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
April 22, 2016		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-10071, 34-77693, 39-2509, IC-32091
April 14, 2016	S7-25-11	Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants Trading and Markets	Final Rule Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants 34-77617 View Related Activity
Feb. 10, 2016	S7-06-15	Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent; Security-Based Swap Dealer De Minimis Exception Trading and Markets	Final Rule Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent; Security-Based Swap Dealer De Minimi 34-77104 View Related Activity
Dec. 22, 2015	S7-01-13	Regulation Systems Compliance and Integrity Trading and Markets	Final Rule Regulation Systems Compliance and Integrity; Correction 34-73639A View Related Activity
Dec. 11, 2015		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-9987, 34-76619, 39-2508, IC-31932
Oct. 30, 2015	S7-09-13	Crowdfunding Corporation Finance, Trading and Markets	Final Rule Crowdfunding 33-9974, 34-76324 View Related Activity
Sept. 16, 2015	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	Final Rule Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule IC-31828 View Related Activity
Sept. 15, 2015		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-9911, 34-75918, 39-2506, IC-31823
Aug. 5, 2015	S7-40-11	Registration Process for Security-Based Swap Dealers and Major Security-Based Swap Participants Trading and Markets	Final Rule Registration Process for Security-Based Swap Dealers and Major Security-Based Swap Participants 34-75611 View Related Activity
Aug. 5, 2015	S7-07-13	Pay Ratio Disclosure Corporation Finance	Final Rule Pay Ratio Disclosure 33-9877, 34-75610, 33-9452 View Related Activity
Aug. 3, 2015		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-9874, 34-75586, 39-2505, IC-31735
July 8, 2015	S7-07-14	Freedom of Information Act Regulations: Fee Schedule, Addition of Appeals Time Frame, and Miscellaneous Administrative Changes FOIA Services	Final Rule Freedom of Information Act Regulations: Fee Schedule, Addition of Appeals Time Frame, and Miscellaneous Administrative Changes 34-75388 View Related Activity
June 18, 2015		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-9849, 34-75242, 39-2504, IC-31680
May 18, 2015		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-9773, 34-74982, 39-2503, IC-31604
April 13, 2015		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-9746, 34-74714, 39-2502, IC-31551
March 25, 2015	S7-11-13	Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A) Corporation Finance	Final Rule Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A) 33-9741 View Related Activity
Feb. 11, 2015	S7-35-10	Security-Based Swap Data Repository Registration, Duties, and Core Principles Trading and Markets	Final Rule Security-Based Swap Data Repository Registration, Duties, and Core Principles 34-74246 View Related Activity
Feb. 11, 2015	S7-34-10	Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information Trading and Markets	Final Rule Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information 34-74244 View Related Activity
Feb. 3, 2015	S7-08-10	Asset-Backed Securities Disclosure and Registration Corporation Finance	Final Rule Asset-Backed Securities Disclosure and Registration 33-9720, 34-74194 View Related Activity
Dec. 17, 2014		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-9692, 34-73868, 39-2499, IC-31383
Dec. 17, 2014	S7-23-07	Principal Trades with Certain Advisory Clients	Final Rule Temporary Rule Regarding Principal Trades With Certain Advisory Clients IA-3984 View Related Activity
Nov. 19, 2014	S7-01-13	Regulation Systems Compliance and Integrity Trading and Markets	Final Rule Regulation Systems Compliance and Integrity 34-73639, 34-69606 View Related Activity
Oct. 22, 2014	S7-14-11	Credit Risk Retention Corporation Finance	Final Rule Credit Risk Retention 34-73407 View Related Activity
Oct. 20, 2014		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-9668, 34-73390, 39-2498, IC-312941
Sept. 26, 2014		Delegation of Authority to the Chief Financial Officer	Final Rule Delegation of Authority to the Chief Financial Officer 34-73229
Sept. 4, 2014	S7-08-10	Asset-Backed Securities Disclosure and Registration Corporation Finance	Final Rule Asset-Backed Securities Disclosure and Registration 33-9638, 34-72982 View Related Activity
Aug. 27, 2014	S7-18-11	Nationally Recognized Statistical Rating Organizations Trading and Markets	Final Rule Nationally Recognized Statistical Rating Organizations 34-72936 View Related Activity
July 23, 2014	S7-03-13	Money Market Fund Reform; Amendments to Form PF Investment Management	Final Rule Money Market Fund Reform; Amendments to Form PF 33-9616 View Related Activity
June 25, 2014	S7-02-13	Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities; Republication Trading and Markets	Final Rule Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities; Republication 34-72472 View Related Activity
June 20, 2014		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-9600, 34-72394, 39-2497, IC-31081
March 4, 2014		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-9554, 34-71643, 39-2496, IC-30972
Jan. 13, 2014	S7-45-10	Registration of Municipal Advisors; Temporary Stay of Final Rule Municipal Securities	Final Rule Registration of Municipal Advisors; Temporary Stay of Final Rule 34-71288 View Related Activity
Jan. 6, 2014		Responsibilities of the General Counsel	Final Rule Responsibilities of the General Counsel 34-71238
Dec. 27, 2013	S7-7-11	Removal of Certain References to Credit Ratings Under the Investment Company Act	Final Rule Removal of Certain References to Credit Ratings Under the Investment Company Act 33-9506 View Related Activity
Dec. 27, 2013	S7-15-11	Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 Trading and Markets	Final Rule Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 34-71194 View Related Activity
Dec. 24, 2013		Securities Exempted; Distribution of Shares by Registered Open-End Management Investment Company; Applications Regarding Joint Enterprises or Arrangements and Certain Profit-Sharing Plans	Final Rule Securities Exempted; Distribution of Shares by Registered Open-End Management Investment Company; Applications Regarding Joint Enterprises or Arrangements and Certain Profit-Sharing Plans 33-9503, IC-30845
Dec. 10, 2013	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	Final Rule Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds BHCA-1 View Related Activity
Sept. 25, 2013		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-9457, 34-70497, 39-2492, IC-30722
Sept. 20, 2013	S7-45-10	Registration of Municipal Advisors (Corrected to conform to Federal Register version) Municipal Securities	Final Rule Registration of Municipal Advisors (Corrected to conform to Federal Register version) 34-70642 View Related Activity
July 30, 2013	S7-08-07	Financial Responsibility Rules for Broker-Dealers	Final Rule Financial Responsibility Rules for Broker-Dealers 34-70072, 34-66910 View Related Activity
July 30, 2013	S7-23-11	Broker-Dealer Reports Trading and Markets	Final Rule Broker-Dealer Reports 34-70073 View Related Activity
July 26, 2013		Delegation of Authority to Director of the Division of Enforcement	Final Rule Delegation of Authority to Director of the Division of Enforcement 34-70049
July 25, 2013		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-9433, 34-70040, 39-2491, IC-30629
July 12, 2013		Rescission of Supervised Investment Bank Holding Company Rules	Final Rule Rescission of Supervised Investment Bank Holding Company Rules 34-69979
July 11, 2013	S7-30-11	Retail Foreign Exchange Transactions Trading and Markets	Final Rule Retail Foreign Exchange Transactions 34-69964 View Related Activity
July 10, 2013	S7-07-12	Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings Corporation Finance	Final Rule Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings 33-9415, 34-69959, IA-3624 View Related Activity
July 10, 2013	S7-21-11	Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings Corporation Finance	Final Rule Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings 33-9414 View Related Activity
May 14, 2013		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-9403, 34-69568, 39-2490, IC-30515
April 10, 2013	S7-02-12	Identity Theft Red Flags Rules Investment Management, Trading and Markets	Final Rule Identity Theft Red Flags Rules 34-69359, IA-3582, IC-30456 View Related Activity

Last Reviewed or Updated: Sept. 13, 2024

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