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
S7-10-05, S7-03-07, S7-29-98 Internet Availability of Proxy Materials; Regulation of Takeovers and Security Holder Communications; Cross-Border Tender and Exchange Offers, Business Combinations and Rights Offerings; Certain Other Related Rule Corrections
Corporation Finance
Final Rule
Internet Availability of Proxy Materials; Regulation of Takeovers and Security Holder Communications; Cross-Border Tender and Exchange Offers, Business Combinations and Rights Offerings; Certain Other Related Rule Corrections
34-55146A, IC-27671A, 34-56135A, IC-27911A, 33-7759A, 33-7760A, 34-42054A, 34-42055A, 39-2378A, IC-24107A, IS-1208A
S7-07-08 Exchange-Traded Funds
Investment Management
Proposed Rule
Exchange-Traded Funds
33-8901, IC-28193
S7-06-08 Part 248-Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Personal Information
Investment Management, Trading and Markets
Proposed Rule
Part 248-Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Personal Information
34-57427, IC-28178, IA-2712
S7-10-00 Electronic Filing by Investment Advisers; Amendments To Form ADV; Technical Amendments
Proposed Rule
Amendments to Form ADV
IA-2711, 34-57419
View Related Activity
S7-05-08 Foreign Issuer Reporting Enhancements
Corporation Finance
Proposed Rule
Foreign Issuer Reporting Enhancements
33-8900, 34-57409, 33-8959 International Series Release No. 1308
View Related Activity
S7-04-08 Exemption From Registration Under Section 12(G) of the Securities Exchange Act of 1934 for Foreign Private Issuers
Corporation Finance
Proposed Rule
Exemption From Registration Under Section 12(G) of the Securities Exchange Act of 1934 for Foreign Private Issuers
34-57350, 34-58465
View Related Activity
S7-02-08 Disclosure of Divestment by Registered Investment Companies in Accordance With Sudan Accountability and Divestment Act of 2007
Investment Management
Proposed Rule
Disclosure of Divestment by Registered Investment Companies in Accordance With Sudan Accountability and Divestment Act of 2007
34-57306, IC-28148, 34-57711
View Related Activity
S7-12-07 Electronic Filing and Revision of Form D
Final Rule
Electronic Filing and Revision of Form D
33-8891, 34-57280, 39-2453, IC-28145
View Related Activity
Delegation of Authority to the Director of the Division of Corporation Finance
Final Rule
Delegation of Authority to the Director of the Division of Corporation Finance
34-57262
S7-06-03 Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers
Corporation Finance
Proposed Rule
Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers
33-8889, 34-57258, 33-8934A
View Related Activity
Amendment of Procedures for Payment of Fees
Final Rule
Amendment of Procedures for Payment of Fees
33-8885, 34-57218, 39-2452, IC-28137
S7-16-07 Electronic Shareholder Forums
Final Rule
Electronic Shareholder Forums
34-57172, IC-28124
View Related Activity
Technical Amendments to Forms MSD, MSDW, BD-N, BD, BDW, ADV, and ADV-W and to Exchange Act Rules 15b1-1, 15b3-1, 15b6-1, 15Ba2-2, 15Bc3-1, 15Ca1-1, 15Ca2-1, 15Cc1-1, and 17a-3, and Advisers Act Rules 203-1, 203-3, and 204-1
Final Rule
Technical Amendments to Forms MSD, MSDW, BD-N, BD, BDW, ADV, and ADV-W and to Exchange Act Rules 15b1-1, 15b3-1, 15b6-1, 15Ba2-2, 15Bc3-1, 15Ca1-1, 15Ca2-1, 15Cc1-1, and 17a-3, and Advisers Act Rules 203-1, 203-3, and 204-1
34-57166, IA-2695
S7-13-07 Acceptance From Foreign Private Issuers of Financial Statements Prepared in Accordance With International Financial Reporting Standards Without Reconciliation to U.S. GAAP
Final Rule
Acceptance From Foreign Private Issuers of Financial Statements Prepared in Accordance With International Financial Reporting Standards Without Reconciliation to U.S. GAAP
33-8879, 34-57026, International Series Release No. 1306
View Related Activity
S7-15-07 Smaller Reporting Company Regulatory Relief and Simplification
Final Rule
Smaller Reporting Company Regulatory Relief and Simplification
33-8876, 34 56994, 39-2451
View Related Activity
S7-10-07 Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 and F-3
Final Rule
Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 and F-3
33-8878
View Related Activity
S7-30-07 Revisions to Form S-11 To Permit Historical Incorporation by Reference
Corporation Finance
Proposed Rule
Revisions to Form S-11 To Permit Historical Incorporation by Reference
33-8871
View Related Activity
S7-29-07 Concept Release on Possible Revisions to the Disclosure Requirements Relating to Oil and Gas Reserves
Concept Release
Concept Release on Possible Revisions to the Disclosure Requirements Relating to Oil and Gas Reserves
33-8870, 34-56945
S7-11-07 Revisions to Rules 144 and 145
Final Rule
Revisions to Rules 144 and 145
33-8869
View Related Activity
S7-17-07 Shareholder Proposals Relating to the Election of Directors
Final Rule
Shareholder Proposals Relating to the Election of Directors
34-56914, IC-28075
View Related Activity
S7-14-07 Exemption of Compensatory Employee Stock Options From Registration Under Section 12(G) of the Securities Exchange Act of 1934
Final Rule
Exemption of Compensatory Employee Stock Options From Registration Under Section 12(G) of the Securities Exchange Act of 1934
34-56887
View Related Activity
S7-28-07 Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies
Proposed Rule
Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies
33-8861, IC-28064
View Related Activity
S7-27-07 Concept Release on Mechanisms To Access Disclosures Relating to Business Activities in or With Countries Designated as State Sponsors of Terrorism
Concept Release
Concept Release on Mechanisms To Access Disclosures Relating to Business Activities in or With Countries Designated as State Sponsors of Terrorism
33-8860
S7-25-07 Mandatory Electronic Submission of Applications for Orders Under the Investment Company Act and Filings Made Pursuant to Regulation E
Proposed Rule
Rulemaking for EDGAR System; Mandatory Electronic Submission of Applications for Orders Under the Investment Company Act and Filings Made Pursuant to Regulation E
33-8859, 34-56732, IC-28042
View Related Activity
S7-23-07 Principal Trades with Certain Advisory Clients
Interim Final Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
IA-2653
View Related Activity
S7-22-07 Interpretive Rule Under the Advisers Act Affecting Broker-Dealers
Proposed Rule
Interpretive Rule Under the Advisers Act Affecting Broker-Dealers
IA-2652
S7-22-06 Definitions of Terms and Exemptions Relating to the "Broker" Exceptions for Banks
Final Rule
Definitions of Terms and Exemptions Relating to the "Broker" Exceptions for Banks
34-56501
View Related Activity
S7-23-06 Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act of 1934 and Related Rules
Final Rule
Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act of 1934 and Related Rules
34-56502
View Related Activity
S7-23-07 Principal Trades with Certain Advisory Clients
Final Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
IA-2653
View Related Activity
S7-20-07 Concept Release on Allowing U.S. Issuers To Prepare Financial Statements in Accordance With International Financial Reporting Standards
Concept Release
Concept Release on Allowing U.S. Issuers to Prepare Financial Statements in Accordance With International Financial Reporting Standards
33-8831A, 34-56217A, IC-27924A
View Related Activity
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-8834, 34-56256, 39-2448, IC-27928
S7-20-07 Concept Release on Allowing U.S. Issuers To Prepare Financial Statements in Accordance With International Financial Reporting Standards
Concept Release
Concept Release on Allowing U.S. Issuers To Prepare Financial Statements in Accordance With International Financial Reporting Standards
33-8831, 34-56217, IC-27924
View Related Activity
S7-19-07 Amendments to Regulation SHO
Proposed Rule
Amendments to Regulation SHO
34-56213
View Related Activity
S7-12-06 Amendments to Regulation SHO
Final Rule
Amendments to Regulation SHO
34-56212
View Related Activity
Deletion of References to IRS Identification Numbers
Final Rule
Deletion of References to IRS Identification Numbers
33-8830, 34-56205, IC-27923
S7-20-06 Short Selling in Connection With a Public Offering
Final Rule
Short Selling in Connection With a Public Offering
34-56206, 34-54888
View Related Activity

Last Reviewed or Updated: Sept. 13, 2024