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

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Rulemaking Activity

Issue Date	File Number	Rulemaking	Status
Nov. 19, 2010	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 View Related Activity
Nov. 19, 2010	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 View Related Activity
Nov. 19, 2010	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 View Related Activity
Nov. 4, 2010	S7-08-09	Amendments to Regulation SHO Trading and Markets	Final Rule Regulation SHO 34-63247 View Related Activity
Nov. 3, 2010	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 View Related Activity
Nov. 3, 2010	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 View Related Activity
Nov. 3, 2010	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 View Related Activity
Oct. 19, 2010	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 View Related Activity
Oct. 18, 2010	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
Oct. 18, 2010	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 View Related Activity
Oct. 14, 2010	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 View Related Activity
Oct. 14, 2010	S7-14-08	Indexed Annuities And Certain Other Insurance Contracts Investment Management	Final Rule Indexed Annuities 33-9152 View Related Activity
Oct. 13, 2010	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
Oct. 13, 2010	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 View Related Activity
Oct. 13, 2010		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
Oct. 12, 2010	S7-25-10	Family Offices Investment Management	Proposed Rule Family Offices IA-3098 View Related Activity
Oct. 6, 2010		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
Oct. 4, 2010	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 View Related Activity
Sept. 29, 2010	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
Sept. 24, 2010		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
Sept. 17, 2010		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
Sept. 17, 2010	S7-22-10	Short-Term Borrowings Disclosure Corporation Finance	Proposed Rule Short-Term Borrowings Disclosure 33-9143, 34-62932
Sept. 15, 2010		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
Sept. 15, 2010		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
Sept. 9, 2010		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
Sept. 1, 2010	S7-19-10	Temporary Registration of Municipal Advisors Municipal Securities	Interim Final Rule Temporary Registration of Municipal Advisors 34-62824 View Related Activity
Sept. 1, 2010		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 View Related Activity
Aug. 30, 2010	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 View Related Activity
Aug. 25, 2010	S7-10-09	Facilitating Shareholder Director Nominations Corporation Finance	Final Rule Facilitating Shareholder Director Nominations 33-9136, 34-62764, IC-29384 View Related Activity
Aug. 13, 2010	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
Aug. 11, 2010		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 View Related Activity
July 28, 2010	S7-10-00	Electronic Filing by Investment Advisers; Amendments To Form ADV; Technical Amendments	Final Rule Amendments to Form ADV IA-3060 View Related Activity
July 26, 2010		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
July 21, 2010	S7-15-10	Mutual Fund Distribution Fees; Confirmations Investment Management	Proposed Rule Mutual Fund Distribution Fees; Confirmations 33-9128, 34-62544, IC-29367
July 16, 2010		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
July 14, 2010	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
July 14, 2010		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
July 2, 2010	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 View Related Activity
July 1, 2010	S7-18-09	Political Contributions by Certain Investment Advisers Investment Management	Final Rule Political Contributions by Certain Investment Advisers IA-3043 View Related Activity
June 16, 2010	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 View Related Activity

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