finance
Final Rule
The Enhancement and Standardization of Climate-Related Disclosures for Investors
View Related Activity
S7-02-23 Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
Ethics Counsel
Final Rule
Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
View Related Activity
S7-2024-01 Qualifying Venture Capital Funds Inflation Adjustment
Investment Management
Proposed Rule
Qualifying Venture Capital Funds Inflation Adjustment
View Related Activity
S7-22-22 Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
Investment Management
Final Rule
Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
View Related Activity
S7-12-22 Further Definition of "As a Part of a Regular Business" in the Definition of Dealer and Government Securities Dealer
Trading and Markets
Final Rule
Further Definition of “As a Part of a Regular Business”
View Related Activity
S7-13-22 Special Purpose Acquisition Companies, Shell Companies, and Projections
Corporation Finance
Final Rule
Special Purpose Acquisition Companies, Shell Companies, and Projections
View Related Activity
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
S7-23-22 Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities
Trading and Markets
Final Rule
Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities
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S7-01-23 Prohibition Against Conflicts of Interest in Certain Securitizations
Corporation Finance
Final Rule
Prohibition Against Conflicts of Interest in Certain Securitizations
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S7-21-22 Clearing Agency Governance and Conflicts of Interest
Trading and Markets
Final Rule
Clearing Agency Governance and Conflicts of Interest
View Related Activity
S7-14-22 Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities
Trading and Markets
Final Rule
Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities
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S7-18-23 Volume-Based Exchange Transaction Pricing for NMS Stocks
Trading and Markets
Proposed Rule
Volume-Based Exchange Transaction Pricing for NMS Stocks
S7-08-22 Short Position and Short Activity Reporting by Institutional Investment Managers
Investment Management, Trading and Markets
Final Rule
Short Position and Short Activity Reporting by Institutional Investment Managers
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S7-18-21 Reporting of Securities Loans
Trading and Markets
Final Rule
Reporting of Securities Loans
View Related Activity
S7-06-22 Modernization of Beneficial Ownership Reporting
Corporation Finance
Final Rule
Modernization of Beneficial Ownership Reporting
View Related Activity
S7-16-23 Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities
Investment Management
Proposed Rule
Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities
View Related Activity
S7-03-23 The Commission's Privacy Act Regulations
FOIA Services
Final Rule
The Commission’s Privacy Act Regulations
View Related Activity
S7-16-22 Investment Company Names
Investment Management
Final Rule
Investment Company Names
View Related Activity
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
S7-15-23 EDGAR Filer Access and Account Management
EDGAR Business Office
Proposed Rule
EDGAR Filer Access and Account Management
View Related Activity
S7-04-23 Safeguarding Advisory Client Assets
Investment Management
Proposed Rule
Safeguarding Advisory Client Assets; Reopening of Comment Period
View Related Activity
S7-03-22 Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
Investment Management
Final Rule
Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
View Related Activity
S7-05-15 Exemption for Certain Exchange Members
Trading and Markets
Final Rule
Exemption for Certain Exchange Members
View Related Activity
S7-13-23 Exemption for Certain Investment Advisers Operating Through the Internet
Investment Management
Proposed Rule
Exemption for Certain Investment Advisers Operating Through the Internet
View Related Activity
S7-12-23 Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers
Trading and Markets, Investment Management
Proposed Rule
Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers
S7-09-22 Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure
Corporation Finance
Final Rule
Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure
View Related Activity
S7-11-23 Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule
Trading and Markets
Proposed Rule
Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule
S7-22-21 Money Market Fund Reforms
Investment Management
Final Rule
Money Market Fund Reforms; Form PF Reporting Requirements for Large Liquidity Fund Advisers; Technical Amendments to Form N-CSR and Form N-1A
View Related Activity
S7-32-10 Reopening of Comment Period for Position Reporting of Large Security-Based Swap
Trading and Markets
Proposed Rule
Reopening of Comment Period for Position Reporting of Large Security-Based Swap Positions
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
S7-11-22 Removal of References to Credit Ratings From Regulation M
Trading and Markets
Final Rule
Removal of References to Credit Ratings from Regulation M
View Related Activity
S7-32-10 Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers
Trading and Markets
Final Rule
Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers
View Related Activity
Technical Amendments to Commission Rules and Forms
Final Rule
Technical Amendments to Commission Rules and Forms
S7-10-23 Covered Clearing Agency Resilience and Recovery and Wind-Down Plans
Trading and Markets
Proposed Rule
Covered Clearing Agency Resilience and Recovery and Wind-Down Plans
Technical Amendments to Form BD and Form BDW
Final Rule
Technical Amendments to Form BD and Form BDW
S7-01-22 Conformed: Form PF; Event Reporting for Large Hedge Fund Advisers and Private Equity Fund Advisers; Requirements for Large Private Equity Fund Adviser Reporting
Investment Management
Final Rule
Amendments to Form PF to Require Event Reporting for Large Hedge Fund Advisers and Private Equity Fund Advisers and to Amend Reporting Requirements for Large Private Equity Fund Advisers
View Related Activity
S7-21-21 Share Repurchase Disclosure Modernization
Corporation Finance, Investment Management
Final Rule
Share Repurchase Disclosure Modernization
View Related Activity
S7-06-22 Modernization of Beneficial Ownership Reporting
Corporation Finance
Proposed Rule
Reopening of Comment Period for Modernization of Beneficial Ownership Reporting
View Related Activity
S7-02-22 Supplemental Information and Reopening of Comment Period for Amendments to Exchange Act Rule 3b-16 Regarding the Definition of “Exchange”
Trading and Markets
Proposed Rule
Supplemental Information and Reopening of Comment Period for Amendments Regarding the Definition of “Exchange”
View Related Activity
S7-08-23 Electronic Submission of Certain Material Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report Other Rel. Nos.: 34-97182; IC-34864
Trading and Markets
Proposed Rule
Electronic Submission of Certain Material Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report Other Rel. Nos.: 34-97182; IC-34864
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual (Conformed to Federal Register version)

Last Reviewed or Updated: Sept. 13, 2024