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.

Last Reviewed or Updated: Sept. 13, 2024

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Rulemaking Activity

Issue Date	File Number	Rulemaking	Status
July 23, 2014	S7-07-11	Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule Investment Management	Proposed Rule Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule IC-31184 View Related Activity
June 20, 2014	S7-07-14	Freedom of Information Act Regulations: Fee Schedule, Addition of Appeals Time Frame, and Miscellaneous Administrative Changes FOIA Services	Proposed Rule Freedom of Information Act Regulations: Fee Schedule, Addition of Appeal Time Frame, and Miscellaneous Administrative Changes 34-72440 View Related Activity
April 17, 2014	S7-05-14	Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers Trading and Markets	Proposed Rule Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Capital Rule for Certain Security-Based Swap Dealers 34-71958 View Related Activity
April 3, 2014	S7-12-10	Investment Company Advertising: Target Date Retirement Fund Names and Marketing Investment Management	Proposed Rule Investment Company Advertising: Target Date Retirement Fund Names and Marketing 33-9570, 34-71861, IC-31004 View Related Activity
March 28, 2014	S7-08-10	Asset-Backed Securities Disclosure and Registration Corporation Finance	Proposed Rule Extension of Comment Period for Asset-Backed Securities Release 33-9568, 34-71830 View Related Activity
March 12, 2014	S7-03-14	Standards for Covered Clearing Agencies Trading and Markets	Proposed Rule Standards for Covered Clearing Agencies 34-71699 View Related Activity
Feb. 25, 2014	S7-08-10	Asset-Backed Securities Disclosure and Registration Corporation Finance	Proposed Rule Re-Opening of Comment Period for Asset-Backed Securities Release 33-9552, 34-71611 View Related Activity
Dec. 18, 2013	S7-11-13	Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A) Corporation Finance	Proposed Rule Proposed Rule Amendments for Small and Additional Issues Exemptions Under Section 3(b) of the Securities Act 33-9497, 34-71120, 39-2493 View Related Activity
Oct. 23, 2013	S7-09-13	Crowdfunding Corporation Finance, Trading and Markets	Proposed Rule Crowdfunding 33-9470, 34-70741 View Related Activity
Sept. 27, 2013	S7-06-13	Amendments to Regulation D, Form D and Rule 156 Corporation Finance	Proposed Rule Amendments to Regulation D, Form D and Rule 156; Re-Opening of Comment Period 33-9458, 34-70538, IC-30737 View Related Activity
Sept. 18, 2013	S7-07-13	Pay Ratio Disclosure Corporation Finance	Proposed Rule Pay Ratio Disclosure 33-9452, 34-70443 View Related Activity
Aug. 28, 2013	S7-14-11	Credit Risk Retention Corporation Finance	Proposed Rule Credit Risk Retention 34-70277 View Related Activity
July 10, 2013	S7-06-13	Amendments to Regulation D, Form D and Rule 156 Corporation Finance	Proposed Rule Amendments to Regulation D, Form D and Rule 156 33-9416, 34-69960, IC-30595 View Related Activity
June 5, 2013	S7-03-13	Money Market Fund Reform; Amendments to Form PF Investment Management	Proposed Rule Money Market Fund Reform; Amendments to Form PF 33-9408, IA-3616, IC-30551 View Related Activity
May 20, 2013	S7-01-13	Regulation Systems Compliance and Integrity Trading and Markets	Proposed Rule Regulation Systems Compliance and Integrity 34-69606 View Related Activity
May 1, 2013	S7-02-13, S7-34-10, S7-40-11	Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities; Republication Trading and Markets	Proposed Rule Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and Forms Relating to the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants 34-69490
May 1, 2013	S7-27-10, S7-32-10, S7-34-10, S7-35-10, S7-43-10, S7-03-11, S7-06-11, S7-08-11, S7-25-11, S7-40-11, S7-05-12, S7-08-12	Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information Trading and Markets	Proposed Rule Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act 34-69491
March 8, 2013	S7-01-13	Regulation Systems Compliance and Integrity Trading and Markets	Proposed Rule Regulation Systems Compliance and Integrity 34-69077 View Related Activity
Jan. 15, 2013	S7-08-12	Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers Trading and Markets	Proposed Rule Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers 34-68660 View Related Activity
Oct. 18, 2012	S7-08-12	Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers Trading and Markets	Proposed Rule Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers 34-68071 View Related Activity
Oct. 9, 2012	S7-23-07	Principal Trades with Certain Advisory Clients	Proposed Rule Temporary Rule Regarding Principal Trades With Certain Advisory Clients IA-3483 View Related Activity
Aug. 29, 2012	S7-07-12	Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings Corporation Finance	Proposed Rule Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings 33-9354 View Related Activity
May 3, 2012	S7-08-07	Financial Responsibility Rules for Broker-Dealers	Proposed Rule Amendments to Financial Responsibility Rules for Broker-Dealers 34-66910 View Related Activity
April 3, 2012	S7-12-10	Investment Company Advertising: Target Date Retirement Fund Names and Marketing Investment Management	Proposed Rule Investment Company Advertising: Target Date Retirement Fund Names and Marketing 33-9309, 33-9570 View Related Activity
Feb. 27, 2012	S7-02-12	Identity Theft Red Flags Rules Investment Management, Trading and Markets	Proposed Rule Identity Theft Red Flags Rules IC-29969 View Related Activity
Dec. 23, 2011	S7-41-11	Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds Investment Management, Trading and Markets	Proposed Rule Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds 34-66057 View Related Activity
Dec. 23, 2011	S7-38-11	Prohibition Against Conflicts of Interest in Certain Securitizations Trading and Markets	Proposed Rule Prohibition Against Conflicts of Interest in Certain Securitizations 34-66058 View Related Activity
Dec. 13, 2011	S7-38-11	Prohibition Against Conflicts of Interest in Certain Securitizations Trading and Markets	Proposed Rule Prohibition Against Conflicts of Interest in Certain Securitizations 34-65942 View Related Activity
Oct. 12, 2011	S7-41-11	Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds Investment Management, Trading and Markets	Proposed Rule Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds 34-65545 View Related Activity
Oct. 12, 2011	S7-40-11	Pay Ratio Disclosure Corporation Finance	Proposed Rule Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants 34-65543 View Related Activity
Sept. 19, 2011	S7-38-11	Prohibition Against Conflicts of Interest in Certain Securitizations Trading and Markets	Proposed Rule Prohibition Against Conflicts of Interest in Certain Securitizations 34-65355 View Related Activity
Aug. 8, 2011	S7-31-11	Covered Securities of Bats Exchange, Inc. Trading and Markets	Proposed Rule Covered Securities Pursuant to Section 18 of the Securities Act of 1933 33-9251 View Related Activity
July 26, 2011	S7-08-10	Asset-Backed Securities Disclosure and Registration Corporation Finance	Proposed Rule Re-Proposal of Shelf Eligibility Conditions for Asset-Backed Securities 33-9244, 34-64968 View Related Activity
June 29, 2011	S7-25-11	Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants Trading and Markets	Proposed Rule Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants 34-64766 View Related Activity
June 15, 2011	S7-23-11	Broker-Dealer Reports Trading and Markets	Proposed Rule Broker-Dealer Reports 34-64676 View Related Activity
June 9, 2011	S7-22-11	Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies Corporation Finance	Proposed Rule Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies 33-9222 View Related Activity
June 6, 2011	S7-14-11	Credit Risk Retention Corporation Finance	Proposed Rule Credit Risk Retention 34-64603 View Related Activity
June 1, 2011	S7-16-11	Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping Trading and Markets	Proposed Rule Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping 33-9204A, 34-64372A View Related Activity
May 25, 2011	S7-21-11	Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings Corporation Finance	Proposed Rule Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings 33-9211 View Related Activity
May 18, 2011	S7-19-11	Privacy Act of 1974: Implementation and Amendment of Exemptions Information Technology	Proposed Rule Privacy Act of 1974: Implementation and Amendment of Exemptions PA-45 View Related Activity

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