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
S7-27-10, 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
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
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
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S7-01-13 Regulation Systems Compliance and Integrity
Trading and Markets
Proposed Rule
Regulation Systems Compliance and Integrity
34-69077
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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
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S7-11-11 Lost Securityholders and Unresponsive Payees
Trading and Markets
Final Rule
Lost Securityholders and Unresponsive Payees
34-68668
View Related Activity
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
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
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
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
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S7-42-10 Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
Final Rule
Disclosure of Payments by Resource Extraction Issuers
34-67717A
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S7-07-11 Purchase of Certain Debt Securities by Business and Industrial Development Companies Relying on an Investment Company Act Exemption
Investment Management
Final Rule
Purchase of Certain Debt Securities by Business and Industrial Development Companies Relying on an Investment Company Act Exemption
IC-30268
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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
34-68071
View Related Activity
S7-23-07 Principal Trades with Certain Advisory Clients
Proposed Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
IA-3483
View Related Activity
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-9364, 34-67978, 39-2486, IC-30227
S7-19-10 Temporary Registration of Municipal Advisors
Municipal Securities
Interim Final Rule
Extension of Temporary Registration of Municipal Advisors
34-67901
View Related Activity
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-9353, 34-67747, 39-2485, IC-30185
S7-07-12 Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings
Corporation Finance
Proposed Rule
Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings
33-9354
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S7-42-10 Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
Final Rule
Disclosure of Payments by Resource Extraction Issuers
34-67717
View Related Activity
S7-40-10 Conflict Minerals
Corporation Finance
Final Rule
Conflict Minerals
34-67716
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S7-11-10 Consolidated Audit Trail
Trading and Markets
Final Rule
Consolidated Audit Trail
34-67457
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S7-16-11 Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
Trading and Markets
Final Rule
Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
33-9338, 34-67453, 33-9681, 34-74936
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S7-06-12 Commission Guidance Regarding Definitions of Mortgage Related Security and Small Business Related Security
Trading and Markets
Interpretive Release
Commission Guidance Regarding Definitions of Mortgage Related Security and Small Business Related Security
34-67448
Securities Act Industry Guides
Chief Accountant, Corporation Finance
Final Rule
Securities Act Industry Guides
33-9337, 34-67432
S7-30-11 Retail Foreign Exchange Transactions
Trading and Markets
Interim Final Rule
Extension of Interim Final Temporary Rule on Retail Foreign Exchange Transactions
34-67405
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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
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
34-67286
View Related Activity
S7-13-11 Listing Standards for Compensation Committees
Corporation Finance
Final Rule
Listing Standards for Compensation Committees
33-9330, 34-67220
View Related Activity
S7-18-09 Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Extension of Compliance Date
Investment Management
Final Rule
Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Extension of Compliance Date
IA-3418
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S7-36-10 Political Contributions by Certain Investment Advisers
Final Rule
Political Contributions by Certain Investment Advisers
IA-3403
S7-08-07 Financial Responsibility Rules for Broker-Dealers
Proposed Rule
Amendments to Financial Responsibility Rules for Broker-Dealers
34-66910
View Related Activity
S7-39-10 Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant"
Trading and Markets
Final Rule
Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant"
34-66868
View Related Activity
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
33-9309, 33-9570
View Related Activity
S7-22-11 Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies
Corporation Finance
Final Rule
Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies
33-9308, 34-66703, 39-2484
View Related Activity
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-9303, 34-66654, 39-2483, IC-30008
Rules of Organization; Conduct and Ethics; and Information and Requests
Final Rule
Rules of Organization; Conduct and Ethics; and Information and Requests
34-66502
S7-02-12 Identity Theft Red Flags Rules
Investment Management, Trading and Markets
Proposed Rule
Identity Theft Red Flags Rules
IC-29969
View Related Activity
S7-17-11 Investment Adviser Performance Compensation
Investment Management
Final Rule
Investment Adviser Performance Compensation
IA-3372
View Related Activity
Reporting Line for the Commission's Inspector General
Final Rule
Reporting Line for the Commission's Inspector General
34-66355
S7-31-11 Covered Securities of Bats Exchange, Inc.
Trading and Markets
Final Rule
Covered Securities of Bats Exchange, Inc.
33-9295
View Related Activity
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
Proposed Rule
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
34-66057
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S7-38-11 Prohibition Against Conflicts of Interest in Certain Securitizations
Trading and Markets
Proposed Rule
Prohibition Against Conflicts of Interest in Certain Securitizations
34-66058
View Related Activity
S7-19-10 Temporary Registration of Municipal Advisors
Municipal Securities
Interim Final Rule
Extension of Temporary Registration of Municipal Advisors
34-66020
View Related Activity
S7-41-10 Mine Safety Disclosure
Corporation Finance
Final Rule
Mine Safety Disclosure
33-9286, 34-66019
View Related Activity
S7-38-11 Prohibition Against Conflicts of Interest in Certain Securitizations
Trading and Markets
Proposed Rule
Prohibition Against Conflicts of Interest in Certain Securitizations
34-65942
View Related Activity
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-9281, 34-65803, 39-2481, IC-29868
Reporting Line for the Commission's Ethics Counsel
Final Rule
Reporting Line for the Commission's Ethics Counsel
34-65742
Rescission of Outdated Rules and Forms, and Amendments To Correct References
Final Rule
Rescission of Outdated Rules and Forms, and Amendments To Correct References
33-9273, 34-65686, 39-2480, IA-3310, IC-29855
S7-05-11 Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
Investment Management
Final Rule
Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
IA-3308
View Related Activity
Technical Amendment to Delegation of Authority to the Director of the Division of Trading and Markets
Final Rule
Technical Amendment to Delegation of Authority to the Director of the Division of Trading and Markets
34-65628
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
Proposed Rule
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
34-65545
View Related Activity
S7-40-11 Pay Ratio Disclosure
Corporation Finance
Proposed Rule
Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
34-65543
View Related Activity
Consolidation of the Office of the Executive Director With the Office of the Chief Operating Officer
Final Rule
Consolidation of the Office of the Executive Director With the Office of the Chief Operating Officer
34-65385
S7-38-11 Prohibition Against Conflicts of Interest in Certain Securitizations
Trading and Markets
Proposed Rule
Prohibition Against Conflicts of Interest in Certain Securitizations
34-65355
View Related Activity
S7-10-09 Facilitating Shareholder Director Nominations
Corporation Finance
Final Rule
Facilitating Shareholder Director Nominations
33-9259, 34-65343, IC-29788
View Related Activity
S7-19-11 Privacy Act of 1974: Implementation and Amendment of Exemptions
Information Technology
Final Rule
Privacy Act of 1974: Implementation and Amendment of Exemptions
PA-47
View Related Activity
Amendments To Include New Applicant Types on Form ID
Final Rule
Amendments To Include New Applicant Types on Form ID
33-9256, 34-65244, 39-2478, IC-29780

Last Reviewed or Updated: Sept. 13, 2024