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 |
|---|---|---|---|
| S7-02-04 | Amendments to the Penny Stock Rules | View Related Activity | |
| S7-10-04 | Regulation NMS | View Related Activity | |
| 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 | View Related Activity | |
| S7-38-04 | Securities Offering Reform
Corporation Finance |
View Related Activity | |
| S7-16-04 | Rulemaking for EDGAR System | View Related Activity | |
| S7-19-04 | Use of Form S-8, Form 8-K, and Form 20-F by Shell Companies | View Related Activity | |
| S7-25-04 | Removal From Listing and Registration of Securities Pursuant to Section 12(d) of the Securities Exchange Act of 1934 | View Related Activity | |
| S7-02-04 | Amendments to the Penny Stock Rules | View Related Activity | |
| S7-03-04 | Investment Company Governance | View Related Activity | |
| S7-10-04 | Regulation NMS | View Related Activity | |
| Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
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| S7-05-05 | Adoption of Amendments to the Rules of Practice and Related Provisions and Delegations of Authority of the Commission | View Related Activity | |
| S7-04-05 | Definition of Nationally Recognized Statistical Rating Organization | ||
| 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 | |||
| S7-15-04 | First-Time Application of International Financial Reporting Standards | View Related Activity | |
| S7-25-99 | Certain Broker-Dealers Deemed Not To Be Investment Advisers | View Related Activity | |
| S7-03-05 | Commission Guidance Regarding Prohibited Conduct in Connection with IPO Allocations | ||
| S7-11-04 | Mutual Fund Redemption Fees | View Related Activity | |
| 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 |
||
| S7-06-04 | Confirmation Requirements and Point of Sale Disclosure Requirements for Transactions in Certain Mutual Funds and Other Securities, and Other Confirmation Requirement Amendments, and Amendments to the Registration Form for Mutual Funds | View Related Activity | |
| Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
|||
| S7-35-04 | XBRL Voluntary Financial Reporting Program on the EDGAR System | View Related Activity | |
| S7-39-04 | Fair Administration and Governance of Self-Regulatory Organizations; Disclosure and Regulatory Reporting by Self-Regulatory Organizations; Recordkeeping Requirements for Self-Regulatory Organizations; Ownership and Voting Limitations for Members of Self-Regulatory Organizations; Ownership Reporting Requirements for Members of Self-Regulatory Organizations; Listing and Trading of Affiliated Securities by a Self-Regulatory Organization | View Related Activity | |
| S7-25-99 | Certain Broker-Dealers Deemed Not To Be Investment Advisers | View Related Activity | |
| S7-25-99 | Certain Broker-Dealers Deemed Not To Be Investment Advisers | View Related Activity | |
| S7-10-04 | Establishing a Docket for the Development of Plasma Standards Public Workshop; Notice | ||
| S7-41-04 | Amendments to Regulation M: Anti-Manipulation Rules Concerning Securities Offerings | ||
| S7-24-04 | Issuer Restrictions or Prohibitions on Ownership by Securities Intermediaries | View Related Activity | |
| S7-33-04 | Disposal of Consumer Report Information | View Related Activity | |
| S7-40-04 | Concept Release Concerning Self-Regulation | ||
| S7-39-04 | Fair Administration and Governance of Self-Regulatory Organizations; Disclosure and Regulatory Reporting by Self-Regulatory Organizations; Recordkeeping Requirements for Self-Regulatory Organizations; Ownership and Voting Limitations for Members of Self-Regulatory Organizations; Ownership Reporting Requirements for Members of Self-Regulatory Organizations; Listing and Trading of Affiliated Securities by a Self-Regulatory Organization | View Related Activity | |
| S7-32-04 | Temporary Postponement of the Final Phase-In Period for Acceleration of Periodic Report Filing Dates | View Related Activity | |
| S7-38-04 | Securities Offering Reform
Corporation Finance |
View Related Activity | |
| S7-37-04 | Definition of Eligible Portfolio Company Under the Investment Company Act of 1940 | View Related Activity | |
| S7-18-04 | Proposed Rule Changes of Self-Regulatory Organizations | View Related Activity | |
| S7-36-04 | Enhancing Commission Filings Through the Use of Tagged Data | ||
| S7-35-04 | XBRL Voluntary Financial Reporting Program on the EDGAR System | View Related Activity | |
| S7-33-04 | Disposal of Consumer Report Information | View Related Activity | |
| S7-09-04 | Prohibition on the Use of Brokerage Commissions To Finance Distribution | View Related Activity | |
| S7-34-02 | Rule 15c3-3 Reserve Requirements for Margin Related to Security Futures Products | View Related Activity | |
| S7-32-04 | Temporary Postponement of the Final Phase-In Period for Acceleration of Periodic Report Filing Dates | View Related Activity | |
| S7-12-04 | Disclosure Regarding Portfolio Managers of Registered Management Investment Companies | View Related Activity |