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
S7-10-99 Offer and Sale of Securities to Canadian Tax-Deferred Retirement Savings Accounts
Final Rule
Offer and Sale of Securities to Canadian Tax-Deferred Retirement Savings Accounts
33-7860, 33-7656, 34-42905, IC-24491, International Series Release No.1226
View Related Activity
S7-11-99 Revised Transfer Agent Form and Related Rule
Final Rule
Revised Transfer Agent Form and Related Rule
34-42892, 34-41204
View Related Activity
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-7858, 34-42789, 35-27177, 39-2385, IC-24455
S7-15-99 Custody of Investment Company Assets Outside the United States
Final Rule
Custody of Investment Company Assets Outside the United States
IC-24424, IS-1221
S7-05-00 Rulemaking for EDGAR System
Final Rule
Rulemaking for EDGAR System
33-7855, 34-42712, 35-27172, 39-2384, IC-24400
View Related Activity
S7-12-98 Regulation of Alternative Trading Systems; Suspension (Extension of Effective date to December 1, 2000)
Final Rule
Regulation of Alternative Trading Systems; Suspension (Extension of Effective date to December 1, 2000)
3442603A
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-7789, 34-42327, 35-27123, 39-2380, IC-24235
S7-22-99 Audit Committee Disclosure
Final Rule
Audit Committee Disclosure
34-42266, 34-41987
View Related Activity
4-208 Adoption of Amendments to the Intermarket Trading System Plan To Expand the ITS/Computer Assisted Execution System Linkage to All Listed Securities
Final Rule
Adoption of Amendments to the Intermarket Trading System Plan To Expand the ITS/Computer Assisted Execution System Linkage to All Listed Securities
34-42212
S7-22-98 Temporary Exemption for Certain Investment Advisers
Final Rule
Temporary Exemption for Certain Investment Advisers
IC-24177, IA-1846, IC-23325
View Related Activity
S7-27-97 Delivery of Disclosure Documents to Households
Final Rule
Delivery of Disclosure Documents to Households
33-7766, 34-42101, IC-24123, 33-7475
View Related Activity
S7-29-98 Cross-Border Tender and Exchange Offers, Business Combinations and Rights Offerings
Final Rule
Cross-Border Tender and Exchange Offers, Business Combinations and Rights Offerings
33-7759, 34-42054
S7-28-98 Regulation of Takeovers and Security Holder Communications
Final Rule
Regulation of Takeovers and Security Holder Communications
33-7760, 34-42055, 33-7607
View Related Activity
Effective Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-7752, 34-41986, 35-27081, 39-2376, IC-24075
S7-3-99 International Disclosure Standards
Final Rule
International Disclosure Standards
34-41936, 33-7637
View Related Activity
S7-27-98 Purchases of Certain Equity Securities by the Issuer and Others
Final Rule
Purchases of Certain Equity Securities by the Issuer and Others
34-41905
S7-25-95 Personal Investment Activities of Investment Company Personnel
Final Rule
Personal Investment Activities of Investment Company Personnel
33-7728, IC-23958, IA-1815
S7-8-99 Year 2000 Operational Capability Requirements for Registered Broker-Dealers and Transfer Agents
Final Rule
Year 2000 Operational Capability Requirements for Registered Broker-Dealers and Transfer Agents
34-41661
S7-16-99 Broker-Dealer Registration and Reporting
Final Rule
Broker-Dealer Registration and Reporting
34-41594
Delegation of Authority to Cancel Registration of Certain Investment Advisers
Final Rule
Delegation of Authority to Cancel Registration of Certain Investment Advisers
IA-1804
S7-4-99 Exemption of the Securities of the Kingdom of Sweden Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
Final Rule
Exemption of the Securities of the Kingdom of Sweden Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
34-41453
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-7685, 34-41411, 35-27026, 39-2373, IC-23844
S7-9-99 Rulemaking for EDGAR System
Final Rule
Rulemaking for EDGAR System
33-7684, : 34-41410, IC-23843
S7-17-96 Broker-Dealer Registration and Reporting
Final Rule
Broker-Dealer Registration and Reporting
34-41356
S7-23-95 Custody of Investment Company Assets Outside the United States; Extension of Compliance Date
Final Rule
Custody of Investment Company Assets Outside the United States; Extension of Compliance Date
IC-23814, IS-1193
S7-12-98 Regulation of Alternative Trading Systems; Technical Amendment
Final Rule
Regulation of Alternative Trading Systems; Technical Amendment
34-41297
S7-31-98 Deregistration of Certain Registered Investment Companies
Final Rule
Deregistration of Certain Registered Investment Companies
IC-23786, IC-23588
View Related Activity
S7-2-99 Transition Rule for Ohio Investment Advisers
Final Rule
Transition Rule for Ohio Investment Advisers
IA-1794, IA-1787
View Related Activity
S7-12-98 Regulation of Exchanges and Alternative Trading Systems. Correction;
Final Rule
Regulation of Exchanges and Alternative Trading Systems. Correction;
3440760a
S7-15-98 Exemption of the Securities of the Kingdom of Belgium Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
Final Rule
Exemption of the Securities of the Kingdom of Belgium Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
34-41116, International Series Release No. 118, 34-40077
View Related Activity
Revision of Rule 504 of Regulation D, the "Seed Capital' Exemption
Final Rule
Revision of Rule 504 of Regulation D, the "Seed Capital' Exemption
33-7644, S7-14-98, 33-7541
View Related Activity
S7-2-98 Registration of Securities on Form S-8
Final Rule
Registration of Securities on Form S-8
33-7646, 34-41109
S7-5-98 Rule 701Exempt Offerings Pursuant to Compensatory Arrangements
Final Rule
Rule 701Exempt Offerings Pursuant to Compensatory Arrangements
33-7645, 33-7511
View Related Activity
S7-23-95 Custody of Investment Company Assets Outside the United States
Final Rule
Custody of Investment Company Assets Outside the United States
IC-23670, IS-1179
S7-18-97 Rulemaking for EDGAR System
Final Rule
Rulemaking for EDGAR System
34-40934, IC-23640
S7-31-96, S7-7-86 Technical Amendments Under the Investment Advisers Act of 1940
Final Rule
Technical Amendments Under the Investment Advisers Act of 1940
IA-1780
S7-28-97 Technical Changes to Schedule I to Form ADV
Final Rule
Technical Changes to Schedule I to Form ADV
IA-1733A
View Related Activity
S7-17-98 Segment Reporting
Final Rule
Segment Reporting
33-7620, 33-7549
View Related Activity
S7-12-98 Regulation of Exchanges and Alternative Trading Systems
Final Rule
Regulation of Exchanges and Alternative Trading Systems
34-40760, 34-39884
View Related Activity
S7-13-98 Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products
Final Rule
Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products
34-40761
S7-30-97 OTC Derivatives Dealers; Correction
Final Rule
OTC Derivatives Dealers; Correction
34-40594a, 34-39454, 34-39455, 34-39456, 34-39704, 34-40594
View Related Activity
S7-19-97 Update of Registration Form to Reflect Fee Rate Change for Registration of Certain Investment Company Securities
Final Rule
Update of Registration Form To Reflect Fee Rate Change for Registration of Certain Investment Company Securities
33-7608, 33-7478
View Related Activity
S7-23-98 Rules of Practice
Final Rule
Rules of Practice
34-40636

Last Reviewed or Updated: Sept. 13, 2024