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
Aug. 6, 2007	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
Aug. 3, 2007	S7-18-07	Revisions of Limited Offering Exemptions in Regulation D	Proposed Rule Revisions of Limited Offering Exemptions in Regulation D 33-8828, IC-27922
Aug. 3, 2007	S7-24-06	Definition of the Term Significant Deficiency	Final Rule Definition of the Term Significant Deficiency 33-8829, 34-56203
Aug. 3, 2007	S7-25-06	Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles	Final Rule Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles IA-2628
July 27, 2007	S7-17-07	Shareholder Proposals Relating to the Election of Directors	Proposed Rule Shareholder Proposals Relating to the Election of Directors 34-56161, IC-27914 View Related Activity
July 27, 2007	S7-16-07	Electronic Shareholder Forums	Proposed Rule Shareholder Proposals 34-56160, IC-27913 View Related Activity
July 26, 2007	S7-03-07	Shareholder Choice Regarding Proxy Materials	Final Rule Shareholder Choice Regarding Proxy Materials 34-56135, IC-27911 View Related Activity
July 11, 2007	S7-05-07	Extension of Interactive Data Voluntary Reporting Program on the Edgar System To Include Mutual Fund Risk/Return Summary Information	Final Rule Extension of Interactive Data Voluntary Reporting Program on the Edgar System To Include Mutual Fund Risk/Return Summary Information 33-8823, IC-27884 View Related Activity
July 5, 2007	S7-14-07	Exemption of Compensatory Employee Stock Options From Registration Under Section 12(G) of the Securities Exchange Act of 1934	Proposed Rule Exemption of Compensatory Employee Stock Options From Registration Under Section 12(g) of the Securities Exchange Act of 1934 34-56010 View Related Activity
July 5, 2007	S7-15-07	Smaller Reporting Company Regulatory Relief and Simplification	Proposed Rule Smaller Reporting Company Regulatory Relief and Simplification 33-8819, 34-56013, 39-2447 View Related Activity
July 2, 2007	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	Proposed Rule Acceptance From Foreign Private Issuers of Financial Statements Prepared in Accordance With International Financial Reporting Standards Without Reconciliation to U.S. GAAP 33-8818, 34-55998, International Series Release No. 1302 View Related Activity
June 29, 2007	S7-12-07	Electronic Filing and Revision of Form D	Proposed Rule Electronic Filing and Simplification of Form D 33-8814, 34-55980, 39-2446, IC-27878 View Related Activity
June 28, 2007	S7-21-06	Regulation SHO and Rule 10a-1	Final Rule Regulation SHO and Rule 10a-1 34-55970 View Related Activity
June 22, 2007	S7-11-07	Revisions to Rules 144 and 145	Proposed Rule Revisions to Rule 144 and Rule 145 to Shorten Holding Period for Affiliates and Non-Affiliates 33-8813 View Related Activity
June 20, 2007	S7-24-06	Amendments to Rules Regarding Management's Report on Internal Control Over Financial Reporting	Interpretive Release Commission Guidance Regarding Management's Report on Internal Control Over Financial Reporting Under Section 13(a) or 15(d) of the Securities Exchange Act of 1934 33-8810, 34-55929, FR-77 View Related Activity
June 20, 2007	S7-10-07	Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 and F-3	Proposed Rule Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 And F-3 33-8812 View Related Activity
June 20, 2007	S7-24-06	Amendments to Rules Regarding Management's Report on Internal Control Over Financial Reporting	Proposed Rule Definition of a Significant Deficiency 33-8811, 34-55930 View Related Activity
June 20, 2007	S7-24-06	Amendments to Rules Regarding Management's Report on Internal Control Over Financial Reporting	Final Rule Amendments to Rules Regarding Management's Report on Internal Control Over Financial Reporting 33-8809, 34-55928, 33-8811 FR-76 View Related Activity
June 5, 2007	S7-04-07	Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical Rating Organizations	Final Rule Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical Rating Organizations 34-55857, 34-55231 View Related Activity
May 17, 2007	S7-08-07	Financial Responsibility Rules for Broker-Dealers	Proposed Rule Amendments to Financial Responsibility Rules for Broker-Dealers 34-55777 View Related Activity
April 19, 2007		Technical Amendments to Form BD and Form BDW	Final Rule Technical Amendments to Form BD and Form BDW 34-55643
April 18, 2007	S7-18-06	Covered Securities Pursuant to Section 18 of the Securities Act of 1933	Final Rule Covered Securities Pursuant to Section 18 of the Securities Act of 1933 33-8791
March 27, 2007	S7-12-05	Termination of a Foreign Private Issuer's Registration of a Class of Securities Under Section 12(g) and Duty To File Reports Under Section 13(a) or 15(d) of the Securities Exchange Act of 1934	Final Rule Termination of a Foreign Private Issuer's Registration of a Class of Securities Under Section 12(g) and Duty To File Reports Under Section 13(a) or 15(d) of the Securities Exchange Act of 1934 34-55540 View Related Activity
March 26, 2007	S7-12-06	Amendments to Regulation SHO	Proposed Rule Amendments to Regulation SHO 34-55520 View Related Activity
March 21, 2007		Technical Amendment to Regulation S-T	Final Rule Technical Amendment to Regulation S-T 34-55502
March 20, 2007	S7-09-07	Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act	Proposed Rule Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act 34-55497, IA-2598, IC-27755
March 9, 2007	S7-08-07	Financial Responsibility Rules for Broker-Dealers	Proposed Rule Amendments to Financial Responsibility Rules for Broker-Dealers 34-55431 View Related Activity
Feb. 23, 2007	S7-06-07	Proposed Rule Changes of Self-Regulatory Organizations	Proposed Rule Proposed Rule Changes of Self-Regulatory Organizations 34-55341 View Related Activity
Feb. 6, 2007	S7-05-07	Extension of Interactive Data Voluntary Reporting Program on the Edgar System To Include Mutual Fund Risk/Return Summary Information	Proposed Rule Extension of Interactive Data Voluntary Reporting Program on the EDGAR System To Include Mutual Fund Risk/Return Summary Information 33-8781, IC-27697 View Related Activity
Feb. 2, 2007	S7-04-07	Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical Rating Organizations	Proposed Rule Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical Rating Organizations 34-55231, 34-55857 View Related Activity
Jan. 24, 2007	S7-10-04	Regulation NMS	Final Rule Regulation NMS 34-55160 View Related Activity
Jan. 22, 2007	S7-03-07	Shareholder Choice Regarding Proxy Materials	Proposed Rule Universal Internet Availability of Proxy Materials 34-55147, IC-27672 View Related Activity
Jan. 22, 2007	S7-10-05	Internet Availability of Proxy Materials Corporation Finance	Final Rule Internet Availability of Proxy Materials 34-55146, IC-27671 View Related Activity
Jan. 5, 2007	S7-13-98	Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products; Correction	Final Rule Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products; Correction 34-40761A View Related Activity
Jan. 4, 2007	S7-03-04	Investment Company Governance; Correction	Proposed Rule Investment Company Governance; Correction IC-27600A View Related Activity
Dec. 27, 2006	S7-25-06	Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles; Accredited Investors in Certain Private Investment Vehicles	Proposed Rule Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles; Accredited Investors in Certain Private Investment Vehicles 33-8766, IA-2576
Dec. 22, 2006	S7-12-05	Termination of a Foreign Private Issuer's Registration of a Class of Securities Under Section 12(g) and Duty To File Reports Under Section 13(a) or 15(d) of the Securities Exchange Act of 1934	Proposed Rule Termination of a Foreign Private Issuer's Registration of a Class of Securities Under Section 12(g) and Duty To File Reports Under Section 13(a) or 15(d) of the Securities Exchange Act of 1934 34-55005 View Related Activity
Dec. 22, 2006	S7-03-06	Executive Compensation and Related Person Disclosure Corporation Finance	Interim Final Rule Executive Compensation Disclosure 33-8765, 34-55009 View Related Activity
Dec. 20, 2006	S7-24-06	Amendments to Rules Regarding Management's Report on Internal Control Over Financial Reporting	Proposed Rule Management's Report on Internal Control Over Financial Reporting 33-8762, 34-54976 View Related Activity
Dec. 18, 2006	S7-23-06	Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act of 1934 and Related Rules	Proposed Rule Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act of 1934 and Related Rules 34-54947 View Related Activity

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