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.

Under the Regulatory Flexibility Act, the SEC is required to publish an agenda identifying rules that the agency estimates it may consider in upcoming months. View the latest SEC Reg Flex agenda.

Issue Date File Number Rulemaking Status
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
S7-10-04 Regulation NMS
Final Rule
Regulation NMS
34-51808A
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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
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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
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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
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S7-10-05 Internet Availability of Proxy Materials
Corporation Finance
Proposed Rule
Internet Availability of Proxy Materials
34-52926, IC-27182
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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
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
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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
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
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
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
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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
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
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
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S7-10-04 Regulation NMS
Final Rule
Regulation NMS
34-52355
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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
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S7-02-04 Amendments to the Penny Stock Rules
Final Rule
Amendments to the Penny Stock Rules
34-51983A
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S7-10-04 Regulation NMS
Final Rule
Regulation NMS
34-52196
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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
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S7-38-04 Securities Offering Reform
Corporation Finance
Final Rule
Securities Offering Reform
33-8591, 34-52056, IC-26993, FR-75
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S7-16-04 Rulemaking for EDGAR System
Final Rule
Rulemaking for EDGAR System
33-8590, 34-52052, 35-28002, 39-2437, IC-26990
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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
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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
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S7-02-04 Amendments to the Penny Stock Rules
Final Rule
Amendments to the Penny Stock Rules
34-51983
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S7-03-04 Investment Company Governance
Final Rule
Investment Company Governance
IC-26985, IC-26323, IC-27395
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S7-10-04 Regulation NMS
Final Rule
Regulation NMS
34-51808
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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
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
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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
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
S7-15-04 First-Time Application of International Financial Reporting Standards
Final Rule
First-Time Application of International Financial Reporting Standards
33-8567, 34-51535, IS-1285
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S7-25-99 Certain Broker-Dealers Deemed Not To Be Investment Advisers
Final Rule
Certain Broker-Dealers Deemed Not To Be Investment Advisers
34-51523, IA-2376
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S7-03-05 Commission Guidance Regarding Prohibited Conduct in Connection with IPO Allocations
Interpretive Release
Commission Guidance Regarding Prohibited Conduct in Connection with IPO Allocations
33-8565, 34-51500, IC-26828
S7-11-04 Mutual Fund Redemption Fees
Final Rule
Mutual Fund Redemption Fees
IC-26782
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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 Non-Accelerated Filers and Foreign Private Issuers
33-8545, 34-51293
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
Proposed Rule
Point of Sale Disclosure Requirements and Confirmation Requirements for Transactions in Mutual Funds, College Savings Plans, and Certain Other Securities, and Amendments to the Registration Form for Mutual Funds
33-8544, 34-51274, IC-26778
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Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-8528, 34-51128, 35-27943, 39-2431, IC-26746
S7-35-04 XBRL Voluntary Financial Reporting Program on the EDGAR System
Final Rule
XBRL Voluntary Financial Reporting Program on the EDGAR System
33-8529, 34-51129, 35-27944, 39-2432, IC-26747
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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
Proposed Rule
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-R
34-51019
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