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.

Under the Regulatory Flexibility Act, the SEC is required to publish an agenda identifying rules that the agency estimates it may consider in upcoming months. View the latest SEC Reg Flex agenda.


Issue Date	File Number	Rulemaking	Status
June 20, 2014		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-9600, 34-72394, 39-2497, IC-31081
April 17, 2014	S7-05-14	Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers Trading and Markets	Proposed Rule Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Capital Rule for Certain Security-Based Swap Dealers 34-71958 View Related Activity
April 3, 2014	S7-12-10	Investment Company Advertising: Target Date Retirement Fund Names and Marketing Investment Management	Proposed Rule Investment Company Advertising: Target Date Retirement Fund Names and Marketing 33-9570, 34-71861, IC-31004 View Related Activity
March 28, 2014	S7-08-10	Asset-Backed Securities Disclosure and Registration Corporation Finance	Proposed Rule Extension of Comment Period for Asset-Backed Securities Release 33-9568, 34-71830 View Related Activity
March 12, 2014	S7-03-14	Standards for Covered Clearing Agencies Trading and Markets	Proposed Rule Standards for Covered Clearing Agencies 34-71699 View Related Activity
March 4, 2014		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-9554, 34-71643, 39-2496, IC-30972
Feb. 25, 2014	S7-08-10	Asset-Backed Securities Disclosure and Registration Corporation Finance	Proposed Rule Re-Opening of Comment Period for Asset-Backed Securities Release 33-9552, 34-71611 View Related Activity
Feb. 5, 2014	S7-26-11	Exemptions for Security-Based Swaps Corporation Finance	Interim Final Rule Extension of Exemptions for Security-Based Swaps 33-9545, 34-71482, 39-2495 View Related Activity
Jan. 17, 2014	S7-01-14	Treatment of Certain Collateralized Debt Obligations Backed Primarily by Trust Preferred Securities With Regard to Prohibitions and Restrictions on Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds Investment Management, Trading and Markets	Interim Final Rule Treatment of Certain Collateralized Debt Obligations Backed Primarily by Trust Preferred Securities With Regard to Prohibitions and Restrictions on Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds BHCA-2
Jan. 13, 2014	S7-45-10	Registration of Municipal Advisors; Temporary Stay of Final Rule Municipal Securities	Final Rule Registration of Municipal Advisors; Temporary Stay of Final Rule 34-71288 View Related Activity
Jan. 6, 2014		Responsibilities of the General Counsel	Final Rule Responsibilities of the General Counsel 34-71238
Dec. 27, 2013	S7-7-11	Removal of Certain References to Credit Ratings Under the Investment Company Act	Final Rule Removal of Certain References to Credit Ratings Under the Investment Company Act 33-9506 View Related Activity
Dec. 27, 2013	S7-15-11	Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 Trading and Markets	Final Rule Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 34-71194 View Related Activity
Dec. 24, 2013		Securities Exempted; Distribution of Shares by Registered Open-End Management Investment Company; Applications Regarding Joint Enterprises or Arrangements and Certain Profit-Sharing Plans	Final Rule Securities Exempted; Distribution of Shares by Registered Open-End Management Investment Company; Applications Regarding Joint Enterprises or Arrangements and Certain Profit-Sharing Plans 33-9503, IC-30845
Dec. 18, 2013	S7-11-13	Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A) Corporation Finance	Proposed Rule Proposed Rule Amendments for Small and Additional Issues Exemptions Under Section 3(b) of the Securities Act 33-9497, 34-71120, 39-2493 View Related Activity
Dec. 10, 2013	S7-41-11	Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds Investment Management, Trading and Markets	Final Rule Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds BHCA-1 View Related Activity
Oct. 23, 2013	S7-09-13	Crowdfunding Corporation Finance, Trading and Markets	Proposed Rule Crowdfunding 33-9470, 34-70741 View Related Activity
Sept. 27, 2013	S7-06-13	Amendments to Regulation D, Form D and Rule 156 Corporation Finance	Proposed Rule Amendments to Regulation D, Form D and Rule 156; Re-Opening of Comment Period 33-9458, 34-70538, IC-30737 View Related Activity
Sept. 25, 2013		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-9457, 34-70497, 39-2492, IC-30722
Sept. 23, 2013	S7-19-10	Registration of Municipal Advisors (Corrected to conform to Federal Register version) Municipal Securities	Interim Final Rule Extension of Temporary Registration of Municipal Advisors 34-70468 View Related Activity
Sept. 20, 2013	S7-45-10	Registration of Municipal Advisors (Corrected to conform to Federal Register version) Municipal Securities	Final Rule Registration of Municipal Advisors (Corrected to conform to Federal Register version) 34-70642 View Related Activity
Sept. 18, 2013	S7-07-13	Pay Ratio Disclosure Corporation Finance	Proposed Rule Pay Ratio Disclosure 33-9452, 34-70443 View Related Activity
Aug. 28, 2013	S7-14-11	Credit Risk Retention Corporation Finance	Proposed Rule Credit Risk Retention 34-70277 View Related Activity
July 30, 2013	S7-08-07	Financial Responsibility Rules for Broker-Dealers	Final Rule Financial Responsibility Rules for Broker-Dealers 34-70072, 34-66910 View Related Activity
July 30, 2013	S7-23-11	Broker-Dealer Reports Trading and Markets	Final Rule Broker-Dealer Reports 34-70073 View Related Activity
July 26, 2013		Delegation of Authority to Director of the Division of Enforcement	Final Rule Delegation of Authority to Director of the Division of Enforcement 34-70049
July 25, 2013		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-9433, 34-70040, 39-2491, IC-30629
July 12, 2013		Rescission of Supervised Investment Bank Holding Company Rules	Final Rule Rescission of Supervised Investment Bank Holding Company Rules 34-69979
July 11, 2013	S7-30-11	Retail Foreign Exchange Transactions Trading and Markets	Final Rule Retail Foreign Exchange Transactions 34-69964 View Related Activity
July 10, 2013	S7-06-13	Amendments to Regulation D, Form D and Rule 156 Corporation Finance	Proposed Rule Amendments to Regulation D, Form D and Rule 156 33-9416, 34-69960, IC-30595 View Related Activity
July 10, 2013	S7-07-12	Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings Corporation Finance	Final Rule Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings 33-9415, 34-69959, IA-3624 View Related Activity
July 10, 2013	S7-21-11	Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings Corporation Finance	Final Rule Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings 33-9414 View Related Activity
June 5, 2013	S7-03-13	Money Market Fund Reform; Amendments to Form PF Investment Management	Proposed Rule Money Market Fund Reform; Amendments to Form PF 33-9408, IA-3616, IC-30551 View Related Activity
May 20, 2013	S7-01-13	Regulation Systems Compliance and Integrity Trading and Markets	Proposed Rule Regulation Systems Compliance and Integrity 34-69606 View Related Activity
May 14, 2013		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-9403, 34-69568, 39-2490, IC-30515
May 1, 2013	S7-02-13, S7-34-10, S7-40-11	Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities; Republication Trading and Markets	Proposed Rule Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and Forms Relating to the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants 34-69490
May 1, 2013	S7-27-10, S7-32-10, S7-34-10, S7-35-10, S7-43-10, S7-03-11, S7-06-11, S7-08-11, S7-25-11, S7-40-11, S7-05-12, S7-08-12	Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information Trading and Markets	Proposed Rule Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act 34-69491
April 10, 2013	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 View Related Activity
April 3, 2013	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 View Related Activity
March 8, 2013	S7-01-13	Regulation Systems Compliance and Integrity Trading and Markets	Proposed Rule Regulation Systems Compliance and Integrity 34-69077 View Related Activity
Jan. 29, 2013	S7-26-11	Exemptions for Security-Based Swaps Corporation Finance	Interim Final Rule Extension of Exemptions for Security-Based Swaps 33-9383, 34-68753, 39-2489 View Related Activity
Jan. 16, 2013	S7-11-11	Lost Securityholders and Unresponsive Payees Trading and Markets	Final Rule Lost Securityholders and Unresponsive Payees 34-68668 View Related Activity
Jan. 15, 2013	S7-08-12	Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers Trading and Markets	Proposed Rule Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers 34-68660 View Related Activity
Jan. 14, 2013		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
Dec. 20, 2012	S7-23-07	Principal Trades with Certain Advisory Clients	Final Rule Temporary Rule Regarding Principal Trades With Certain Advisory Clients IA-3522 View Related Activity
Dec. 5, 2012	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 View Related Activity
Nov. 23, 2012	S7-42-10	Disclosure of Payments by Resource Extraction Issuers Corporation Finance	Final Rule Disclosure of Payments by Resource Extraction Issuers 34-67717A View Related Activity

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