SEC.gov | Rulemaking Activity

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
Feb. 21, 2023		Extending Form 144 EDGAR Filing Hours Corporation Finance	Final Rule Extending Form 144 EDGAR Filing Hours 33-11159, 34-96959, 39-2548
Feb. 15, 2023	S7-04-23	Safeguarding Advisory Client Assets Investment Management	Proposed Rule Safeguarding Advisory Client Assets IA-6240 View Related Activity
Feb. 15, 2023	S7-05-22	Shortening the Securities Transaction Settlement Cycle Investment Management, Trading and Markets	Final Rule Shortening the Securities Transaction Settlement Cycle 34-96930, IA-6239 View Related Activity
Feb. 14, 2023	S7-03-23	The Commission's Privacy Act Regulations FOIA Services	Proposed Rule The Commission's Privacy Act Regulations 34-96906, PA-59 View Related Activity
Jan. 30, 2023	S7-02-23	Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission Ethics Counsel	Proposed Rule Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission 34-96768 View Related Activity
Jan. 25, 2023	S7-01-23	Prohibition Against Conflicts of Interest in Certain Securitizations Corporation Finance	Proposed Rule Prohibition Against Conflicts of Interest in Certain Securitizations 33-11151 View Related Activity
Dec. 19, 2022		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-11140, 34-96525, 39-2547, IC-34778
Dec. 15, 2022		Technical Amendments to Commission Rules	Final Rule Technical Amendments to Commission Rules 33-11139, 34-96508, IA-6203, IC-34774
Dec. 14, 2022	S7-32-22	Regulation Best Execution Trading and Markets	Proposed Rule Regulation Best Execution 34-96496 View Related Activity
Dec. 14, 2022	S7-31-22	Order Competition Rule Trading and Markets	Proposed Rule Order Competition Rule 34-96495 View Related Activity
Dec. 14, 2022	S7-30-22	Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders Trading and Markets	Proposed Rule Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders 34-96494 View Related Activity
Dec. 14, 2022	S7-29-22	Disclosure of Order Execution Information Trading and Markets	Proposed Rule Disclosure of Order Execution Information 34-96493 View Related Activity
Dec. 14, 2022	S7-20-21	Insider Trading Arrangements and Related Disclosures Corporation Finance	Final Rule Insider Trading Arrangements and Related Disclosures 33-11138, 34-96492, 33-11013 View Related Activity
Dec. 7, 2022	S7-21-21	Share Repurchase Disclosure Modernization Corporation Finance, Investment Management	Proposed Rule Reopening of Comment Period for Share Repurchase Disclosure Modernization 34-96458, IC-34768 View Related Activity
Nov. 2, 2022	S7-26-22	Form N-PORT and Form N-CEN Reporting; Guidance on Open-End Fund Liquidity Risk Investment Management	Proposed Rule Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting 33-11130 View Related Activity
Nov. 2, 2022	S7-11-21	Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers Investment Management	Final Rule Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers 33-11131, 34-96206, IC-34745 View Related Activity
Oct. 26, 2022	S7-25-22	Outsourcing by Investment Advisers Investment Management	Proposed Rule Outsourcing by Investment Advisers IA-6176 View Related Activity
Oct. 26, 2022	S7-12-15	Listing Standards for Recovery of Erroneously Awarded Compensation Corporation Finance	Final Rule Listing Standards for Recovery of Erroneously Awarded Compensation 33-11126, 34-96159, IC-34732 View Related Activity
Oct. 26, 2022	S7-09-20	Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements Investment Management	Final Rule Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements 33-11125, 34-96158, IC-34731 View Related Activity
Oct. 12, 2022	S7-19-21	Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants Trading and Markets	Final Rule Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants 34-96034 View Related Activity
Oct. 7, 2022	S7-18-22	Request for Comment on Certain Information Providers Acting as Investment Advisers Trading and Markets	Proposed Rule Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments 33-11117, 34-96005, IA-6162, IC-34724 View Related Activity
Oct. 7, 2022	S7-17-22	Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment Practices Investment Management	Proposed Rule Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments 33-11117, 34-96005, IA-6162, IC-34724 View Related Activity
Oct. 7, 2022	S7-16-22	Investment Company Names Investment Management	Proposed Rule Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments 33-11117, 34-96005, IA-6162, IC-34724 View Related Activity
Oct. 7, 2022	S7-13-22	Special Purpose Acquisition Companies, Shell Companies, and Projections Corporation Finance	Proposed Rule Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments 33-11117, 34-96005, IA-6162, IC-34724 View Related Activity
Oct. 7, 2022	S7-10-22	The Enhancement and Standardization of Climate-Related Disclosures for Investors Corporation Finance	Proposed Rule Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments 33-11117, 34-96005, IA-6162, IC-34724 View Related Activity
Oct. 7, 2022	S7-09-22	Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure Corporation Finance	Proposed Rule Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments 33-11117, 34-96005, IA-6162, IC-34724 View Related Activity
Oct. 7, 2022	S7-08-22	Short Position and Short Activity Reporting by Institutional Investment Managers Investment Management, Trading and Markets	Proposed Rule Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments 33-11117, 34-96005, IA-6162, IC-34724 View Related Activity
Oct. 7, 2022	S7-03-22	Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews Investment Management	Proposed Rule Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments 33-11117, 34-96005, IA-6162, IC-34724 View Related Activity
Oct. 7, 2022	S7-22-21	Money Market Fund Reforms Investment Management	Proposed Rule Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments 33-11117, 34-96005, IA-6162, IC-34724 View Related Activity
Oct. 7, 2022	S7-21-21	Share Repurchase Disclosure Modernization Corporation Finance, Investment Management	Proposed Rule Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments 33-11117, 34-96005, IA-6162, IC-34724 View Related Activity
Oct. 7, 2022	S7-18-21	Reporting of Securities Loans Trading and Markets	Proposed Rule Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments 33-11117, 34-96005, IA-6162, IC-34724 View Related Activity
Oct. 7, 2022	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	Proposed Rule Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments 33-11117, 34-96005, IA-6162, IC-34724 View Related Activity
Sept. 19, 2022		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-11101, 34-95817, 39-2546, IC-34703
Sept. 14, 2022	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	Proposed 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 34-95763 View Related Activity
Sept. 9, 2022		Inflation Adjustments Under Titles I and III of the JOBS Act	Final Rule Inflation Adjustments Under Titles I and III of the JOBS Act 33-11098, 34-95715
Aug. 26, 2022	S7-07-22	Whistleblower Program Rules General Counsel	Final Rule Whistleblower Program Rules 34-95620 View Related Activity
Aug. 25, 2022	S7-07-15	Pay Versus Performance Corporation Finance	Final Rule Pay Versus Performance 34-95607 View Related Activity
Aug. 10, 2022	S7-22-22	Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers Investment Management	Proposed Rule Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers IA-6083 View Related Activity
Aug. 8, 2022	S7-21-22	Clearing Agency Governance and Conflicts of Interest Trading and Markets	Proposed Rule Clearing Agency Governance and Conflicts of Interest 34-95431 View Related Activity
July 29, 2022	S7-05-15	Exemption for Certain Exchange Members Trading and Markets	Proposed Rule Exemption for Certain Exchange Members 34-95388 View Related Activity
July 13, 2022	S7-20-22	Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8 Corporation Finance	Proposed Rule Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8 34-95267, IC-34647 View Related Activity

Last Reviewed or Updated: Sept. 13, 2024

Rules & Regulations

Enforcement & Litigation

Compliance

Rulemaking Activity

More in this Section

Rulemaking Activity