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 |
|---|---|---|---|
| S7-12-96 | Odd-Lot Tender Offers by Issuers | View Related Activity | |
| S7-11-96 | Trading Practices Rules Concerning Securities Offerings | ||
| S7-35-95 | Proposed Amendments To Require Disclosure of Accounting Policies for Derivative Financial Instruments and Derivative Commodity Instruments and Disclosure of Qualitative and Quantitative Information About Market Risk Inherent in Derivative Financial Instruments, Other Financial Instruments, and Derivative Commodity Instruments | ||
| S7-10-96 | Safe Harbor for Disclosure of Qualitative and Quantitative Information About Market Risk Inherent in Derivative Financial Instruments, Other Financial Instruments, and Derivative Commodity Instruments | ||
| S7-7-96 | Exemption for the Acquisition of Securities During the Existence of an Underwriting Syndicate | ||
| S7-32-95 | Calculation of Yield by Certain Unit Investment Trusts | ||
| S7-35-95 | Proposed amendments to require disclosure of accounting policies for derivatives Reference: Rel. Nos. 34-36643, IC-21625 | ||
| S7-32-95 | Calculation of Yield by Certain Unit Investment Trusts | ||
| S7-23-95 | Custody of Investment Company Assets Outside the United States Extension of Comment Period | ||
| S7-25-95 | Personal Investment Activities of Investment Company Personnel and Codes of Ethics of Investment Companies and Their Investment Advisers and Principal Underwriters | ||
| Status of Investment Advisory Programs Under the Investment Company Act of 1940 | View Related Activity | ||
| S7-23-95 | Custody of Investment Company Assets Outside the United States | ||
| S7-22-95 | Money Market Fund Quarterly Reporting | ||
| Money Market Fund Prospectuses | |||
| S7-18-95 | Solicitations of Interest Prior to an Initial Public Offering | ||
| S7-14-95 | Streamlining and Consolidation of Executive and Director Compensation Disclosure | ||
| S7-13-95 | Use of Abbreviated Financial Statements in Documents Delivered to Investors Pursuant to the Securities Act of 1933 and Securities Exchange Act of 1934 | ||
| S7-31-94 | Disclosure Concerning Legal Proceedings Involving Management, Promoters, Control Persons and Others | ||
| S7-12-95 | Exemption of Acquisition By Registered Public-Utility Holding Companies of Securities of Nonutility Companies Engaged in Certain Energy-Related and Gas-Related Businesses; Exemption of Capital Contributions and Advances to Such Companies | ||
| S7-11-95 | Exemption of Issuance and Sale of Securities by Public Utility and Nonutility Subsidiary Companies of Registered Public Utility Holding Companies; Rescission of Statements of Policy | View Related Activity | |
| S7-5-95 | Disclosure by Investment Advisers Regarding Soft Dollar Practices | ||
| S7-4-95 | Unlisted Trading Privileges | ||
| S7-3-95 | Registration Fees for Certain Investment Companies | ||
| S7-35-94 | Proposed Amendments to the Transfer Agent Rules | ||
| S7-30-94 | Internalized/Affiliate Practices, Payment for Order Flow and Order Routing Practices | ||
| S7-28-94 | Customer Limit Orders | ||
| S7-20-88 | Amendments to Municipal Securities Disclosure |
Last Reviewed or Updated: Sept. 13, 2024