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
May 6, 2008	S7-10-08	Commission Guidance and Revisions to the Cross-Border Tender Offer, Exchange Offer, Rights Offerings, and Business Combination Rules and Beneficial Ownership Reporting Rules for Certain Foreign Institutions Corporation Finance	Proposed Rule Revisions to the Cross-Border Tender Offer, Exchange Offer, and Business Combination Rules and Beneficial Ownership Reporting Rules for Certain Foreign Institutions 33-8917, 34-57781 View Related Activity
March 17, 2008	S7-08-08	"Naked' Short Selling Antifraud Rule Trading and Markets	Proposed Rule "Naked' Short Selling Anti-Fraud Rule 34-57511 View Related Activity
March 11, 2008	S7-07-08	Exchange-Traded Funds Investment Management	Proposed Rule Exchange-Traded Funds 33-8901, IC-28193
March 4, 2008	S7-06-08	Part 248-Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Personal Information Investment Management, Trading and Markets	Proposed Rule Part 248-Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Personal Information 34-57427, IC-28178, IA-2712
March 3, 2008	S7-10-00	Electronic Filing by Investment Advisers; Amendments To Form ADV; Technical Amendments	Proposed Rule Amendments to Form ADV IA-2711, 34-57419 View Related Activity
Feb. 29, 2008	S7-05-08	Foreign Issuer Reporting Enhancements Corporation Finance	Proposed Rule Foreign Issuer Reporting Enhancements 33-8900, 34-57409, 33-8959 International Series Release No. 1308 View Related Activity
Feb. 19, 2008	S7-04-08	Exemption From Registration Under Section 12(G) of the Securities Exchange Act of 1934 for Foreign Private Issuers Corporation Finance	Proposed Rule Exemption From Registration Under Section 12(G) of the Securities Exchange Act of 1934 for Foreign Private Issuers 34-57350, 34-58465 View Related Activity
Feb. 11, 2008	S7-02-08	Disclosure of Divestment by Registered Investment Companies in Accordance With Sudan Accountability and Divestment Act of 2007 Investment Management	Proposed Rule Disclosure of Divestment by Registered Investment Companies in Accordance With Sudan Accountability and Divestment Act of 2007 34-57306, IC-28148, 34-57711 View Related Activity
Feb. 1, 2008	S7-06-03	Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers Corporation Finance	Proposed Rule Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers 33-8889, 34-57258, 33-8934A View Related Activity
Dec. 14, 2007	S7-30-07	Revisions to Form S-11 To Permit Historical Incorporation by Reference Corporation Finance	Proposed Rule Revisions to Form S-11 To Permit Historical Incorporation by Reference 33-8871 View Related Activity
Nov. 21, 2007	S7-28-07	Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies	Proposed Rule Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies 33-8861, IC-28064 View Related Activity
Nov. 1, 2007	S7-25-07	Mandatory Electronic Submission of Applications for Orders Under the Investment Company Act and Filings Made Pursuant to Regulation E	Proposed Rule Rulemaking for EDGAR System; Mandatory Electronic Submission of Applications for Orders Under the Investment Company Act and Filings Made Pursuant to Regulation E 33-8859, 34-56732, IC-28042 View Related Activity
Sept. 24, 2007	S7-22-07	Interpretive Rule Under the Advisers Act Affecting Broker-Dealers	Proposed Rule Interpretive Rule Under the Advisers Act Affecting Broker-Dealers IA-2652
Aug. 7, 2007	S7-19-07	Amendments to Regulation SHO	Proposed Rule Amendments to Regulation SHO 34-56213 View Related Activity
Aug. 3, 2007	S7-18-07	Revisions of Limited Offering Exemptions in Regulation D	Proposed Rule Revisions of Limited Offering Exemptions in Regulation D 33-8828, IC-27922
July 27, 2007	S7-17-07	Shareholder Proposals Relating to the Election of Directors	Proposed Rule Shareholder Proposals Relating to the Election of Directors 34-56161, IC-27914 View Related Activity
July 27, 2007	S7-16-07	Electronic Shareholder Forums	Proposed Rule Shareholder Proposals 34-56160, IC-27913 View Related Activity
July 5, 2007	S7-14-07	Exemption of Compensatory Employee Stock Options From Registration Under Section 12(G) of the Securities Exchange Act of 1934	Proposed Rule Exemption of Compensatory Employee Stock Options From Registration Under Section 12(g) of the Securities Exchange Act of 1934 34-56010 View Related Activity
July 5, 2007	S7-15-07	Smaller Reporting Company Regulatory Relief and Simplification	Proposed Rule Smaller Reporting Company Regulatory Relief and Simplification 33-8819, 34-56013, 39-2447 View Related Activity
July 2, 2007	S7-13-07	Acceptance From Foreign Private Issuers of Financial Statements Prepared in Accordance With International Financial Reporting Standards Without Reconciliation to U.S. GAAP	Proposed Rule Acceptance From Foreign Private Issuers of Financial Statements Prepared in Accordance With International Financial Reporting Standards Without Reconciliation to U.S. GAAP 33-8818, 34-55998, International Series Release No. 1302 View Related Activity
June 29, 2007	S7-12-07	Electronic Filing and Revision of Form D	Proposed Rule Electronic Filing and Simplification of Form D 33-8814, 34-55980, 39-2446, IC-27878 View Related Activity
June 22, 2007	S7-11-07	Revisions to Rules 144 and 145	Proposed Rule Revisions to Rule 144 and Rule 145 to Shorten Holding Period for Affiliates and Non-Affiliates 33-8813 View Related Activity
June 20, 2007	S7-10-07	Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 and F-3	Proposed Rule Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 And F-3 33-8812 View Related Activity
June 20, 2007	S7-24-06	Amendments to Rules Regarding Management's Report on Internal Control Over Financial Reporting	Proposed Rule Definition of a Significant Deficiency 33-8811, 34-55930 View Related Activity
May 17, 2007	S7-08-07	Financial Responsibility Rules for Broker-Dealers	Proposed Rule Amendments to Financial Responsibility Rules for Broker-Dealers 34-55777 View Related Activity
March 26, 2007	S7-12-06	Amendments to Regulation SHO	Proposed Rule Amendments to Regulation SHO 34-55520 View Related Activity
March 20, 2007	S7-09-07	Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act	Proposed Rule Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act 34-55497, IA-2598, IC-27755
March 9, 2007	S7-08-07	Financial Responsibility Rules for Broker-Dealers	Proposed Rule Amendments to Financial Responsibility Rules for Broker-Dealers 34-55431 View Related Activity
Feb. 23, 2007	S7-06-07	Proposed Rule Changes of Self-Regulatory Organizations	Proposed Rule Proposed Rule Changes of Self-Regulatory Organizations 34-55341 View Related Activity
Feb. 6, 2007	S7-05-07	Extension of Interactive Data Voluntary Reporting Program on the Edgar System To Include Mutual Fund Risk/Return Summary Information	Proposed Rule Extension of Interactive Data Voluntary Reporting Program on the EDGAR System To Include Mutual Fund Risk/Return Summary Information 33-8781, IC-27697 View Related Activity
Feb. 2, 2007	S7-04-07	Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical Rating Organizations	Proposed Rule Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical Rating Organizations 34-55231, 34-55857 View Related Activity
Jan. 22, 2007	S7-03-07	Shareholder Choice Regarding Proxy Materials	Proposed Rule Universal Internet Availability of Proxy Materials 34-55147, IC-27672 View Related Activity
Jan. 4, 2007	S7-03-04	Investment Company Governance; Correction	Proposed Rule Investment Company Governance; Correction IC-27600A View Related Activity
Dec. 27, 2006	S7-25-06	Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles; Accredited Investors in Certain Private Investment Vehicles	Proposed Rule Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles; Accredited Investors in Certain Private Investment Vehicles 33-8766, IA-2576
Dec. 22, 2006	S7-12-05	Termination of a Foreign Private Issuer's Registration of a Class of Securities Under Section 12(g) and Duty To File Reports Under Section 13(a) or 15(d) of the Securities Exchange Act of 1934	Proposed Rule Termination of a Foreign Private Issuer's Registration of a Class of Securities Under Section 12(g) and Duty To File Reports Under Section 13(a) or 15(d) of the Securities Exchange Act of 1934 34-55005 View Related Activity
Dec. 20, 2006	S7-24-06	Amendments to Rules Regarding Management's Report on Internal Control Over Financial Reporting	Proposed Rule Management's Report on Internal Control Over Financial Reporting 33-8762, 34-54976 View Related Activity
Dec. 18, 2006	S7-23-06	Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act of 1934 and Related Rules	Proposed Rule Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act of 1934 and Related Rules 34-54947 View Related Activity
Dec. 18, 2006	S7-22-06	Definitions of Terms and Exemptions Relating to the "Broker" Exceptions for Banks	Proposed Rule Definitions of Terms and Exemptions Relating to the "Broker" Exceptions for Banks 34-54946 View Related Activity
Dec. 15, 2006	S7-03-04	Investment Company Governance; Correction	Proposed Rule Investment Company Governance IC-27600 View Related Activity
Dec. 7, 2006	S7-21-06	Regulation SHO and Rule 10a-1	Proposed Rule Amendments to Regulation SHO and Rule 10a-1 34-54891 View Related Activity

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