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 |
|---|---|---|---|
| Approved Information Collections | |||
| S7-03-02 | Requirements for Arthur Andersen LLP Auditing Clients | ||
| Exemption of Transactions in Certain Options and Futures on Security Indexes From Section 31 of the Exchange Act | |||
| S7-02-02 | Amendments to Rule 31-1, Securities Transactions Exempt From Transaction Fees | ||
| S7-04-01 | Disclosure of Equity Compensation Plan Information | View Related Activity | |
| S7-19-98 | Options Disclosure Document | View Related Activity | |
| S7-26-98 | Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 | ||
| SR-NSCC-2001-14, SR-NYSE-2001-42 | Certifications and Exemptions Under the International Regulations for Preventing Collisions at Sea, 1972; Amendment | ||
| S7-09-00 | Disclosure of Mutual Fund After-Tax Returns | View Related Activity | |
| S7-17-00 | Firm Quote and Trade-Through Disclosure Rules for Options | View Related Activity | |
| Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
|||
| S7-13-01 | Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934 | View Related Activity | |
| S7-11-01 | Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index; Joint Final Rule | View Related Activity | |
| Delegation of Authority to the Director of the Division of Market Regulation | |||
| S7-10-01 | Registration of National Securities Exchanges Pursuant to Section 6(g) of the Securities Exchange Act of 1934 and Proposed Rule Changes of Certain National Securities Exchanges and Limited Purpose National Securities Associations | View Related Activity | |
| Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
|||
| Delegation of Authority to the Director of the Division of Market Regulation | |||
| S7-21-99 | Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities | View Related Activity | |
| S7-12-00 | Electronic Submission of Securities Transaction Information by Exchange Members, Brokers, and Dealers | View Related Activity | |
| S7-03-99 | International Disclosure Standards; Correction | ||
| Delegation of Authority to the Director of the Division of Market Regulation | |||
| S7-06-01 | Electronic Recordkeeping by Investment Companies and Investment Advisers; Correction | View Related Activity | |
| S7-07-01 | Electronic Recordkeeping by Public Utility Holding Companies | View Related Activity | |
| S7-12-01 | 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 | |
| 57-17-99 | Recordkeeping Requirements for Transfer Agents | View Related Activity | |
| S7-17-00 | Firm Quote and Trade-Through Disclosure Rules for Options | View Related Activity | |
| Delegation of Authority to the Director of the Division of Market Regulation | |||
| S7-16-00 | Disclosure of Order Execution and Routing Practices | View Related Activity | |
| S7-11-97 | Investment Company Names | View Related Activity | |
| Technical Amendments to Instructions for Registration Form for Certain Investment Company Securities | View Related Activity | ||
| S7-23-99 | Role of Independent Directors of Investment Companies; Correction | ||
| Delegation of Authority to the Director of the Division of Market Regulation | |||
| S7-30-98 | Integration of Abandoned Offerings | View Related Activity | |
| S7-09-00 | Disclosure of Mutual Fund After-Tax Returns | View Related Activity | |
| Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
|||
| S7-11-97 | Investment Company Names | View Related Activity | |
| S7-23-99 | Role of Independent Directors of Investment Companies | View Related Activity | |
| S7-10-00 | Electronic Filing by Investment Advisers; Amendments to Form ADV; Technical Amendments | ||
| S7-12-98 | Regulation of Alternative Trading Systems; Extension of Temporary Stay of Effectiveness | ||
| 4-434 | Options Price Reporting Authority | View Related Activity | |
| S7-13-00 | Revision of the Commission's Auditor Independence Requirements | View Related Activity | |
| S7-16-00 | Disclosure of Order Execution and Routing Practices | View Related Activity | |
| S7-17-00 | Firm Quote and Trade-Through Disclosure Rules for Options | View Related Activity | |
| S7-26-99 | Delivery of Proxy Statements and Information Statements to Households | ||
| S7-10-00 | Electronic Filing by Investment Advisers; Amendments To Form ADV | View Related Activity | |
| S7-14-99 | Amendments to the Commission's Freedom of Information and Privacy Act Rules and Confidential Treatment Rule 83 | ||
| S7-29-99 | Unlisted Trading Privileges | ||
| S7-7-99 | Financial Statements and Periodic Reports for Related Issuers and Guarantors | View Related Activity | |
| S7-31-99 | Selective Disclosure and Insider Trading | View Related Activity | |
| S7-14-00 | Exemption From Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act for Registered Investment Companies | ||
| S7-6-00 | Privacy of Consumer Financial Information (Regulation S-P) | View Related Activity | |
| Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
Last Reviewed or Updated: Sept. 13, 2024