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.

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.

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Rulemaking Activity

Issue Date	File Number	Rulemaking	Status
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
Dec. 17, 2003	S7-28-03	Disclosure of Breakpoint Discounts by Mutual Funds	Proposed Rule Disclosure of Breakpoint Discounts by Mutual Funds 33-8347 View Related Activity
Dec. 17, 2003	S7-03-03	Compliance Programs of Investment Companies and Investment Advisers	Final Rule Compliance Programs of Investment Companies and Investment Advisers IA-2204 View Related Activity
Dec. 16, 2003	S7-18-00	Processing Requirements for Cancelled Security Certificates	Final Rule Processing Requirements for Cancelled Security Certificates 34-48931, 34-43401 View Related Activity
Dec. 11, 2003	S7-27-03	Amendments to Rules Governing Pricing of Mutual Fund Shares	Proposed Rule Amendments to Rules Governing Pricing of Mutual Fund Shares IC-26288
Dec. 11, 2003	S7-26-03	Disclosure Regarding Market Timing and Selective Disclosure of Portfolio Holdings	Proposed Rule Disclosure Regarding Market Timing and Selective Disclosure of Portfolio Holdings 33-8343, 33-8408 View Related Activity
Nov. 24, 2003	S7-14-03	Disclosure Regarding Nominating Committee Functions and Communications Between Security Holders and Boards of Directors; Republication	Final Rule Disclosure Regarding Nominating Committee Functions and Communications Between Security Holders and Boards of Directors; Republication 33-8340 View Related Activity
Nov. 23, 2003	S7-25-03	Adoption of Amendments to the Rules of Practice and Delegations of Authority of the Commission	Proposed Rule Proposed Amendments to the Rules of Practice and Related Provisions 34-48832 View Related Activity
Nov. 17, 2003		Commission Guidance on Rule 3b-3 and Married Put Transactions	Interpretive Release Commission Guidance on Rule 3b-3 and Married Put Transactions 34-48795
Nov. 10, 2003	S7-50-02	Purchases of Certain Equity Securities by the Issuer and Others	Final Rule Purchases of Certain Equity Securities by the Issuer and Others 33-8335 View Related Activity
Oct. 28, 2003	S7-23-03	Short Sales	Proposed Rule Short Sales 34-48709 View Related Activity
Oct. 24, 2003	S7-22-03	Supervised Investment Bank Holding Companies	Proposed Rule Supervised Investment Bank Holding Companies 34-48694 View Related Activity
Oct. 24, 2003	S7-21-03	Alternative Net Capital Requirements for Broker-Dealers That Are Part of Consolidated Supervised Entities	Proposed Rule Alternative Net Capital Requirements for Broker-Dealers That Are Part of Consolidated Supervised Entities 34-48690 View Related Activity
Oct. 23, 2003	S7-20-03	Exemption From Shareholder Approval for Certain Subadvisory Contracts	Proposed Rule Exemption From Shareholder Approval for Certain Subadvisory Contracts 33-8312
Oct. 14, 2003	S7-19-03	Roundtable Discussion on Security Holder Director Nominations	Proposed Rule Security Holder Director Nominations 34-48626 View Related Activity
Oct. 2, 2003	S7-18-03	Fund of Funds Investments	Proposed Rule Fund of Funds Investments 33-8297, 33-8713 View Related Activity
Sept. 29, 2003	S7-17-02	Amendments to Investment Company Advertising Rules	Final Rule Amendments to Investment Company Advertising Rules 33-8294 View Related Activity
Sept. 25, 2003	S7-28-02	Custody of Funds or Securities of Clients by Investment Advisers	Final Rule Custody of Funds or Securities of Clients by Investment Advisers IA-2176 View Related Activity
Sept. 11, 2003	S7-15-03	Foreign Bank Exemption from the Insider Lending Prohibition of Exchange Act Section 13(k)	Proposed Rule Foreign Bank Exemption From the Insider Lending Prohibition of Exchange Act Section 13(k) 34-48481 View Related Activity
Sept. 11, 2003	S7-16-03	Additional Form F-6 Eligibility Requirement Related to the Listed Status of Deposited Securities Underlying American Depositary Receipts	Proposed Rule Additional Form F-6 Eligibility Requirement Related to the Listed Status of Deposited Securities Underlying American Depositary Receipts 33-8287
Sept. 4, 2003		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-8255A View Related Activity
Aug. 19, 2003		Adoption of Filing Fee Account Rule	Final Rule Adoption of Filing Fee Account Rule 33-8267
Aug. 8, 2003	S7-14-03	Disclosure Regarding Nominating Committee Functions and Communications Between Security Holders and Boards of Directors; Republication	Proposed Rule Disclosure Regarding Nominating Committee Functions and Communications Between Security Holders and Boards of Directors 34-48301 View Related Activity
Aug. 1, 2003	S7-48-02	Broker-Dealer Exemption From Sending Certain Financial Information to Customers	Final Rule Broker-Dealer Exemption From Sending Certain Financial Information to Customers 34-48272, 34-46920 View Related Activity
July 22, 2003		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-8255

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