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
June 8, 2004	S7-21-03	Alternative Net Capital Requirements for Broker-Dealers That Are Part of Consolidated Supervised Entities	Final Rule Alternative Net Capital Requirements for Broker-Dealers That Are Part of Consolidated Supervised Entities 34-49830 View Related Activity
June 8, 2004	S7-22-03	Supervised Investment Bank Holding Companies	Final Rule Supervised Investment Bank Holding Companies 34-49831 View Related Activity
June 7, 2004	S7-28-03	Disclosure of Breakpoint Discounts by Mutual Funds	Final Rule Disclosure of Breakpoint Discounts by Mutual Funds 33-8427, 34-49817, IC-26464 View Related Activity
May 20, 2004	S7-10-04	Regulation NMS	Proposed Rule Regulation NMS 34-49749 View Related Activity
May 14, 2004		Commission Guidance Regarding the Public Company Accounting Oversight Board's Auditing and Related Professional Practice Standard No. 1	Interpretive Release Commission Guidance Regarding the Public Company Accounting Oversight Board's Auditing and Related Professional Practice Standard No. 1 33-8422, FR-73 View Related Activity
May 3, 2004	S7-20-04	Certain Thrift Institutions Deemed Not To Be Investment Advisers	Proposed Rule Certain Thrift Institutions Deemed Not To Be Investment Advisers 34-49639 View Related Activity
May 3, 2004	S7-21-04	Asset-Backed Securities	Proposed Rule Asset-Backed Securities 33-8419 View Related Activity
April 26, 2004	S7-15-03	Foreign Bank Exemption from the Insider Lending Prohibition of Exchange Act Section 13(k)	Final Rule Foreign Bank Exemption from the Insider Lending Prohibition of Exchange Act Section 13(k) 34-49616 View Related Activity
April 21, 2004	S7-14-04	Mandated Electronic Filing for Form ID	Final Rule Mandated Electronic Filing for Form ID 33-8410 View Related Activity
April 19, 2004	S7-26-03	Disclosure Regarding Market Timing and Selective Disclosure of Portfolio Holdings	Final Rule Disclosure Regarding Market Timing and Selective Disclosure of Portfolio Holdings 33-8408, 33-8343 View Related Activity
April 19, 2004		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-8409
April 15, 2004	S7-19-04	Use of Form S-8, Form 8-K, and Form 20-F by Shell Companies	Proposed Rule Use of Form S-8 and Form 8-K by Shell Companies 33-8407 View Related Activity
April 14, 2004		Revision of Rule Concerning Holding Period and Disclosure Requirements for Members' and Employees' Investment Company Transactions	Final Rule Revision of Rule Concerning Holding Period and Disclosure Requirements for Members' and Employees' Investment Company Transactions 34-49562 View Related Activity
March 30, 2004	S7-18-04	Proposed Rule Changes of Self-Regulatory Organizations	Proposed Rule Proposed Rule Changes of Self-Regulatory Organizations 34-49505 View Related Activity
March 22, 2004	S7-17-04	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 33-8404
March 18, 2004	S7-15-04	First-Time Application of International Financial Reporting Standards	Proposed Rule First-Time Application of International Financial Reporting Standards; Correction 33-8397A View Related Activity
March 16, 2004	S7-16-04	Rulemaking for EDGAR System	Proposed Rule Rulemaking for EDGAR System 33-8401 View Related Activity
March 16, 2004	S7-22-02	Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date	Final Rule Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date 33-8400 View Related Activity
March 15, 2004	S7-14-04	Mandated Electronic Filing for Form ID	Proposed Rule Mandated Electronic Filing for Form ID 33-8399 View Related Activity
March 12, 2004	S7-25-03	Adoption of Amendments to the Rules of Practice and Delegations of Authority of the Commission	Final Rule Adoption of Amendments to the Rules of Practice and Delegations of Authority of the Commission 34-49412 View Related Activity
March 11, 2004	S7-13-04	Securities Transactions Settlement	Concept Release Securities Transactions Settlement 33-8398
March 11, 2004	S7-15-04	First-Time Application of International Financial Reporting Standards	Proposed Rule First-Time Application of International Financial Reporting Standards 33-8397 View Related Activity
March 11, 2004	S7-12-04	Disclosure Regarding Portfolio Managers of Registered Management Investment Companies	Proposed Rule Disclosure Regarding Portfolio Managers of Registered Management Investment Companies 33-8396 View Related Activity
March 5, 2004	S7-11-04	Mutual Fund Redemption Fees	Proposed Rule Mandatory Redemption Fees for Redeemable Fund Securities IC-26375A View Related Activity
Feb. 27, 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 33-8393, 33-8393A, 33-8164 View Related Activity
Feb. 26, 2004	S7-10-04	Regulation NMS	Proposed Rule Regulation NMS 34-49325 View Related Activity
Feb. 24, 2004	S7-09-04	Prohibition on the Use of Brokerage Commissions To Finance Distribution	Proposed Rule Prohibition on the Use of Brokerage Commissions To Finance Distribution IC-26356 View Related Activity
Feb. 24, 2004	S7-40-02, S7-06-03	Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports Corporation Finance	Final Rule Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports 33-8392
Feb. 17, 2004		Delegation of Authority to the Director of the Division of Market Regulation	Final Rule Delegation of Authority to the Director of the Division of Market Regulation 34-49259
Feb. 11, 2004	S7-08-04	Disclosure Regarding Approval of Investment Advisory Contracts by Directors of Investment Companies	Proposed Rule Disclosure Regarding Approval of Investment Advisory Contracts by Directors of Investment Companies 33-8364 View Related Activity
Feb. 3, 2004	S7-07-04	Competitive Developments in the Options Markets	Concept Release Competitive Developments in the Options Markets 34-49175
Jan. 29, 2004	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 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 33-8358, 33-8544 View Related Activity
Jan. 20, 2004	S7-05-04	Collection Practices Under Section 31 of the Exchange Act	Proposed Rule Collection Practices Under Section 31 of the Exchange Act 34-49104 View Related Activity
Jan. 20, 2004	S7-04-04	Investment Adviser Codes of Ethics	Proposed Rule Investment Adviser Codes of Ethics IA-2209 View Related Activity
Jan. 15, 2004	S7-03-04	Investment Company Governance	Proposed Rule Investment Company Governance IC-26323, IC-26985 View Related Activity
Jan. 8, 2004	S7-02-04	Amendments to the Penny Stock Rules	Proposed Rule Amendments to the Penny Stock Rules 34-49037 View Related Activity
Dec. 22, 2003	S7-30-03	Interagency Proposal to Consider Alternative Forms of Privacy Notices Under the Gramm-Leach-Bliley Act	Concept Release Interagency Proposal to Consider Alternative Forms of Privacy Notices Under the Gramm-Leach-Bliley Act 34-48966
Dec. 19, 2003	S7-29-03	Request for Comments on Measures To Improve Disclosure of Mutual Fund Transaction Costs	Concept Release Request for Comments on Measures To Improve Disclosure of Mutual Fund Transaction Costs 33-8349
Dec. 19, 2003		Commission Guidance Regarding Management's Discussion and Analysis of Financial Condition and Results of Operations	Interpretive Release Commission Guidance Regarding Management's Discussion and Analysis of Financial Condition and Results of Operations 33-8350, 34-48960, FR-72
Dec. 18, 2003	S7-13-03	Recordkeeping Requirements for Registered Transfer Agents	Final Rule Recordkeeping Requirements for Registered Transfer Agents 34-48949 View Related Activity

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