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
S7-22-21 Money Market Fund Reforms
Investment Management
Proposed Rule
Money Market Fund Reforms
IC-34441
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S7-32-10 Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers
Trading and Markets
Proposed Rule
Prohibition Against Fraud, Manipulation, or Deception in Connection With Security-Based Swaps; Prohibition Against Undue Influence Over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions
34-93784
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S7-21-21 Share Repurchase Disclosure Modernization
Corporation Finance, Investment Management
Proposed Rule
Share Repurchase Disclosure Modernization
34-93783, IC-34440
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S7-18-21 Reporting of Securities Loans
Trading and Markets
Proposed Rule
Reporting of Securities Loans
34-93613
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S7-19-21 Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
Trading and Markets
Proposed Rule
Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
34-93614
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S7-17-21 Proxy Voting Advice
Corporation Finance
Proposed Rule
Proxy Voting Advice
34-93595
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S7-15-21 Electronic Submission of Applications for Orders Under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F
Investment Management
Proposed Rule
Electronic Submission of Applications for Orders Under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F
34-93518, IA-5903, IC-34415
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S7-16-21 Updating EDGAR Filing Requirements
Corporation Finance
Proposed Rule
Updating EDGAR Filing Requirements
33-11005, 34-93519
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S7-12-15 Listing Standards for Recovery of Erroneously Awarded Compensation
Corporation Finance
Proposed Rule
Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation
33-10998, 34-93311, IC-34399
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S7-14-11 Credit Risk Retention-Notification of Determination of Review
Corporation Finance
Proposed Rule
Credit Risk Retention-Notification of Extension of Review Period
34-92326
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S7-24-16 Universal Proxy
Corporation Finance
Proposed Rule
Reopening of Comment Period for Universal Proxy
34-91603, IC-34246
View Related Activity

Last Reviewed or Updated: Sept. 13, 2024