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
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
April 12, 2005	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 View Related Activity
April 12, 2005	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 View Related Activity
April 7, 2005	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
March 11, 2005	S7-11-04	Mutual Fund Redemption Fees	Final Rule Mutual Fund Redemption Fees IC-26782 View Related Activity
March 2, 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 Non-Accelerated Filers and Foreign Private Issuers 33-8545, 34-51293
Feb. 28, 2005	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 View Related Activity
Feb. 3, 2005		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
Feb. 3, 2005	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 View Related Activity
Jan. 11, 2005	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 View Related Activity
Jan. 6, 2005	S7-25-99	Certain Broker-Dealers Deemed Not To Be Investment Advisers	Proposed Rule Certain Broker-Dealers Deemed Not To Be Investment Advisers 34-50980 View Related Activity
Jan. 6, 2005	S7-25-99	Certain Broker-Dealers Deemed Not To Be Investment Advisers	Final Rule Certain Broker-Dealers Deemed Not To Be Investment Advisers 34-50979 View Related Activity
Dec. 16, 2004	S7-10-04	Establishing a Docket for the Development of Plasma Standards Public Workshop; Notice	Proposed Rule Establishing a Docket for the Development of Plasma Standards Public Workshop; Notice 34-50870
Dec. 9, 2004	S7-41-04	Amendments to Regulation M: Anti-Manipulation Rules Concerning Securities Offerings	Proposed Rule Amendments to Regulation M: Anti-Manipulation Rules Concerning Securities Offerings 33-8511, 34-50831, IC-26691
Dec. 7, 2004	S7-24-04	Issuer Restrictions or Prohibitions on Ownership by Securities Intermediaries	Final Rule Issuer Restrictions or Prohibitions on Ownership by Securities Intermediaries 34-50758A View Related Activity
Dec. 2, 2004	S7-33-04	Disposal of Consumer Report Information	Final Rule Disposal of Consumer Report Information 34-50781 View Related Activity
Nov. 18, 2004	S7-40-04	Concept Release Concerning Self-Regulation	Concept Release Concept Release Concerning Self-Regulation 34-50700
Nov. 18, 2004	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 34-50699 View Related Activity
Nov. 17, 2004	S7-32-04	Temporary Postponement of the Final Phase-In Period for Acceleration of Periodic Report Filing Dates	Final Rule Temporary Postponement of the Final Phase-In Period for Acceleration of Periodic Report Filing Dates 33-8507, 34-50684 View Related Activity
Nov. 3, 2004	S7-38-04	Securities Offering Reform Corporation Finance	Proposed Rule Securities Offering Reform 33-8501, 34-50624, IC-26649, International Series Release No. 1282 View Related Activity
Nov. 1, 2004	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-26647, IC-28266 View Related Activity
Oct. 4, 2004	S7-18-04	Proposed Rule Changes of Self-Regulatory Organizations	Final Rule Proposed Rule Changes of Self-Regulatory Organizations 34-50486 View Related Activity
Sept. 27, 2004	S7-36-04	Enhancing Commission Filings Through the Use of Tagged Data	Concept Release Enhancing Commission Filings Through the Use of Tagged Data 33-8497, 34-50454, 35-27895, 39-2429, IC-26623
Sept. 27, 2004	S7-35-04	XBRL Voluntary Financial Reporting Program on the EDGAR System	Proposed Rule XBRL Voluntary Financial Reporting Program on the EDGAR System 33-8496, 34-50453, 35-27894, 39-2498, IC-26622 View Related Activity
Sept. 14, 2004	S7-33-04	Disposal of Consumer Report Information	Proposed Rule Disposal of Consumer Report Information 34-50361, IA-2293, IC-26596 View Related Activity
Sept. 2, 2004	S7-09-04	Prohibition on the Use of Brokerage Commissions To Finance Distribution	Final Rule Prohibition on the Use of Brokerage Commissions To Finance Distribution IC-26591 View Related Activity
Aug. 31, 2004	S7-34-02	Rule 15c3-3 Reserve Requirements for Margin Related to Security Futures Products	Final Rule Rule 15c3-3 Reserve Requirements for Margin Related to Security Futures Products 34-50295 View Related Activity
Aug. 25, 2004	S7-32-04	Temporary Postponement of the Final Phase-In Period for Acceleration of Periodic Report Filing Dates	Proposed Rule Temporary Postponement of the Final Phase-in Period for Acceleration of Periodic Report Filing Dates 33-8477, 34-50254 View Related Activity
Aug. 23, 2004	S7-12-04	Disclosure Regarding Portfolio Managers of Registered Management Investment Companies	Final Rule Disclosure Regarding Portfolio Managers of Registered Management Investment Companies 33-8458, 34-50227, IC-26533 View Related Activity
Aug. 18, 2004	S7-25-99	Certain Broker-Dealers Deemed Not To Be Investment Advisers	Proposed Rule Certain Broker-Dealers Deemed Not To Be Investment Advisers 34-50213, IA-2278 View Related Activity
Aug. 9, 2004	S7-51-02	Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies	Final Rule Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies; Technical Amendment 33-8393A, 34-49333A, IC-26372A, 33-8164 View Related Activity
Aug. 6, 2004		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-8454, 34-50160, 35-27881, 39-2424, IC-26525
Aug. 4, 2004	S7-22-02	Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date; Correction	Final Rule Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date; Correction 33-8400A, 34-49424A
July 28, 2004	S7-23-03	Short Sales	Final Rule Short Sales 34-50103 View Related Activity
July 27, 2004	S7-03-04	Investment Company Governance	Final Rule Investment Company Governance IC-26520 View Related Activity
July 22, 2004	S7-26-04	Regulation B	Proposed Rule Regulation B 34-50056 View Related Activity
July 20, 2004	S7-30-04	Registration Under the Advisers Act of Certain Hedge Fund Advisers	Proposed Rule Registration Under the Advisers Act of Certain Hedge Fund Advisers IA-2266 View Related Activity
July 14, 2004	S7-17-04	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 33-8442
July 8, 2004	S7-29-04	Regulation S-AM: Limitations on Affiliate Marketing	Proposed Rule Limitations on Affiliate Marketing (Regulation S-AM) 34-49985, IC-26494, IA-2259 View Related Activity
July 7, 2004		Delegations of Authority to the Director of the Division of Market Regulation, the Director of the Division of Investment Management and the Director of the Office of Compliance Inspections and Examinations	Final Rule Delegations of Authority to the Director of the Division of Market Regulation, the Director of the Division of Investment Management and the Director of the Office of Compliance Inspections and Examinations 34-49973, IC-26493

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