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.

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Rulemaking Activity

Issue Date	File Number	Rulemaking	Status
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
Dec. 18, 2006	S7-22-06	Definitions of Terms and Exemptions Relating to the "Broker" Exceptions for Banks	Proposed Rule Definitions of Terms and Exemptions Relating to the "Broker" Exceptions for Banks 34-54946 View Related Activity
Dec. 15, 2006	S7-03-04	Investment Company Governance; Correction	Proposed Rule Investment Company Governance IC-27600 View Related Activity
Dec. 15, 2006	S7-06-03	Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers and Newly Public Companies Corporation Finance	Final Rule Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers and Newly Public Companies 33-8760, 34-54942 View Related Activity
Dec. 7, 2006	S7-21-06	Regulation SHO and Rule 10a-1	Proposed Rule Amendments to Regulation SHO and Rule 10a-1 34-54891 View Related Activity
Dec. 6, 2006	S7-20-06	Short Selling in Connection With a Public Offering	Proposed Rule Short Selling in Connection With a Public Offering 34-54888, 34-56206 View Related Activity
Dec. 4, 2006	S7-19-06	Proposed Amendments to Municipal Securities Disclosure	Proposed Rule Proposed Amendments to Municipal Securities Disclosure 34-54863
Dec. 4, 2006	S7-14-06	Electronic Filing of Transfer Agent Forms	Final Rule Electronic Filing of Transfer Agent Forms 34-54864 View Related Activity
Dec. 4, 2006		Delegation of Authority to Chief Administrative Law Judge	Final Rule Delegation of Authority to Chief Administrative Law Judge 34-54867
Nov. 16, 2006	S7-18-06	Covered Securities Pursuant to Section 18 of the Securities Act of 1933	Proposed Rule Covered Securities Pursuant to Section 18 of the Securities Act of 1933 33-8754
Nov. 1, 2006	S7-11-05	Amendments to the Tender Offer Best-Price Rules	Final Rule Amendments to the Tender Offer Best-Price Rules 34-54684, IC-27542 View Related Activity
Oct. 25, 2006	S7-37-04	Definition of Eligible Portfolio Company Under the Investment Company Act of 1940	Proposed Rule Definition of Eligible Portfolio Company Under the Investment Company Act of 1940 IC-27539, IC-28266 View Related Activity
Oct. 25, 2006	S7-37-04	Definition of Eligible Portfolio Company Under the Investment Company Act of 1940	Final Rule Definition of Eligible Portfolio Company Under the Investment Company Act of 1940 IC-27538 View Related Activity
Oct. 5, 2006	S7-16-06	Amendments to Rule 15c3-1 and Rule 17a-11 Applicable to Broker-Dealers Also Registered as Futures Commission Merchants	Proposed Rule Amendments to Rule 15c3-1 and Rule 17a-11 Applicable to Broker-Dealers Also Registered as Futures Commission Merchants 34-54575 View Related Activity
Sept. 27, 2006	S7-06-06, 4-512	Mutual Fund Redemption Fees	Final Rule Mutual Fund Redemption Fees IC-27504
Aug. 29, 2006	S7-03-06	Executive Compensation and Related Person Disclosure Corporation Finance	Proposed Rule Executive Compensation Disclosure 33-8735, 34-54380 View Related Activity
Aug. 29, 2006	S7-03-06	Executive Compensation and Related Person Disclosure Corporation Finance	Final Rule Executive Compensation and Related Person Disclosure 33-8732A, 34-54302A, IC-27444A View Related Activity
Aug. 24, 2006	S7-14-06	Electronic Filing of Transfer Agent Forms	Proposed Rule Electronic Filing of Transfer Agent Forms 34-54356 View Related Activity
Aug. 9, 2006	S7-06-03	Internal Control Over Financial Reporting In Exchange Act Periodic Reports of Foreign Private Issuers That Are Accelerated Filers [Corrected August 11, 2006] Corporation Finance	Proposed Rule Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers and Newly Public Companies 33-8731 View Related Activity
Aug. 9, 2006	S7-06-03	Internal Control Over Financial Reporting In Exchange Act Periodic Reports of Foreign Private Issuers That Are Accelerated Filers [Corrected August 11, 2006] Corporation Finance	Final Rule Internal Control Over Financial Reporting In Exchange Act Periodic Reports of Foreign Private Issuers That Are Accelerated Filers [Corrected August 11, 2006] 33-8730A, 34-54294A View Related Activity
July 18, 2006	S7-13-06	Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934	Interpretive Release Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934 34-54165
July 18, 2006		Amendments to the Informal and Other Procedures; Public Company Accounting Oversight Board Budget Approval Process	Final Rule Amendments to the Informal and Other Procedures; Public Company Accounting Oversight Board Budget Approval Process 33-8724, 34-54168
July 14, 2006	S7-12-06	Amendments to Regulation SHO	Proposed Rule Amendments to Regulation SHO 34-54154 View Related Activity
July 11, 2006	S7-11-06	Concept Release Concerning Management's Reports on Internal Control Over Financial Reporting	Concept Release Concept Release Concerning Management's Reports on Internal Control Over Financial Reporting 34-54122
July 6, 2006	S7-07-06	Joint Final Rules: Application of the Definition of Narrow-Based Security Index to Debt Securities Indexes and Security Futures on Debt Securities	Final Rule Joint Final Rules: Application of the Definition of Narrow-Based Security Index to Debt Securities Indexes and Security Futures on Debt Securities 34-54106
June 20, 2006	S7-18-03	Fund of Funds Investments	Final Rule Fund of Funds Investments 33-8713, IC-27399, 33-8297 View Related Activity
June 13, 2006	S7-03-04	Investment Company Governance	Proposed Rule Investment Company Governance IC-27395 View Related Activity
June 5, 2006	S7-10-06	Findings of Scientific Misconduct	Final Rule Findings of Scientific Misconduct 34-53937
May 18, 2006	S7-10-04	Regulation NMS	Final Rule Regulation NMS 34-53829 View Related Activity
May 3, 2006		Description of Duties of the General Counsel	Final Rule Description of Duties of the General Counsel 34-53755
March 30, 2006		Technical Amendments to Form ADV, Form ADV-W, Form ADV-H, Form ADV-E	Final Rule Technical Amendments to Form ADV, Form ADV-W, Form ADV-H, Form ADV-E IA-2504
March 29, 2006	S7-07-06	Joint Proposed Rules: Application of the Definition of Narrow-Based Security Index to Debt Securities Indexes and Security Futures on Debt Securities	Proposed Rule Joint Proposed Rules: Application of the Definition of Narrow-Based Security Index to Debt Securities Indexes and Security Futures on Debt Securities 34-53560
Feb. 28, 2006	S7-06-06, 4-512	Mutual Fund Redemption Fees	Proposed Rule Mutual Fund Redemption Fees IC-27255
Feb. 8, 2006	S7-16-04	Rulemaking for EDGAR System	Final Rule Rulemaking for EDGAR System 33-8590A, 34-52052A, 35-28002A, 39-2437A, IC-26990A View Related Activity
Feb. 6, 2006	S7-38-04	Securities Offering Reform Corporation Finance	Final Rule Securities Offering Reform; Correction 33-8591A, 34-52056A, IC-26993A, FR-75A, International Series Release No. 1294A View Related Activity
Jan. 27, 2006	S7-03-06	Executive Compensation and Related Person Disclosure Corporation Finance	Proposed Rule Executive Compensation and Related Party Disclosure 33-8655 View Related Activity
Jan. 27, 2006		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-8656, 34-53186, 35-28081, 39-2441, IC-27219
Dec. 28, 2005	S7-10-04	Regulation NMS	Final Rule Regulation NMS 34-51808A View Related Activity
Dec. 23, 2005	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 15(d) of the Securities Exchange Act of 1934 34-53020 View Related Activity

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