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.

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.

Last Reviewed or Updated: Sept. 13, 2024

Rules & Regulations

Enforcement & Litigation

Compliance

Rulemaking Activity

Issue Date	File Number	Rulemaking	Status
Nov. 1, 2005		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-8633, 34-52708, 35-28053, 39-2440, IC-27139
Oct. 13, 2005		Adoption of Amendment to Delegation of Authority to Secretary of the Commission	Final Rule Adoption of Amendment to Delegation of Authority to Secretary of the Commission 34-52602
Sept. 22, 2005	S7-40-02, S7-06-03	Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports of Non-Accelerated Filers and Foreign Private Issuers Corporation Finance	Final Rule Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports of Companies That Are Not Accelerated Filers 33-8618, 34-52492
Sept. 21, 2005		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-8612, 34-52477, 35-28033, 39-2439, IC-27070
Sept. 12, 2005	S7-25-99	Certain Broker-Dealers Deemed Not To Be Investment Advisers, Extension of Compliance Date	Final Rule Certain Broker-Dealers Deemed Not To Be Investment Advisers, Extension of Compliance Date 34-52407, IA-2426 View Related Activity
Aug. 29, 2005	S7-10-04	Regulation NMS	Final Rule Regulation NMS 34-52355 View Related Activity
Aug. 3, 2005	S7-27-04	Ownership Reports and Trading by Officers, Directors and Principal Security Holders	Final Rule Ownership Reports and Trading by Officers, Directors and Principal Security Holders 33-8600, 34-52202, 35-28013, IC-27025 View Related Activity
Aug. 3, 2005	S7-02-04	Amendments to the Penny Stock Rules	Final Rule Amendments to the Penny Stock Rules 34-51983A View Related Activity
Aug. 2, 2005	S7-10-04	Regulation NMS	Final Rule Regulation NMS 34-52196 View Related Activity
July 25, 2005	S7-11-01	Technical Amendments to Rules Setting Forth the Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index	Final Rule Technical Amendments to Rules Setting Forth the Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index 34-52115 View Related Activity
July 19, 2005	S7-38-04	Securities Offering Reform Corporation Finance	Final Rule Securities Offering Reform 33-8591, 34-52056, IC-26993, FR-75 View Related Activity
July 18, 2005	S7-16-04	Rulemaking for EDGAR System	Final Rule Rulemaking for EDGAR System 33-8590, 34-52052, 35-28002, 39-2437, IC-26990 View Related Activity
July 15, 2005	S7-19-04	Use of Form S-8, Form 8-K, and Form 20-F by Shell Companies	Final Rule Use of Form S-8, Form 8-K, and Form 20-F by Shell Companies 33-8587, 34-52038, International Series Rel. No. 1293 View Related Activity
July 14, 2005	S7-25-04	Removal From Listing and Registration of Securities Pursuant to Section 12(d) of the Securities Exchange Act of 1934	Final Rule Removal From Listing and Registration of Securities Pursuant to Section 12(d) of the Securities Exchange Act of 1934 34-52029 View Related Activity
July 7, 2005	S7-02-04	Amendments to the Penny Stock Rules	Final Rule Amendments to the Penny Stock Rules 34-51983 View Related Activity
June 30, 2005	S7-03-04	Investment Company Governance	Final Rule Investment Company Governance IC-26985, IC-26323, IC-27395 View Related Activity
June 9, 2005	S7-10-04	Regulation NMS	Final Rule Regulation NMS 34-51808 View Related Activity
May 19, 2005		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-8573, 34-51710, 35-27970, 39-2436, IC-26872
April 15, 2005		Amendment to Rule 4-01(a) of Regulation S-X Regarding the Compliance Date for Statement of Financial Accounting Standards No. 123 (Revised 2004), Share-Based Payment	Final Rule Amendment to Rule 4-01(a) of Regulation S-X Regarding the Compliance Date for Statement of Financial Accounting Standards No. 123 (Revised 2004), Share-Based Payment 33-8568, 34-51558, 35-27959, IC-26833, FR-74
April 12, 2005	S7-15-04	First-Time Application of International Financial Reporting Standards	Final Rule First-Time Application of International Financial Reporting Standards 33-8567, 34-51535, IS-1285 View Related Activity
April 12, 2005	S7-25-99	Certain Broker-Dealers Deemed Not To Be Investment Advisers	Final Rule Certain Broker-Dealers Deemed Not To Be Investment Advisers 34-51523, IA-2376 View Related Activity
March 11, 2005	S7-11-04	Mutual Fund Redemption Fees	Final Rule Mutual Fund Redemption Fees IC-26782 View Related Activity
March 2, 2005	S7-40-02, S7-06-03	Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports of Non-Accelerated Filers and Foreign Private Issuers Corporation Finance	Final Rule Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports of Non-Accelerated Filers and Foreign Private Issuers 33-8545, 34-51293
Feb. 3, 2005		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-8528, 34-51128, 35-27943, 39-2431, IC-26746
Feb. 3, 2005	S7-35-04	XBRL Voluntary Financial Reporting Program on the EDGAR System	Final Rule XBRL Voluntary Financial Reporting Program on the EDGAR System 33-8529, 34-51129, 35-27944, 39-2432, IC-26747 View Related Activity
Jan. 6, 2005	S7-25-99	Certain Broker-Dealers Deemed Not To Be Investment Advisers	Final Rule Certain Broker-Dealers Deemed Not To Be Investment Advisers 34-50979 View Related Activity
Dec. 7, 2004	S7-24-04	Issuer Restrictions or Prohibitions on Ownership by Securities Intermediaries	Final Rule Issuer Restrictions or Prohibitions on Ownership by Securities Intermediaries 34-50758A View Related Activity
Dec. 2, 2004	S7-33-04	Disposal of Consumer Report Information	Final Rule Disposal of Consumer Report Information 34-50781 View Related Activity
Nov. 17, 2004	S7-32-04	Temporary Postponement of the Final Phase-In Period for Acceleration of Periodic Report Filing Dates	Final Rule Temporary Postponement of the Final Phase-In Period for Acceleration of Periodic Report Filing Dates 33-8507, 34-50684 View Related Activity
Oct. 4, 2004	S7-18-04	Proposed Rule Changes of Self-Regulatory Organizations	Final Rule Proposed Rule Changes of Self-Regulatory Organizations 34-50486 View Related Activity
Sept. 2, 2004	S7-09-04	Prohibition on the Use of Brokerage Commissions To Finance Distribution	Final Rule Prohibition on the Use of Brokerage Commissions To Finance Distribution IC-26591 View Related Activity
Aug. 31, 2004	S7-34-02	Rule 15c3-3 Reserve Requirements for Margin Related to Security Futures Products	Final Rule Rule 15c3-3 Reserve Requirements for Margin Related to Security Futures Products 34-50295 View Related Activity
Aug. 23, 2004	S7-12-04	Disclosure Regarding Portfolio Managers of Registered Management Investment Companies	Final Rule Disclosure Regarding Portfolio Managers of Registered Management Investment Companies 33-8458, 34-50227, IC-26533 View Related Activity
Aug. 9, 2004	S7-51-02	Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies	Final Rule Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies; Technical Amendment 33-8393A, 34-49333A, IC-26372A, 33-8164 View Related Activity
Aug. 6, 2004		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-8454, 34-50160, 35-27881, 39-2424, IC-26525
Aug. 4, 2004	S7-22-02	Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date; Correction	Final Rule Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date; Correction 33-8400A, 34-49424A
July 28, 2004	S7-23-03	Short Sales	Final Rule Short Sales 34-50103 View Related Activity
July 27, 2004	S7-03-04	Investment Company Governance	Final Rule Investment Company Governance IC-26520 View Related Activity
July 14, 2004	S7-17-04	Covered Securities Pursuant to Section 18 of the Securities Act of 1933	Final Rule Covered Securities Pursuant to Section 18 of the Securities Act of 1933 33-8442
July 7, 2004		Delegations of Authority to the Director of the Division of Market Regulation, the Director of the Division of Investment Management and the Director of the Office of Compliance Inspections and Examinations	Final Rule Delegations of Authority to the Director of the Division of Market Regulation, the Director of the Division of Investment Management and the Director of the Office of Compliance Inspections and Examinations 34-49973, IC-26493

More in this Section

Rulemaking Activity