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
S7-12-94 Financial Statements of Significant Foreign Equity Investees and Acquired Foreign Businesses of Domestic Issuers and Financial Schedules
Final Rule
Financial Statements of Significant Foreign Equity Investees and Acquired Foreign Businesses of Domestic Issuers and Financial Schedules
33-7118, 34-35094, IC-20766, International Series No. 758
S7-13-94 Reconciliation of the Accounting by Foreign Private Issuers for Business Combinations
Final Rule
Reconciliation of the Accounting by Foreign Private Issuers for Business Combinations
33-7119, 34-35095, International Series Release No. 759
S7-26-94 Limited Partnership Roll-Up Transactions
Final Rule
Limited Partnership Roll-Up Transactions
33-7113, 34-35036
S7-1-92 Notice of Assumption or Termination of Transfer Agent Services
Final Rule
Notice of Assumption or Termination of Transfer Agent Services
34-35039
S7-5-94 Municipal Securities Disclosure
Final Rule
Municipal Securities Disclosure
34-34961
S7-6-94 Confirmation of Transactions
Final Rule
Confirmation of Transactions
34-34962
S7-16-94 Exemptive Relief and Simplification of Filing Requirements for Debt Securities To Be Listed on a National Securities Exchange
Final Rule
Exemptive Relief and Simplification of Filing Requirements for Debt Securities To Be Listed on a National Securities Exchange
34-34922
S7-29-93 Payment for Order Flow
Final Rule
Payment for Order Flow
34-34902
S7-33-93 Amendments to Proxy Rules for Registered Investment Companies
Final Rule
Amendments to Proxy Rules for Registered Investment Companies
33-7102, 34-34832, IC-20614
Rulemaking for EDGAR System: Financial Data Schedules
Final Rule
Rulemaking for EDGAR System: Financial Data Schedules
33-7072, 34-34330, 35-26079, IC-20388
Executive Compensation Disclosure; Securityholder Lists and Mailing Requests
Final Rule
Executive Compensation Disclosure; Securityholder Lists and Mailing Requests
33-7032
Adoption of Additional Small Business Initiatives
Final Rule
Adoption of Additional Small Business Initiatives
33-6996
Disclosure of Mutual Fund Performance and Portfolio Managers
Final Rule
Disclosure of Mutual Fund Performance and Portfolio Managers
33-6988, IC-19382
Adoption of Small Business Initiatives
Final Rule
Adoption of Small Business Initiatives
33-6949
Final Temporary Risk Assessment Rules
Final Rule
Final Temporary Risk Assessment Rules
34-30929
Penny Stock Disclosure Rules
Final Rule
Penny Stock Disclosure Rules
34-30608
Acceptance of Signature Guarantees from Eligible Guarantor Institutions
Final Rule
Acceptance of Signature Guarantees from Eligible Guarantor Institutions
34-30146
Registration Requirements for Foreign Broker-Dealers
Final Rule
Registration Requirements for Foreign Broker-Dealers
34-27017
Municipal Securities Disclosure
Final Rule
Municipal Securities Disclosure
34-26985
The Commission is adopting Rule 3a4-1 specifying a non--exclusive safe harbor under which persons associated with an issuer of securities who participate in sales of that issuer's securities will not be considered to be acting as "brokers" as that term is defined in the Securities Exchange Act of 1934.
Final Rule
The Commission is adopting Rule 3a4-1 specifying a non--exclusive safe harbor under which persons associated with an issuer of securities who participate in sales of that issuer's securities will not be considered to be acting as "brokers" as
34-22172
Processing of Tender Offers within the National Clearance and SettlementSystem
Final Rule
Processing of Tender Offers within the National Clearance and SettlementSystem
34-20581
Maintenance of Accurate Securityholder Files and safeguarding of Funds and Securities by Registered Transfer Agents
Final Rule
Maintenance of Accurate Securityholder Files and safeguarding of Funds and Securities by Registered Transfer Agents
34-19860
Securities Position Listing Rule
Final Rule
Securities Position Listing Rule
34-16443
S7-687 Filing and Reporting Requirements Relating to Institutional lnvestment Managers
Final Rule
Filing and Reporting Requirements Relating to Institutional lnvestment Managers
34-14852
Regulation of Transfer Agents
Final Rule
Regulation of Transfer Agents
34-13636
View Related Activity
Adoption of Rule 15ba2-1, Related Form MSD, Rule 15ba2-2 and Temporary Rule 15ba2-3(T) Relating to the Registration Of Municipal Securities Dealers Under Section 15b(a) of the Securities Exchange Act of 1934; Adoption of Temporary Rule 15a-1 (T) Relating to the Registration Of Municipal Securities Brokers and Dealers Under Section 15 of the Act; and Delegation of Authority to the Staff of The Commission
Final Rule
Adoption of Rule 15ba2-1, Related Form MSD, Rule 15ba2-2 and Temporary Rule 15ba2-3(T) Relating to the Registration Of Municipal Securities Dealers Under Section 15b(a) of the Securities Exchange Act of 1934; Adoption of Temporary Rule 15a-1 (T) Relating
34-11742
Nonpublic Offering Exemption
Final Rule
Nonpublic Offering Exemption
33-4552

Last Reviewed or Updated: Sept. 13, 2024