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 |
|---|---|---|---|
| Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
|||
| S7-22-02 | Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date; Correction | ||
| S7-23-03 | Short Sales | View Related Activity | |
| S7-03-04 | Investment Company Governance | View Related Activity | |
| S7-17-04 | Covered Securities Pursuant to Section 18 of the Securities Act of 1933 | ||
| 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 | |||
| S7-04-04 | Investment Adviser Codes of Ethics | View Related Activity | |
| S7-05-04 | Collection Practices Under Section 31 of the Exchange Act | View Related Activity | |
| S7-08-04 | Disclosure Regarding Approval of Investment Advisory Contracts by Directors of Investment Companies | View Related Activity | |
| S7-21-03 | Alternative Net Capital Requirements for Broker-Dealers That Are Part of Consolidated Supervised Entities | View Related Activity | |
| S7-22-03 | Supervised Investment Bank Holding Companies | View Related Activity | |
| S7-28-03 | Disclosure of Breakpoint Discounts by Mutual Funds | View Related Activity | |
| S7-15-03 | Foreign Bank Exemption from the Insider Lending Prohibition of Exchange Act Section 13(k) | View Related Activity | |
| S7-14-04 | Mandated Electronic Filing for Form ID | View Related Activity | |
| S7-26-03 | Disclosure Regarding Market Timing and Selective Disclosure of Portfolio Holdings | View Related Activity | |
| Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
|||
| Revision of Rule Concerning Holding Period and Disclosure Requirements for Members' and Employees' Investment Company Transactions | View Related Activity | ||
| S7-22-02 | Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date | View Related Activity | |
| S7-25-03 | Adoption of Amendments to the Rules of Practice and Delegations of Authority of the Commission | View Related Activity | |
| S7-51-02 | Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies | View Related Activity | |
| S7-40-02, S7-06-03 | Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports
Corporation Finance |
||
| Delegation of Authority to the Director of the Division of Market Regulation | |||
| S7-13-03 | Recordkeeping Requirements for Registered Transfer Agents | View Related Activity | |
| S7-03-03 | Compliance Programs of Investment Companies and Investment Advisers | View Related Activity | |
| S7-18-00 | Processing Requirements for Cancelled Security Certificates | View Related Activity | |
| S7-14-03 | Disclosure Regarding Nominating Committee Functions and Communications Between Security Holders and Boards of Directors; Republication | View Related Activity | |
| S7-50-02 | Purchases of Certain Equity Securities by the Issuer and Others | View Related Activity | |
| S7-17-02 | Amendments to Investment Company Advertising Rules | View Related Activity | |
| S7-28-02 | Custody of Funds or Securities of Clients by Investment Advisers | View Related Activity | |
| Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
View Related Activity | ||
| Adoption of Filing Fee Account Rule | |||
| S7-48-02 | Broker-Dealer Exemption From Sending Certain Financial Information to Customers | View Related Activity | |
| Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
|||
| S7-10-00 | Electronic Filing by Investment Advisers; Amendments To Form ADV | View Related Activity | |
| S7-47-02 | Certain Research and Development Companies | View Related Activity | |
| S7-04-03 | Rules of Practice | View Related Activity | |
| S7-40-02, S7-06-03 | Certification of Management Investment Company Shareholder Reports and Designation of Certified Shareholder Reports as Exchange Act Periodic Reporting Forms; Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002
Corporation Finance |
||
| S7-39-02 | Improper Influence on Conduct of Audits | View Related Activity | |
| S7-52-02 | Mandated Electronic Filing and Web Site Posting for Forms 3, 4 and 5 | View Related Activity | |
| Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
|||
| S7-25-02 | Customer Identification Programs for Broker-Dealers | View Related Activity | |
| S7-26-02 | Customer Identification Programs for Mutual Funds | View Related Activity | |
| S7-02-03 | Standards Relating to Listed Company Audit Committees | View Related Activity | |
| S7-08-02 | Acceleration of Periodic Report Filing Dates and Disclosure Concerning Web Site Access to Reports; Correction | View Related Activity | |
| S7-44-02, S7-43-02 | Conditions for Use of Non-GAAP Financial Measures | ||
| S7-40-02 | Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002
Corporation Finance |
View Related Activity | |
| S7-49-02 | Strengthening the Commission's Requirements Regarding Auditor Independence
Corporation Finance |
View Related Activity | |
| S7-26-98 | Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 | View Related Activity | |
| S7-20-02 | Customer Protection-Reserves and Custody of Securities; Delegation of Authority to the Director of the Division of Market Regulation | View Related Activity | |
| S7-30-02 | Regulation Analyst Certification | View Related Activity | |
| S7-41-02 | Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934 | View Related Activity | |
| S7-22-01 | Custody of Investment Company Assets With a Securities Depository | View Related Activity | |
| S7-36-02 | Disclosure of Proxy Voting Policies and Proxy Voting Records by Registered Management Investment Companies | View Related Activity | |
| S7-38-02 | Proxy Voting by Investment Advisers | View Related Activity | |
| S7-45-02 | Implementation of Standards of Professional Conduct for Attorneys | View Related Activity | |
| S7-42-02 | Disclosure in Management's Discussion and Analysis About Off-Balance Sheet Arrangements and Aggregate Contractual Obligations | View Related Activity | |
| S7-49-02 | Strengthening the Commission's Requirements Regarding Auditor Independence
Corporation Finance |
View Related Activity | |
| S7-33-02, S7-40-02 | Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002
Corporation Finance |
||
| S7-46-02 | Retention of Records Relevant to Audits and Reviews | View Related Activity | |
| S7-40-02 | Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002
Corporation Finance |
View Related Activity | |
| S7-43-02 | Conditions for Use of Non-GAAP Financial Measures | View Related Activity | |
| S7-44-02 | Insider Trades During Pension Fund Blackout Periods | View Related Activity | |
| S7-13-02 | Transactions of Investment Companies With Portfolio and Subadviser Affiliates | View Related Activity | |
| S7-29-02 | Exemption for Standardized Options From Provisions of the Securities Act of 1933 and From the Registration Requirements of the Securities Exchange Act of 1934 | View Related Activity | |
| S7-18-02 | Repeal of the Trade-Through Disclosure Rules for Options | View Related Activity | |
| S7-10-02 | Exemption for Certain Investment Advisers Operating Through the Internet | View Related Activity | |
| S7-07-02 | Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Annuity Contracts | View Related Activity | |
| Delegation of Authority to the Director of the Division of Market Regulation | |||
| S7-17-01 | Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products | View Related Activity | |
| S7-19-02 | Confirmation Requirements for Transactions of Security Futures Products Effected in Futures Accounts | View Related Activity | |
| S7-08-02 | Acceleration of Periodic Report Filing Dates and Disclosure Concerning Web Site Access to Reports | View Related Activity | |
| S7-21-02 | Certification of Disclosure in Companies' Quarterly and Annual Reports | View Related Activity | |
| Delegation of Authority to the General Counsel of the Commission | |||
| S7-31-02 | Ownership Reports and Trading by Officers, Directors and Principal Security Holders | View Related Activity | |
| S7-16-01 | Customer Margin Rules Relating to Security Futures | View Related Activity | |
| S7-21-01 | Investment Company Mergers | View Related Activity | |
| S7-14-02 | Assessments on Security Futures Transactions and Fees on Sales of Securities Resulting from Physical Settlement of Security Futures Pursuant to Section 31 of the Exchange Act | View Related Activity | |
| Technical Amendments to Rules and Forms Due to the National Securities Markets Improvement Act of 1996 and the Gramm-Leach-Bliley Act | |||
| S7-15-01 | Cash Settlement and Regulatory Halt Requirements for Security Futures Products | View Related Activity | |
| S7-18-01 | Mandated EDGAR Filing For Foreign Issuers | View Related Activity | |
| Delegation of Authority to the Secretary of the Commission | View Related Activity | ||
| S7-20-00 | Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate | View Related Activity |
Last Reviewed or Updated: Sept. 13, 2024