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.

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.

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Rulemaking Activity

Issue Date	File Number	Rulemaking	Status
June 30, 2011		Delegation of Authority to the Director of Its Division of Enforcement	Final Rule Delegation of Authority to the Director of Its Division of Enforcement 34-64778
June 29, 2011	S7-25-11	Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants Trading and Markets	Proposed Rule Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants 34-64766 View Related Activity
June 27, 2011	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 34-64748 View Related Activity
June 22, 2011	S7-25-10	Family Offices Investment Management	Final Rule Family Offices IA-3220 View Related Activity
June 22, 2011	S7-36-10	Rules Implementing Amendments to the Investment Advisers Act of 1940 Investment Management	Final Rule Rules Implementing Amendments to the Investment Advisers Act of 1940 IA-3221 View Related Activity
June 22, 2011	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	Final 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-3222 View Related Activity
June 15, 2011	S7-23-11	Broker-Dealer Reports Trading and Markets	Proposed Rule Broker-Dealer Reports 34-64676 View Related Activity
June 13, 2011		Delegation of Authority to the Director of Its Division of Enforcement	Final Rule Delegation of Authority to the Director of Its Division of Enforcement 34-64649
June 9, 2011	S7-22-11	Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies Corporation Finance	Proposed Rule Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies 33-9222 View Related Activity
June 8, 2011	S7-10-11	Beneficial Ownership Reporting Requirements and Security-Based Swaps Corporation Finance	Final Rule Beneficial Ownership Reporting Requirements and Security-Based Swaps 34-64628 View Related Activity
June 6, 2011	S7-14-11	Credit Risk Retention Corporation Finance	Proposed Rule Credit Risk Retention 34-64603 View Related Activity
June 1, 2011	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	Proposed Rule Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping 33-9204A, 34-64372A View Related Activity
May 25, 2011	S7-21-11	Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings Corporation Finance	Proposed Rule Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings 33-9211 View Related Activity
May 25, 2011	S7-33-10	Securities Whistleblower Incentives and Protections	Final Rule Securities Whistleblower Incentives and Protections 34-64545 View Related Activity
May 18, 2011	S7-19-11	Privacy Act of 1974: Implementation and Amendment of Exemptions Information Technology	Proposed Rule Privacy Act of 1974: Implementation and Amendment of Exemptions PA-45 View Related Activity
May 18, 2011	S7-18-11	Nationally Recognized Statistical Rating Organizations Trading and Markets	Proposed Rule Nationally Recognized Statistical Rating Organizations 34-64514 View Related Activity
May 13, 2011		Amendment to Procedures for Holding Funds in Dormant Filing Fee Accounts	Final Rule Amendment to Procedures for Holding Funds in Dormant Filing Fee Accounts 33-9208, 34-64495, IC-29670
May 10, 2011	S7-17-11	Investment Adviser Performance Compensation Investment Management	Proposed Rule Investment Adviser Performance Compensation IA-3198 View Related Activity
April 29, 2011	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	Proposed Rule Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping 33-9204 View Related Activity
April 29, 2011	S7-13-11	Listing Standards for Compensation Committees Corporation Finance	Proposed Rule Listing Standards for Compensation Committees 33-9203, 34-64366 View Related Activity
April 27, 2011	S7-15-11	Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 Trading and Markets	Proposed Rule Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 34-64352 View Related Activity
April 7, 2011		Technical Amendment to Rule 19b-4: Filings With Respect to Proposed Rule Changes by Self-Regulatory Organizations	Final Rule Technical Amendment to Rule 19b-4: Filings With Respect to Proposed Rule Changes by Self-Regulatory Organizations 34-64251
April 4, 2011		Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission	Final Rule Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission 34-64172
March 30, 2011	S7-14-11	Credit Risk Retention Corporation Finance	Proposed Rule Credit Risk Retention 34-64148 View Related Activity
March 30, 2011	S7-13-11	Listing Standards for Compensation Committees Corporation Finance	Proposed Rule Listing Standards for Compensation Committees 33-9199 View Related Activity
March 29, 2011	S7-12-11	Incentive-Based Compensation Arrangements Investment Management, Trading and Markets	Proposed Rule Incentive-Based Compensation Arrangements 34-64140
March 18, 2011	S7-11-11	Lost Securityholders and Unresponsive Payees Trading and Markets	Proposed Rule Rule 17Ad-17; Transfer Agents', Brokers', and Dealers' Obligation To Search for Lost Securityholders; Paying Agents' Obligation To Search for Missing Securityholders 34-64099 View Related Activity
March 17, 2011	S7-10-11	Beneficial Ownership Reporting Requirements and Security-Based Swaps Corporation Finance	Proposed Rule Beneficial Ownership Reporting Requirements and Security-Based Swaps 34-64087 View Related Activity
March 3, 2011	S7-07-11	Purchase of Certain Debt Securities by Business and Industrial Development Companies Relying on an Investment Company Act Exemption Investment Management	Proposed Rule References to Credit Ratings in Certain Investment Company Act Rules and Forms 33-9193, IC-29592 View Related Activity
March 3, 2011	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 34-64018 View Related Activity
Feb. 23, 2011		Technical Amendments to Rule 17a-8: Financial Recordkeeping and Reporting of Currency and Foreign Transactions	Final Rule Technical Amendments to Rule 17a-8: Financial Recordkeeping and Reporting of Currency and Foreign Transactions 34-63949
Feb. 9, 2011	S7-18-08	Security Ratings Corporation Finance, Investment Management, Trading and Markets	Proposed Rule Security Ratings 33-9186, 34-63874 View Related Activity
Feb. 2, 2011	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 View Related Activity
Jan. 28, 2011	S7-42-10	Disclosure of Payments by Resource Extraction Issuers Corporation Finance	Proposed Rule Disclosure of Payments by Resource Extraction Issuers 34-63795 View Related Activity
Jan. 28, 2011	S7-40-10	Conflict Minerals Corporation Finance	Proposed Rule Conflict Minerals 34-63793 View Related Activity
Jan. 26, 2011	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 View Related Activity
Jan. 25, 2011	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 View Related Activity
Jan. 20, 2011	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 View Related Activity
Jan. 20, 2011	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 View Related Activity
Jan. 14, 2011	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 View Related Activity

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