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
Sept. 20, 2002	S7-36-02	Disclosure of Proxy Voting Policies and Proxy Voting Records by Registered Management Investment Companies	Proposed Rule Disclosure of Proxy Voting Policies and Proxy Voting Records by Registered Management Investment Companies 33-8131 View Related Activity
Sept. 12, 2002	S7-34-02	Rule 15c3-3 Reserve Requirements for Margin Related to Security Futures Products	Proposed Rule Rule 15c3-3 Reserve Requirements for Margin Related to Security Futures Products 34-46492 View Related Activity
Aug. 30, 2002	S7-33-02	Certification of Disclosure in Companies' Quarterly and Annual Reports	Proposed Rule Certification of Management Investment Company Shareholder Reports and Designation of Certified Shareholder Reports as Exchange Act Periodic Reporting Forms 34-46441 View Related Activity
Aug. 2, 2002	S7-21-02	Certification of Disclosure in Companies' Quarterly and Annual Reports	Proposed Rule Certification of Disclosure in Companies' Quarterly and Annual Reports 34-46300 View Related Activity
Aug. 2, 2002	S7-30-02	Regulation Analyst Certification	Proposed Rule Regulation Analyst Certification 33-8119 View Related Activity
July 25, 2002	S7-29-02	Exemption for Standardized Options From Provisions of the Securities Act of 1933 and From the Registration Requirements of the Securities Exchange Act of 1934	Proposed Rule Exemption for Standardized Options From Provisions of the Securities Act of 1933 and From the Registration Requirements of the Securities Exchange Act of 1934 33-8114 View Related Activity
July 18, 2002	S7-28-02	Custody of Funds or Securities of Clients by Investment Advisers	Proposed Rule Custody of Funds or Securities of Clients by Investment Advisers IA-2044 View Related Activity
July 12, 2002	S7-26-02	Customer Identification Programs for Mutual Funds	Proposed Rule Customer Identification Programs for Mutual Funds IC-25657 View Related Activity
July 12, 2002	S7-25-02	Customer Identification Programs for Broker-Dealers	Proposed Rule Customer Identification Programs For Broker-Dealers 34-46192 View Related Activity
June 26, 2002	S7-24-02	Certification of Disclosure in Companies' Quarterly and Annual Reports	Proposed Rule Framework for Enhancing the Quality of Financial Information Through Improvement of Oversight of the Auditing Process 33-8109 View Related Activity
June 17, 2002	S7-21-02	Certification of Disclosure in Companies' Quarterly and Annual Reports	Proposed Rule Certification of Disclosure in Companies' Quarterly and Annual Reports 34-46079 View Related Activity
June 17, 2002	S7-22-02	Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date	Proposed Rule Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date 33-8106 View Related Activity
June 3, 2002	S7-20-02	Customer Protection-Reserves and Custody of Securities; Delegation of Authority to the Director of the Division of Market Regulation	Proposed Rule Customer Protection-Reserves and Custody of Securities 34-46019 View Related Activity
May 31, 2002	S7-19-02	Confirmation Requirements for Transactions of Security Futures Products Effected in Futures Accounts	Proposed Rule Confirmation Requirements for Transactions of Security Futures Products Effected in Futures Accounts 34-46014 View Related Activity
May 30, 2002	S7-18-02	Repeal of the Trade-Through Disclosure Rules for Options	Proposed Rule Repeal of Options Trade-Through Disclosure Rule 34-46002 View Related Activity
May 17, 2002	S7-17-02	Amendments to Investment Company Advertising Rules	Proposed Rule Proposed Amendments to Investment Company Advertising Rules 33-8101 View Related Activity
May 10, 2002	S7-16-02	Disclosure in Management's Discussion and Analysis About the Application of Critical Accounting Policies	Proposed Rule Disclosure in Management's Discussion and Analysis About the Application of Critical Accounting Policies 33-8098
May 1, 2002	S7-14-02	Assessments on Security Futures Transactions and Fees on Sales of Securities Resulting from Physical Settlement of Security Futures Pursuant to Section 31 of the Exchange Act	Proposed Rule Assessments on Security Futures Transactions and Fees on Sales of Securities Resulting From Physical Settlement of Security Futures Pursuant to Section 31 of the Exchange Act 34-45854 View Related Activity
April 30, 2002	S7-13-02	Transactions of Investment Companies With Portfolio and Subadviser Affiliates	Proposed Rule Transactions of Investment Companies With Portfolio and Subadvisory Affiliates IC-25557 View Related Activity
April 12, 2002	S7-08-02	Acceleration of Periodic Report Filing Dates and Disclosure Concerning Web Site Access to Reports	Proposed Rule Acceleration of Periodic Report Filing Dates and Disclosure Concerning Website Access to Reports 33-8089 View Related Activity
April 12, 2002	S7-07-02	Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Annuity Contracts	Proposed Rule Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Annuity Contracts 33-8087 View Related Activity
April 12, 2002	S7-10-02	Exemption for Certain Investment Advisers Operating Through the Internet	Proposed Rule Exemption for Certain Investment Advisers Operating Through the Internet IA-2028 View Related Activity
April 12, 2002	S7-09-02	Form 8-K Disclosure of Certain Management Transactions	Proposed Rule Form 8-K Disclosure of Certain Management Transactions 33-8090 View Related Activity
Dec. 19, 2001	S7-23-01	Defining the Term "Qualified Purchaser" Under the Securities Act of 1933	Proposed Rule Defining the Term "Qualified Purchaser" Under the Securities Act of 1933 33-8041
Nov. 15, 2001	S7-22-01	Custody of Investment Company Assets With a Securities Depository	Proposed Rule Custody of Investment Company Assets With a Securities Depository IC-25266 View Related Activity
Nov. 8, 2001	S7-21-01	Investment Company Mergers	Proposed Rule Investment Company Mergers IC-25259 View Related Activity
Oct. 29, 2001	S7-17-01	Customer Margin Rules Relating to Security Futures	Proposed Rule Customer Margin Rules Relating to Security Futures; Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products 34-44996 View Related Activity
Sept. 28, 2001	S7-18-01	Mandated EDGAR Filing For Foreign Issuers	Proposed Rule Mandated EDGAR Filing for Foreign Issuers 33-8016 View Related Activity
Sept. 25, 2001	S7-17-01	Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products	Proposed Rule Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products 34-44854 View Related Activity
Sept. 25, 2001	S7-16-01, 1-9641	Customer Margin Rules Relating to Security Futures	Proposed Rule Customer Margin Rules Relating to Security Futures 34-44853
Aug. 24, 2001	S7-15-01	Cash Settlement and Regulatory Halt Requirements for Security Futures Products	Proposed Rule Cash Settlement and Regulatory Halt Requirements for Security Futures Products 34-44743 View Related Activity
June 26, 2001	S7-11-01	Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index; Joint Final Rule	Proposed Rule Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index 34-44475 View Related Activity
June 20, 2001	S7-13-01	Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934	Proposed Rule Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934 34-44455 View Related Activity
May 10, 2001	S7-11-01	Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index; Joint Final Rule	Proposed Rule Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index 34-44288 View Related Activity
May 8, 2001	S7-10-01	Registration of National Securities Exchanges Pursuant to Section 6(g) of the Securities Exchange Act of 1934 and Proposed Rule Changes of Certain National Securities Exchanges and Limited Purpose National Securities Associations	Proposed Rule Registration of National Securities Exchanges Pursuant to Section 6(g) of the Securities Exchange Act of 1934 and Proposed Rule Changes of National Securities Exchanges and Limited Purpose National Securities Associations 34-44279 View Related Activity
March 19, 2001	S7-07-01	Electronic Recordkeeping by Public Utility Holding Companies	Proposed Rule Electronic Recordkeeping by Public Utility Holding Companies 35-27357 View Related Activity
March 13, 2001	S7-06-01	Electronic Recordkeeping by Investment Companies and Investment Advisers; Correction	Proposed Rule Electronic Recordkeeping by Investment Companies and Investment Advisers IC-24890 View Related Activity
Feb. 28, 2001		Public Information: Advanced Notice of Proposed Rulemaking on Electronic Reporting and Recordkeeping and Delayed Effective Date of Recordkeeping Provisions in the Electronic Signatures in Global and National Commerce Act of 2000	Proposed Rule Public Information: Advanced Notice of Proposed Rulemaking on Electronic Reporting and Recordkeeping and Delayed Effective Date of Recordkeeping Provisions in the Electronic Signatures in Global and National Commerce Act of 2000 33-7955
Feb. 1, 2001	S7-05-01	Foreign Utility Companies	Proposed Rule Foreign Utility Companies 35-27342
Jan. 26, 2001	S7-04-01	Disclosure of Equity Compensation Plan Information	Proposed Rule Disclosure of Equity Compensation Plan Information 33-7944 View Related Activity

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