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
S7-06-11 Registration and Regulation of Security-Based Swap Execution Facilities
Trading and Markets
Proposed Rule
Registration and Regulation of Security-Based Swap Execution Facilities
34-63825
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S7-42-10 Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
Proposed Rule
Disclosure of Payments by Resource Extraction Issuers
34-63795
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S7-40-10 Conflict Minerals
Corporation Finance
Proposed Rule
Conflict Minerals
34-63793
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S7-05-11 Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
Investment Management
Proposed Rule
Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
IA-3145
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S7-31-10 Shareholder Approval of Executive Compensation and Golden Parachute Compensation
Corporation Finance
Final Rule
Shareholder Approval of Executive Compensation and Golden Parachute Compensation
33-9178, 34-63768
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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
33-9175, 34-63741
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S7-26-10 Issuer Review of Assets in Offerings of Asset-Backed Securities
Corporation Finance
Final Rule
Issuer Review of Assets in Offerings of Asset-Backed Securities
33-9176, 34-63742
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S7-03-11 Trade Acknowledgment and Verification of Security-Based Swap Transactions
Trading and Markets
Proposed Rule
Trade Acknowledgment and Verification of Security-Based Swap Transactions
34-63727
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Rules of Practice
Final Rule
Rules of Practice
34-63723
Delegation of Authority to the Chief Accountant
Final Rule
Delegation of Authority to the Chief Accountant
34-63699
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
Proposed 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
34-63652
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Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-9169, 34-63646, 39-2473, IC-29547
S7-23-07 Principal Trades with Certain Advisory Clients
Final Rule
Principal Trades with Certain Advisory Clients
IA-3128
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S7-10-00 Amendments to Form ADV
Final Rule
Amendments To Form ADV; Extension of Compliance Date
IA-3129
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S7-45-10 Registration of Municipal Advisors (Corrected to conform to Federal Register version)
Municipal Securities
Proposed Rule
Registration of Municipal Advisors
34-63576, 34-67901
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S7-18-10 Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
Corporation Finance
Final Rule
Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
33-9165
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S7-43-10 End-User Exception to Mandatory Clearing of Security-Based Swaps
Trading and Markets
Proposed Rule
End-User Exception to Mandatory Clearing of Security-Based Swaps
34-63556
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S7-42-10 Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
Proposed Rule
Disclosure of Payments by Resource Extraction Issuers
34-63549
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S7-40-10 Conflict Minerals
Corporation Finance
Proposed Rule
Conflict Minerals
34-63547
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S7-41-10 Mine Safety Disclosure
Corporation Finance
Proposed Rule
Mine Safety Disclosure
33-9164, 34-63548
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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
Proposed 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
34-63557
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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
Proposed Rule
Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant"
34-63452
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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-3118
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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
33-9158, 34-63348, 39-2472
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S7-35-10 Security-Based Swap Data Repository Registration, Duties, and Core Principles
Trading and Markets
Proposed Rule
Security-Based Swap Data Repository Registration, Duties, and Core Principles; Correction
34-63347
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S7-34-10 Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Trading and Markets
Proposed Rule
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
34-63346
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S7-37-10 Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers
Investment Management
Proposed Rule
Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers
IA-3111
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S7-08-09 Amendments to Regulation SHO
Trading and Markets
Final Rule
Regulation SHO
34-63247
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S7-33-10 Securities Whistleblower Incentives and Protections
Proposed Rule
Proposed Rules for Implementing the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934
34-63237
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S7-32-10 Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers
Trading and Markets
Proposed Rule
Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps
34-63236, 34-93784
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S7-03-10 Risk Management Controls for Brokers or Dealers With Market Access
Trading and Markets
Final Rule
Risk Management Controls for Brokers or Dealers With Market Access
34-63241
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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
Proposed Rule
33-9148A Correction
33-9148A
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S7-30-10 Reporting of Proxy Votes on Executive Compensation and Other Matters
Investment Management
Proposed Rule
Reporting of Proxy Votes on Executive Compensation and Other Matters
34-63123, IC-29463
S7-31-10 Shareholder Approval of Executive Compensation and Golden Parachute Compensation
Corporation Finance
Proposed Rule
Shareholder Approval of Executive Compensation and Golden Parachute Compensation
33-9153, 34-63124
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S7-27-10 Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges With Respect to Security-Based Swaps Under Regulation MC
Trading and Markets
Proposed Rule
Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges With Respect to Security-Based Swaps Under Regulation MC
34-63107
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S7-14-08 Indexed Annuities And Certain Other Insurance Contracts
Investment Management
Final Rule
Indexed Annuities
33-9152
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S7-28-10 Reporting of Security-Based Swap Transaction Data
Trading and Markets
Interim Final Rule
Reporting of Security-Based Swap Transaction Data
34-63094
S7-26-10 Issuer Review of Assets in Offerings of Asset-Backed Securities
Corporation Finance
Proposed Rule
Issuer Review of Assets in Offerings of Asset-Backed Securities
33-9150, 34-63091
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Technical Amendments to Forms N-CSR and N-SAR in Connection With the Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010
Final Rule
Technical Amendments to Forms N-CSR and N-SAR in Connection With the Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010
34-63087, IC-29461
S7-25-10 Family Offices
Investment Management
Proposed Rule
Family Offices
IA-3098
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Delegation of Authority to the Director of the Division of Trading and Markets
Final Rule
Delegation of Authority to the Director of the Division of Trading and Markets
34-63049
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
Proposed Rule
Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
33-9148, 34-63029
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S7-23-10 Removal From Regulation FD of the Exemption for Credit Rating Agencies
Corporation Finance
Final Rule
Removal From Regulation FD of the Exemption for Credit Rating Agencies
33-9146, 34-63003, IC-29448
Commission Guidance Regarding Auditing, Attestation, and Related Professional Practice Standards Related To Brokers and Dealers
Interpretive Release
Commission Guidance Regarding Auditing, Attestation, and Related Professional Practice Standards Related To Brokers and Dealers
34-62991
Commission Guidance on Presentation of Liquidity and Capital Resources Disclosures in Management's Discussion and Analysis
Corporation Finance
Interpretive Release
Commission Guidance on Presentation of Liquidity and Capital Resources Disclosures in Management's Discussion and Analysis
33-9144, 34-62934, FR-83
S7-22-10 Short-Term Borrowings Disclosure
Corporation Finance
Proposed Rule
Short-Term Borrowings Disclosure
33-9143, 34-62932
Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers
Final Rule
Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers
33-9142, 34-62914
Rescission of Rules Pertaining to the Payment of Bounties for Information Leading to the Recovery of Civil Penalties for Insider Trading
Final Rule
Rescission of Rules Pertaining to the Payment of Bounties for Information Leading to the Recovery of Civil Penalties for Insider Trading
34-62921
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-9140, 34-62873, 39-2471, IC-29413
S7-19-10 Temporary Registration of Municipal Advisors
Municipal Securities
Interim Final Rule
Temporary Registration of Municipal Advisors
34-62824
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Delegation of Authority to the Director of Its Division of Enforcement
Final Rule
Delegation of Authority to the Director of Its Division of Enforcement
34-62821, 34-62690
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S7-18-10 Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
Corporation Finance
Proposed Rule
Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
33-9137
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S7-10-09 Facilitating Shareholder Director Nominations
Corporation Finance
Final Rule
Facilitating Shareholder Director Nominations
33-9136, 34-62764, IC-29384
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S7-16-10 Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act
Trading and Markets
Concept Release
Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act
34-62717
Delegation of Authority to the Director of Its Division of Enforcement
Final Rule
Delegation of Authority to the Director of Its Division of Enforcement
34-62690, 34-62821
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S7-10-00 Electronic Filing by Investment Advisers; Amendments To Form ADV; Technical Amendments
Final Rule
Amendments to Form ADV
IA-3060
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Amendments to the Informal and Other Procedures, Rules of Organization and Program Management, and Rules of Practice; Interim Commission Review of Public Company Accounting Oversight Board Inspection Reports and Regulation P
Final Rule
Amendments to the Informal and Other Procedures, Rules of Organization and Program Management, and Rules of Practice; Interim Commission Review of Public Company Accounting Oversight Board Inspection Reports and Regulation P
34-62575
S7-15-10 Mutual Fund Distribution Fees; Confirmations
Investment Management
Proposed Rule
Mutual Fund Distribution Fees; Confirmations
33-9128, 34-62544, IC-29367
Technical Amendment to Rules of Organization; Conduct and Ethics; and Information and Requests
Final Rule
Technical Amendment to Rules of Organization; Conduct and Ethics; and Information and Requests
34-62520
S7-14-10 Concept Release on the U.S. Proxy System
Corporation Finance
Concept Release
Concept Release on the U.S. Proxy System
34-62495, IA-3052, IC-29340
Adoption of Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission and Revisions to the Commission's Ethics Rules
Final Rule
Adoption of Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission and Revisions to the Commission's Ethics Rules
34-62501
S7-21-09 Elimination of Flash Order Exception From Rule 602 of Regulation NMS
Trading and Markets
Proposed Rule
Elimination of Flash Order Exception From Rule 602 of Regulation NMS
34-62445
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S7-18-09 Political Contributions by Certain Investment Advisers
Investment Management
Final Rule
Political Contributions by Certain Investment Advisers
IA-3043
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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
33-9126, 34-62300, IC-29301, 33-9570
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