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.


Issue Date	File Number	Rulemaking	Status
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
Dec. 21, 2005	S7-08-05	Revisions to Accelerated Filer Definition and Accelerated Deadlines for Filing Periodic Reports	Final Rule Revisions to Accelerated Filer Definition and Accelerated Deadlines for Filing Periodic Reports 33-8644, 34-52989 View Related Activity
Dec. 16, 2005	S7-11-05	Amendments to the Tender Offer Best-Price Rules	Proposed Rule Amendments to the Tender Offer Best-Price Rule 34-52968, IC-27193 View Related Activity
Dec. 8, 2005	S7-10-05	Internet Availability of Proxy Materials Corporation Finance	Proposed Rule Internet Availability of Proxy Materials 34-52926, IC-27182 View Related Activity
Dec. 5, 2005		Commission Guidance Regarding Accounting for Sales of Vaccines and Bioterror Countermeasures to the Federal Government for Placement Into the Pediatric Vaccine Stockpile or the Strategic National Stockpile	Interpretive Release Commission Guidance Regarding Accounting for Sales of Vaccines and Bioterror Countermeasures to the Federal Government for Placement Into the Pediatric Vaccine Stockpile or the Strategic National Stockpile 33-8642, 34-52885, IC-27178
Nov. 29, 2005	S7-05-05	Adoption of Amendments to the Rules of Practice and Related Provisions and Delegations of Authority of the Commission	Final Rule Adoption of Amendments to the Rules of Practice and Related Provisions and Delegations of Authority of the Commission 34-52846 View Related Activity
Nov. 1, 2005		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-8633, 34-52708, 35-28053, 39-2440, IC-27139
Oct. 19, 2005	S7-09-05	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 34-52635
Oct. 13, 2005		Adoption of Amendment to Delegation of Authority to Secretary of the Commission	Final Rule Adoption of Amendment to Delegation of Authority to Secretary of the Commission 34-52602
Sept. 22, 2005	S7-08-05	Revisions to Accelerated Filer Definition and Accelerated Deadlines for Filing Periodic Reports	Proposed Rule Revisions to Accelerated Filer Definition and Accelerated Deadlines for Filing Periodic Reports 33-8617, 34-52491 View Related Activity
Sept. 22, 2005	S7-40-02, S7-06-03	Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports of Non-Accelerated Filers and Foreign Private Issuers Corporation Finance	Final Rule Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports of Companies That Are Not Accelerated Filers 33-8618, 34-52492
Sept. 21, 2005		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-8612, 34-52477, 35-28033, 39-2439, IC-27070
Sept. 12, 2005	S7-25-99	Certain Broker-Dealers Deemed Not To Be Investment Advisers, Extension of Compliance Date	Final Rule Certain Broker-Dealers Deemed Not To Be Investment Advisers, Extension of Compliance Date 34-52407, IA-2426 View Related Activity
Aug. 29, 2005	S7-10-04	Regulation NMS	Final Rule Regulation NMS 34-52355 View Related Activity
Aug. 3, 2005	S7-27-04	Ownership Reports and Trading by Officers, Directors and Principal Security Holders	Final Rule Ownership Reports and Trading by Officers, Directors and Principal Security Holders 33-8600, 34-52202, 35-28013, IC-27025 View Related Activity
Aug. 3, 2005	S7-02-04	Amendments to the Penny Stock Rules	Final Rule Amendments to the Penny Stock Rules 34-51983A View Related Activity
Aug. 2, 2005	S7-10-04	Regulation NMS	Final Rule Regulation NMS 34-52196 View Related Activity
July 25, 2005	S7-11-01	Technical Amendments to Rules Setting Forth the Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index	Final Rule Technical Amendments to Rules Setting Forth the Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index 34-52115 View Related Activity
July 19, 2005	S7-38-04	Securities Offering Reform Corporation Finance	Final Rule Securities Offering Reform 33-8591, 34-52056, IC-26993, FR-75 View Related Activity
July 18, 2005	S7-16-04	Rulemaking for EDGAR System	Final Rule Rulemaking for EDGAR System 33-8590, 34-52052, 35-28002, 39-2437, IC-26990 View Related Activity
July 15, 2005	S7-19-04	Use of Form S-8, Form 8-K, and Form 20-F by Shell Companies	Final Rule Use of Form S-8, Form 8-K, and Form 20-F by Shell Companies 33-8587, 34-52038, International Series Rel. No. 1293 View Related Activity
July 14, 2005	S7-25-04	Removal From Listing and Registration of Securities Pursuant to Section 12(d) of the Securities Exchange Act of 1934	Final Rule Removal From Listing and Registration of Securities Pursuant to Section 12(d) of the Securities Exchange Act of 1934 34-52029 View Related Activity
July 7, 2005	S7-02-04	Amendments to the Penny Stock Rules	Final Rule Amendments to the Penny Stock Rules 34-51983 View Related Activity
June 30, 2005	S7-03-04	Investment Company Governance	Final Rule Investment Company Governance IC-26985, IC-26323, IC-27395 View Related Activity
June 9, 2005	S7-10-04	Regulation NMS	Final Rule Regulation NMS 34-51808 View Related Activity
May 19, 2005		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-8573, 34-51710, 35-27970, 39-2436, IC-26872
April 21, 2005	S7-05-05	Adoption of Amendments to the Rules of Practice and Related Provisions and Delegations of Authority of the Commission	Proposed Rule Proposed Amendments to the Rules of Practice and Related Provisions 34-51595 View Related Activity
April 19, 2005	S7-04-05	Definition of Nationally Recognized Statistical Rating Organization	Proposed Rule Definition of Nationally Recognized Statistical Rating Organization 33-8570, 34-51572, IC-26834
April 15, 2005		Amendment to Rule 4-01(a) of Regulation S-X Regarding the Compliance Date for Statement of Financial Accounting Standards No. 123 (Revised 2004), Share-Based Payment	Final Rule Amendment to Rule 4-01(a) of Regulation S-X Regarding the Compliance Date for Statement of Financial Accounting Standards No. 123 (Revised 2004), Share-Based Payment 33-8568, 34-51558, 35-27959, IC-26833, FR-74

Last Reviewed or Updated: Sept. 13, 2024

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