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
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
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S7-29-11 Amendment to Rule Filing Requirements for Dually-Registered Clearing Agencies
Trading and Markets
Final Rule
Amendment to Rule Filing Requirements for Dually-Registered Clearing Agencies
34-69284
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S7-11-11 Lost Securityholders and Unresponsive Payees
Trading and Markets
Final Rule
Lost Securityholders and Unresponsive Payees
34-68668
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Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-9382, 34-68644, 39-2488, IC-30348
S7-23-07 Principal Trades with Certain Advisory Clients
Final Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
IA-3522
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S7-44-10 Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations
Trading and Markets
Final Rule
Extension of Dates for Certain Requirements and Amendment of Form 19b-4
34-68357
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S7-42-10 Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
Final Rule
Disclosure of Payments by Resource Extraction Issuers
34-67717A
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S7-07-11 Purchase of Certain Debt Securities by Business and Industrial Development Companies Relying on an Investment Company Act Exemption
Investment Management
Final Rule
Purchase of Certain Debt Securities by Business and Industrial Development Companies Relying on an Investment Company Act Exemption
IC-30268
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Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-9364, 34-67978, 39-2486, IC-30227
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-9353, 34-67747, 39-2485, IC-30185
S7-42-10 Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
Final Rule
Disclosure of Payments by Resource Extraction Issuers
34-67717
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S7-40-10 Conflict Minerals
Corporation Finance
Final Rule
Conflict Minerals
34-67716
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S7-11-10 Consolidated Audit Trail
Trading and Markets
Final Rule
Consolidated Audit Trail
34-67457
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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
Final Rule
Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
33-9338, 34-67453, 33-9681, 34-74936
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Securities Act Industry Guides
Chief Accountant, Corporation Finance
Final Rule
Securities Act Industry Guides
33-9337, 34-67432
S7-44-10 Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations
Trading and Markets
Final Rule
Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations
34-67286
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S7-13-11 Listing Standards for Compensation Committees
Corporation Finance
Final Rule
Listing Standards for Compensation Committees
33-9330, 34-67220
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S7-18-09 Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Extension of Compliance Date
Investment Management
Final Rule
Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Extension of Compliance Date
IA-3418
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S7-36-10 Political Contributions by Certain Investment Advisers
Final Rule
Political Contributions by Certain Investment Advisers
IA-3403
S7-39-10 Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant"
Trading and Markets
Final Rule
Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant"
34-66868
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S7-22-11 Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies
Corporation Finance
Final Rule
Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies
33-9308, 34-66703, 39-2484
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Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-9303, 34-66654, 39-2483, IC-30008
Rules of Organization; Conduct and Ethics; and Information and Requests
Final Rule
Rules of Organization; Conduct and Ethics; and Information and Requests
34-66502
S7-17-11 Investment Adviser Performance Compensation
Investment Management
Final Rule
Investment Adviser Performance Compensation
IA-3372
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Reporting Line for the Commission's Inspector General
Final Rule
Reporting Line for the Commission's Inspector General
34-66355
S7-31-11 Covered Securities of Bats Exchange, Inc.
Trading and Markets
Final Rule
Covered Securities of Bats Exchange, Inc.
33-9295
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S7-41-10 Mine Safety Disclosure
Corporation Finance
Final Rule
Mine Safety Disclosure
33-9286, 34-66019
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Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-9281, 34-65803, 39-2481, IC-29868
Reporting Line for the Commission's Ethics Counsel
Final Rule
Reporting Line for the Commission's Ethics Counsel
34-65742
Rescission of Outdated Rules and Forms, and Amendments To Correct References
Final Rule
Rescission of Outdated Rules and Forms, and Amendments To Correct References
33-9273, 34-65686, 39-2480, IA-3310, IC-29855
S7-05-11 Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
Investment Management
Final Rule
Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
IA-3308
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Technical Amendment to Delegation of Authority to the Director of the Division of Trading and Markets
Final Rule
Technical Amendment to Delegation of Authority to the Director of the Division of Trading and Markets
34-65628
Consolidation of the Office of the Executive Director With the Office of the Chief Operating Officer
Final Rule
Consolidation of the Office of the Executive Director With the Office of the Chief Operating Officer
34-65385
S7-10-09 Facilitating Shareholder Director Nominations
Corporation Finance
Final Rule
Facilitating Shareholder Director Nominations
33-9259, 34-65343, IC-29788
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S7-19-11 Privacy Act of 1974: Implementation and Amendment of Exemptions
Information Technology
Final Rule
Privacy Act of 1974: Implementation and Amendment of Exemptions
PA-47
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Amendments To Include New Applicant Types on Form ID
Final Rule
Amendments To Include New Applicant Types on Form ID
33-9256, 34-65244, 39-2478, IC-29780
S7-24-10 Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Corporation Finance
Final Rule
Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
33-9175A, 34-63741A
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S7-02-11 Suspension of the Duty To File Reports for Classes of Asset-Backed Securities Under Section 15(D) of the Securities Exchange Act of 1934
Corporation Finance
Final Rule
Suspension of the Duty To File Reports for Classes of Asset-Backed Securities Under Section 15(D) of the Securities Exchange Act of 1934
34-65148
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Commission Rules and Forms Related to the FASB's Accounting Standards Codification
Final Rule
Commission Rules and Forms Related to the FASB's Accounting Standards Codification
33-9250, 34-65052, IC-29748
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-9246
S7-18-08 Security Ratings
Corporation Finance, Investment Management, Trading and Markets
Final Rule
Security Ratings
33-9245, 34-64975
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S7-10-10 Large Trader Reporting
Trading and Markets
Final Rule
Large Trader Reporting
34-64976
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Technical Amendment to Commission Procedures for Filing Applications for Orders for Exemptive Relief Under Section 36 of the Exchange Act
Final Rule
Technical Amendment to Commission Procedures for Filing Applications for Orders for Exemptive Relief Under Section 36 of the Exchange Act
34-64913
Delegation of Authority to the Director of Its Division of Enforcement
Final Rule
Delegation of Authority to the Director of Its Division of Enforcement
34-64778
S7-03-10 Risk Management Controls for Brokers or Dealers With Market Access
Trading and Markets
Final Rule
Risk Management Controls for Brokers or Dealers With Market Access
34-64748
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S7-25-10 Family Offices
Investment Management
Final Rule
Family Offices
IA-3220
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S7-36-10 Rules Implementing Amendments to the Investment Advisers Act of 1940
Investment Management
Final Rule
Rules Implementing Amendments to the Investment Advisers Act of 1940
IA-3221
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S7-37-10 Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers
Investment Management
Final Rule
Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers
IA-3222
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Delegation of Authority to the Director of Its Division of Enforcement
Final Rule
Delegation of Authority to the Director of Its Division of Enforcement
34-64649
S7-10-11 Beneficial Ownership Reporting Requirements and Security-Based Swaps
Corporation Finance
Final Rule
Beneficial Ownership Reporting Requirements and Security-Based Swaps
34-64628
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S7-33-10 Securities Whistleblower Incentives and Protections
Final Rule
Securities Whistleblower Incentives and Protections
34-64545
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Amendment to Procedures for Holding Funds in Dormant Filing Fee Accounts
Final Rule
Amendment to Procedures for Holding Funds in Dormant Filing Fee Accounts
33-9208, 34-64495, IC-29670
Technical Amendment to Rule 19b-4: Filings With Respect to Proposed Rule Changes by Self-Regulatory Organizations
Final Rule
Technical Amendment to Rule 19b-4: Filings With Respect to Proposed Rule Changes by Self-Regulatory Organizations
34-64251
Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
Final Rule
Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
34-64172
Technical Amendments to Rule 17a-8: Financial Recordkeeping and Reporting of Currency and Foreign Transactions
Final Rule
Technical Amendments to Rule 17a-8: Financial Recordkeeping and Reporting of Currency and Foreign Transactions
34-63949
S7-31-10 Shareholder Approval of Executive Compensation and Golden Parachute Compensation
Corporation Finance
Final Rule
Shareholder Approval of Executive Compensation and Golden Parachute Compensation
33-9178, 34-63768
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S7-24-10 Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Corporation Finance
Final Rule
Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
33-9175, 34-63741
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S7-26-10 Issuer Review of Assets in Offerings of Asset-Backed Securities
Corporation Finance
Final Rule
Issuer Review of Assets in Offerings of Asset-Backed Securities
33-9176, 34-63742
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Last Reviewed or Updated: Sept. 13, 2024