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
S7-27-98 Purchases of Certain Equity Securities by the Issuer and Others
Proposed Rule
Purchases of Certain Equity Securities by the Issuer and Others
34-40617
S7-26-98 Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
Proposed Rule
Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
34-40518
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S7-25-98 Processing of Reorganization Events, Tender Offers, and Exchange Offers
Proposed Rule
Processing of Reorganization Events, Tender Offers, and Exchange Offers
34-40386
S7-23-98 Rules of Practice
Proposed Rule
Rules of Practice
34-40364
4-208 Intermarket Trading System ("ITS') Plan; Proposed Amendments to Expand the ITS/Computer Assisted Execution System Linkage to all Listed Securities and to Eliminate the Unanimous Vote Provision
Proposed Rule
Intermarket Trading System ("ITS') Plan; Proposed Amendments to Expand the ITS/Computer Assisted Execution System Linkage to all Listed Securities and to Eliminate the Unanimous Vote Provision
34-40260
S7-22-98 Temporary Exemption for Certain Investment Advisers
Proposed Rule
Temporary Exemption for Certain Investment Advisers
IC-23325, IC-24177
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4-208 Proposed Rulemaking Pursuant to Section 11A of the Securities Exchange Act of 1934 to Amend the Intermarket Trading System ("ITS') Plan To Link the PCX Application of the OptiMark System to the ITS System
Proposed Rule
Proposed Rulemaking Pursuant to Section 11A of the Securities Exchange Act of 1934 to Amend the Intermarket Trading System ("ITS') Plan To Link the PCX Application of the OptiMark System to the ITS System
34-40204
S7-16-98 Proposed Amendment to Rule 102(e) of the Commission's Rules of Practice
Proposed Rule
Proposed Amendment to Rule 102(e) of the Commission's Rules of Practice
33-7555
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S7-8-98 Year 2000 Readiness Reports To Be Made by Certain Transfer Agents
Proposed Rule
Year 2000 Readiness Reports To Be Made by Certain Transfer Agents
34-40165, 34-40163
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S7-7-98 Reports To Be Made by Certain Brokers and Dealers
Proposed Rule
Reports To Be Made by Certain Brokers and Dealers
34-40164
S7-20-98 Investment Adviser Year 2000 Reports
Proposed Rule
Investment Adviser Year 2000 Reports
IA-1728, IA-1769
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S7-19-98 Options Disclosure Document
Proposed Rule
Options Disclosure Document
33-7550, 33-8049
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S7-18-98 Amendment to Rule 9b-1 Under the Securities Exchange Act Relating to the Options Disclosure Document
Proposed Rule
Amendment to Rule 9b-1 Under the Securities Exchange Act Relating to the Options Disclosure Document
34-40129
S7-17-98 Segment Reporting
Proposed Rule
Segment Reporting
33-7549, 33-7620
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S7-16-98 Proposed Amendment to Rule 102(e) of the Commission's Rules of Practice
Proposed Rule
Proposed Amendment to Rule 102(e) of the Commission's Rules of Practice
34-40089
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S7-15-98 Exemption of the Securities of the Kingdom of Belgium Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
Proposed Rule
Exemption of the Securities of the Kingdom of Belgium Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
34-40077, 34-41116
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S7-14-98 Revision of Rule 504 of Regulation D, the "Seed Capital' Exemption
Proposed Rule
Revision of Rule 504 of Regulation D, the "Seed Capital' Exemption
33-7541, 33-7644
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S7-13-98 Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products; Correction
Proposed Rule
Proposed Amendment to Rule 19b-4, Under the Securities Exchange Act of 1934, That Would Deem the Listing and Trading of New Derivative Securities Products by Self-Regulatory Organizations To Not Be Proposed Rule Changes
34-39885
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S7-12-98 Regulation of Exchanges and Alternative Trading Systems
Proposed Rule
Regulation of Exchanges and Alternative Trading Systems
34-39884, 34-40760
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S7-7-98 Reports to be Made by Certain Brokers and Dealers
Proposed Rule
Reports to be Made by Certain Brokers and Dealers
34-39858
S7-8-98 Year 2000 Readiness Reports To Be Made by Transfer Agents
Proposed Rule
Year 2000 Readiness Reports To Be Made by Transfer Agents
34-39859
S7-9-98 Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Life Insurance Policies
Proposed Rule
Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Life Insurance Policies
33-7514, 33-8088
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S7-8-98 Year 2000 Readiness Reports To Be Made by Transfer Agents
Proposed Rule
Year 2000 Readiness Reports To Be Made by Transfer Agents
34-39726
S7-7-98 Reports To Be Made by Certain Brokers and Dealers
Proposed Rule
Reports To Be Made by Certain Brokers and Dealers
34-39724
S7-5-98 Rule 701Exempt Offerings Pursuant to Compensatory Arrangements
Proposed Rule
Rule 701Exempt Offerings Pursuant to Compensatory Arrangements
33-7511, 33-7645
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S7-2-98 Registration of Securities on Form S-8
Proposed Rule
Registration of Securities on Form S-8
33-7506
S7-30-97, S7-31-97, S7-32-97 OTC Derivatives Dealers; Correction
Proposed Rule
OTC Derivatives Dealers, Net Capital Rule
34-39704, 34-39454, 33-39455
S7-3-98 Publication or Submission of Quotations Without Specified Information
Proposed Rule
Publication or Submission of Quotations Without Specified Information
34-39670
S7-33-97 Capital Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934
Proposed Rule
Capital Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934
34-39457
S7-31-97 OTC Derivatives Dealers; Correction
Proposed Rule
Net Capital Rule
34-39455, 34-39704, 34-39456
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S7-30-97 OTC Derivatives Dealers; Correction
Proposed Rule
OTC Derivatives Dealers
34-39454
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S7-28-97 Exemption for Investment Advisers Operating in Multiple States; Revisions to Rules Implementing Amendments to the Investment Advisers Act of 1940; Investment Advisers With Principal Offices and Places of Business in Colorado or Iowa
Proposed Rule
Exemption for Investment Advisers Operating in Multiple States; Revisions to Rules Implementing Amendments to the Investment Advisers Act of 1940
IA-1681, IA-1733
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S7-27-97 Delivery of Disclosure Documents to Households
Proposed Rule
Delivery of Disclosure Documents to Households
33-7475, 33-7766
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S7-29-97 Exemption To Allow Investment Advisers To Charge Fees Based Upon a Share of Capital Gains Upon or Capital Appreciation of a Client's Account
Proposed Rule
Exemption To Allow Investment Advisers To Charge Fees Based Upon a Share of Capital Gains Upon or Capital Appreciation of a Client's Account
IA-1682, IA-1731
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S7-25-97 Amendments To Rules On Shareholder Proposals
Proposed Rule
Amendments to Rules on Shareholder Proposals
34-39093, 34-40018
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S7-19-97 Registration Under the Securities Act of 1933 of Certain Investment Company Securities
Proposed Rule
Registration Under the Securities Act of 1933 of Certain Investment Company Securities
33-7430, 33-7448
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S7-18-97 Rulemaking for EDGAR System
Proposed Rule
Rulemaking for EDGAR System
34-38800
S7-17-97 Covered Securities Pursuant to Section 18 of the Securities Act of 1933
Proposed Rule
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
33-7422
S7-4-97 Definitions of "Small Business' or "Small Organization' Under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933
Proposed Rule
Definitions of "Small Business' or "Small Organization' Under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933
33-7404
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S7-11-97 Investment Company Names
Proposed Rule
Investment Company Names
IC-22530, IC-24828
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S7-18-96 Proposed New Disclosure Option for Open-End Management Investment Companies
Proposed Rule
Proposed New Disclosure Option for Open-End Management Investment Companies
33-7399
S7-10-97 Registration Form Used by Open-End Management Investment Companies
Proposed Rule
Registration Form Used by Open-End Management Investment Companies
33-7398, 33-7512f, 33-7512r
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S7-9-97 Delayed Pricing for Certain Registrants
Proposed Rule
Delayed Pricing for Certain Registrants
33-7393
S7-8-97 Offshore Offers and Sales
Proposed Rule
Offshore Offers and Sales
33-7392
S7-07-97 Revision of Rule 144, Rule 145 and Form 144
Proposed Rule
Revision of Rule 144, Rule 145 and Form 144
33-7391
S7-6-97 Definition of "Prepared By or On Behalf of the Issuer' for Purposes of Determining if an Offering Document is Subject to State Regulation
Proposed Rule
Definition of "Prepared by or on Behalf of the Issuer' for Purposes of Determining if an Offering Document is Subject to State Regulation.
33-7388, 33-7418
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S7-4-97 Definitions of "Small Business' or "Small Organization' Under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933
Proposed Rule
Definitions of "Small Business' or "Small Organization' Under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933
33-7383
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S7-3-97 Plain English Disclosure
Proposed Rule
Plain English Disclosure
34-38164, 33-7497
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S7-27-96 Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
Proposed Rule
Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
34-38159
S7-31-96 Rules Implementing Amendments to the Investment Advisers Act of 1940
Proposed Rule
Rules Implementing Amendments to the Investment Advisers Act of 1940
IA-1601
S7-30-96 Private Investment Companies
Proposed Rule
Private Investment Companies
IC-22405
S7-29-96 Technical Revisions to the Rules and Forms Regulating Money Market Funds
Proposed Rule
Technical Revisions to the Rules and Forms Regulating Money Market Funds
33-7371, 33-7479
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S7-28-96 Rulemaking for the EDGAR System
Proposed Rule
Rulemaking for the EDGAR System
33-7369
S7-27-96 Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
Proposed Rule
Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
34-37850
S7-26-96 Offshore Press Conferences, Meetings with Company Representatives Conducted Offshore and Press-Related Materials Released Offshore
Proposed Rule
Offshore Press Conferences, Meetings With Company Representatives Conducted Offshore and Press Related Materials Released Offshore
33-7356, 33-7470
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S7-24-96 Rule Amendments Relating to Multiple Class and Series Investment Companies
Proposed Rule
Rule Amendments Relating to Multiple Class and Series Investment Companies
IC-22203, IC-22835
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S7-23-96 Expansion of Short-Form Registration To Include Companies With Non-Voting Common Equity
Proposed Rule
Expansion of Short-Form Registration To Include Companies With Non-voting Common Equity
33-7326, 33-7419
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S7-22-96 Proposed Quote Rule Amendment
Proposed Rule
Proposed Quote Rule Amendment
34-37620
S7-21-96 Lost Securityholders
Proposed Rule
Lost Securityholders
34-37595, 34-39176
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S7-20-96 Proposed Rule: Implementation of Section 10A of the Securities Exchange Act of 1934
Proposed Rule
Proposed Rule: Implementation of Section 10A of the Securities Exchange Act of 1934
34-37594
S7-17-96 Broker-Dealer Registration and Reporting
Proposed Rule
Broker-Dealer Registration and Reporting
34-37432
S7-16-96 Amendments to Beneficial Ownership Reporting Requirements
Proposed Rule
Amendments to Beneficial Ownership Reporting Requirements
34-37403, 34-39538
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S7-15-96 Phase Two Recommendations of Task Force on Disclosure Simplification Effective Date: Sep. 2, 1997
Proposed Rule
Phase Two Recommendations of Task Force on Disclosure Simplification
33-7301, 33-7431 Part 1
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Last Reviewed or Updated: Sept. 13, 2024