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
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
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S7-23-07 Principal Trades with Certain Advisory Clients
Proposed Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
IA-3483
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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
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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
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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
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S7-13-11 Listing Standards for Compensation Committees
Corporation Finance
Final Rule
Listing Standards for Compensation Committees
33-9330, 34-67220
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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
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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
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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
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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
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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
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S7-17-11 Investment Adviser Performance Compensation
Investment Management
Final Rule
Investment Adviser Performance Compensation
IA-3372
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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
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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
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S7-19-10 Temporary Registration of Municipal Advisors
Municipal Securities
Interim Final Rule
Extension of Temporary Registration of Municipal Advisors
34-66020
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S7-41-10 Mine Safety Disclosure
Corporation Finance
Final Rule
Mine Safety Disclosure
33-9286, 34-66019
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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
34-65942
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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
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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
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S7-40-11 Pay Ratio Disclosure
Corporation Finance
Proposed Rule
Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
34-65543
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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
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S7-10-09 Facilitating Shareholder Director Nominations
Corporation Finance
Final Rule
Facilitating Shareholder Director Nominations
33-9259, 34-65343, IC-29788
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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
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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
S7-35-11 Treatment of Asset-Backed Issuers Under the Investment Company Act
Investment Management
Concept Release
Treatment of Asset-Backed Issuers Under the Investment Company Act
IC-29779
S7-34-11 Companies Engaged in the Business of Acquiring Mortgages and Mortgage-Related Instruments
Investment Management
Concept Release
Companies Engaged in the Business of Acquiring Mortgages and Mortgage-Related Instruments
IC-29778
S7-33-11 Use of Derivatives by Investment Companies Under the Investment Company Act of 1940
Investment Management
Concept Release
Use of Derivatives by Investment Companies Under the Investment Company Act of 1940
IC-29776
S7-24-10 Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Corporation Finance
Final Rule
Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
33-9175A, 34-63741A
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S7-02-11 Suspension of the Duty To File Reports for Classes of Asset-Backed Securities Under Section 15(D) of the Securities Exchange Act of 1934
Corporation Finance
Final Rule
Suspension of the Duty To File Reports for Classes of Asset-Backed Securities Under Section 15(D) of the Securities Exchange Act of 1934
34-65148
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S7-31-11 Covered Securities of Bats Exchange, Inc.
Trading and Markets
Proposed Rule
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
33-9251
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Commission Rules and Forms Related to the FASB's Accounting Standards Codification
Final Rule
Commission Rules and Forms Related to the FASB's Accounting Standards Codification
33-9250, 34-65052, IC-29748
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-9246
S7-18-08 Security Ratings
Corporation Finance, Investment Management, Trading and Markets
Final Rule
Security Ratings
33-9245, 34-64975
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S7-10-10 Large Trader Reporting
Trading and Markets
Final Rule
Large Trader Reporting
34-64976
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S7-08-10 Asset-Backed Securities Disclosure and Registration
Corporation Finance
Proposed Rule
Re-Proposal of Shelf Eligibility Conditions for Asset-Backed Securities
33-9244, 34-64968
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Technical Amendment to Commission Procedures for Filing Applications for Orders for Exemptive Relief Under Section 36 of the Exchange Act
Final Rule
Technical Amendment to Commission Procedures for Filing Applications for Orders for Exemptive Relief Under Section 36 of the Exchange Act
34-64913
S7-30-11 Retail Foreign Exchange Transactions
Trading and Markets
Interim Final Rule
Retail Foreign Exchange Transactions
34-64874
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S7-29-11 Amendment to Rule Filing Requirements for Dually-Registered Clearing Agencies
Trading and Markets
Interim Final Rule
Amendment to Rule Filing Requirements for Dually-Registered Clearing Agencies
34-64832
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S7-02-09 Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps
Corporation Finance
Interim Final Rule
Extension of Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps
33-9232, 34-64800, 39-2476
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S7-26-11 Exemptions for Security-Based Swaps
Corporation Finance
Interim Final Rule
Exemptions for Security-Based Swaps
33-9231, 34-64794, 39-2475
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