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 |
|---|---|---|---|
| S7-07-03 | Request for Comment on the NYSE Petition Relating to Participant Fee Exemptions | ||
| S7-40-02 | Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002
Corporation Finance |
View Related Activity | |
| S7-49-02 | Strengthening the Commission's Requirements Regarding Auditor Independence
Corporation Finance |
View Related Activity | |
| S7-26-98 | Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 | View Related Activity | |
| S7-06-03 | Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports
Corporation Finance |
View Related Activity | |
| S7-20-02 | Customer Protection-Reserves and Custody of Securities; Delegation of Authority to the Director of the Division of Market Regulation | View Related Activity | |
| S7-30-02 | Regulation Analyst Certification | View Related Activity | |
| S7-41-02 | Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934 | View Related Activity | |
| S7-22-01 | Custody of Investment Company Assets With a Securities Depository | View Related Activity | |
| S7-04-03 | Rules of Practice | View Related Activity | |
| S7-03-03 | Compliance Programs of Investment Companies and Investment Advisers | View Related Activity | |
| S7-36-02 | Disclosure of Proxy Voting Policies and Proxy Voting Records by Registered Management Investment Companies | View Related Activity | |
| S7-38-02 | Proxy Voting by Investment Advisers | View Related Activity | |
| S7-45-02 | Implementation of Standards of Professional Conduct for Attorneys | View Related Activity | |
| S7-45-02 | Implementation of Standards of Professional Conduct for Attorneys | View Related Activity | |
| S7-42-02 | Disclosure in Management's Discussion and Analysis About Off-Balance Sheet Arrangements and Aggregate Contractual Obligations | View Related Activity | |
| S7-49-02 | Strengthening the Commission's Requirements Regarding Auditor Independence
Corporation Finance |
View Related Activity | |
| S7-33-02, S7-40-02 | Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002
Corporation Finance |
||
| S7-46-02 | Retention of Records Relevant to Audits and Reviews | View Related Activity | |
| S7-40-02 | Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002
Corporation Finance |
View Related Activity | |
| S7-43-02 | Conditions for Use of Non-GAAP Financial Measures | View Related Activity | |
| S7-44-02 | Insider Trades During Pension Fund Blackout Periods | View Related Activity | |
| S7-13-02 | Transactions of Investment Companies With Portfolio and Subadviser Affiliates | View Related Activity | |
| S7-02-03 | Standards Relating to Listed Company Audit Committees | View Related Activity | |
| S7-29-02 | Exemption for Standardized Options From Provisions of the Securities Act of 1933 and From the Registration Requirements of the Securities Exchange Act of 1934 | View Related Activity | |
| S7-52-02 | Mandated Electronic Filing and Web Site Posting for Forms 3, 4 and 5 | View Related Activity | |
| S7-51-02 | Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies | View Related Activity | |
| S7-18-02 | Repeal of the Trade-Through Disclosure Rules for Options | View Related Activity | |
| S7-10-02 | Exemption for Certain Investment Advisers Operating Through the Internet | View Related Activity | |
| S7-50-02 | Purchases of Certain Equity Securities by the Issuer and Others | View Related Activity | |
| S7-49-02 | Strengthening the Commission's Requirements Regarding Auditor Independence
Corporation Finance |
View Related Activity | |
| S7-47-02 | Certain Research and Development Companies | View Related Activity | |
| S7-48-02 | Broker-Dealer Exemption From Sending Certain Financial Information to Customers | View Related Activity | |
| S7-46-02 | Retention of Records Relevant to Audits and Reviews | View Related Activity | |
| S7-45-02 | Implementation of Standards of Professional Conduct for Attorneys | View Related Activity | |
| S7-07-02 | Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Annuity Contracts | View Related Activity | |
| S7-44-02 | Insider Trades During Pension Fund Blackout Periods | View Related Activity | |
| S7-43-02 | Conditions for Use of Non-GAAP Financial Measures | View Related Activity | |
| S7-42-02 | Disclosure in Management's Discussion and Analysis About Off-Balance Sheet Arrangements and Aggregate Contractual Obligations | View Related Activity | |
| S7-41-02 | Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934 | View Related Activity | |
| S7-40-02, S7-06-03 | Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002
Corporation Finance |
||
| S7-39-02 | Improper Influence on Conduct of Audits | View Related Activity | |
| Delegation of Authority to the Director of the Division of Market Regulation | |||
| S7-38-02 | Proxy Voting by Investment Advisers | View Related Activity | |
| S7-36-02 | Disclosure of Proxy Voting Policies and Proxy Voting Records by Registered Management Investment Companies | View Related Activity | |
| S7-34-02 | Rule 15c3-3 Reserve Requirements for Margin Related to Security Futures Products | View Related Activity | |
| S7-17-01 | Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products | View Related Activity | |
| S7-19-02 | Confirmation Requirements for Transactions of Security Futures Products Effected in Futures Accounts | View Related Activity | |
| S7-08-02 | Acceleration of Periodic Report Filing Dates and Disclosure Concerning Web Site Access to Reports | View Related Activity | |
| S7-33-02 | Certification of Disclosure in Companies' Quarterly and Annual Reports | View Related Activity | |
| S7-32-02 | Draft Interagency White Paper on Sound Practices to Strengthen the Resilience of the U.S. Financial System | ||
| S7-21-02 | Certification of Disclosure in Companies' Quarterly and Annual Reports | View Related Activity | |
| Delegation of Authority to the General Counsel of the Commission | |||
| S7-31-02 | Ownership Reports and Trading by Officers, Directors and Principal Security Holders | View Related Activity | |
| S7-21-02 | Certification of Disclosure in Companies' Quarterly and Annual Reports | View Related Activity | |
| S7-30-02 | Regulation Analyst Certification | View Related Activity | |
| S7-16-01 | Customer Margin Rules Relating to Security Futures | View Related Activity | |
| S7-29-02 | Exemption for Standardized Options From Provisions of the Securities Act of 1933 and From the Registration Requirements of the Securities Exchange Act of 1934 | View Related Activity | |
| S7-28-02 | Custody of Funds or Securities of Clients by Investment Advisers | View Related Activity | |
| S7-21-01 | Investment Company Mergers | View Related Activity | |
| S7-26-02 | Customer Identification Programs for Mutual Funds | View Related Activity | |
| S7-25-02 | Customer Identification Programs for Broker-Dealers | View Related Activity | |
| S7-14-02 | Assessments on Security Futures Transactions and Fees on Sales of Securities Resulting from Physical Settlement of Security Futures Pursuant to Section 31 of the Exchange Act | View Related Activity | |
| S7-24-02 | Certification of Disclosure in Companies' Quarterly and Annual Reports | View Related Activity | |
| Technical Amendments to Rules and Forms Due to the National Securities Markets Improvement Act of 1996 and the Gramm-Leach-Bliley Act | |||
| S7-23-02 | Commission Guidance on the Application of Certain Provisions of the Securities Act of 1933, the Securities Exchange Act of 1934, and Rules Thereunder to Trading in Security Futures Products | ||
| S7-21-02 | Certification of Disclosure in Companies' Quarterly and Annual Reports | View Related Activity | |
| S7-22-02 | Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date | View Related Activity | |
| S7-20-02 | Customer Protection-Reserves and Custody of Securities; Delegation of Authority to the Director of the Division of Market Regulation | View Related Activity | |
| S7-19-02 | Confirmation Requirements for Transactions of Security Futures Products Effected in Futures Accounts | View Related Activity | |
| S7-18-02 | Repeal of the Trade-Through Disclosure Rules for Options | View Related Activity | |
| S7-17-02 | Amendments to Investment Company Advertising Rules | View Related Activity | |
| S7-15-01 | Cash Settlement and Regulatory Halt Requirements for Security Futures Products | View Related Activity | |
| S7-18-01 | Mandated EDGAR Filing For Foreign Issuers | View Related Activity | |
| S7-16-02 | Disclosure in Management's Discussion and Analysis About the Application of Critical Accounting Policies | ||
| S7-15-02 | Interagency White Paper on Structural Change in the Settlement of Government Securities: Issues and Options | ||
| S7-14-02 | Assessments on Security Futures Transactions and Fees on Sales of Securities Resulting from Physical Settlement of Security Futures Pursuant to Section 31 of the Exchange Act | View Related Activity | |
| S7-13-02 | Transactions of Investment Companies With Portfolio and Subadviser Affiliates | View Related Activity | |
| Delegation of Authority to the Secretary of the Commission | View Related Activity | ||
| S7-20-00 | Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate | View Related Activity | |
| S7-11-02 | Amendment to Definition of "Equity Security" | ||
| S7-08-02 | Acceleration of Periodic Report Filing Dates and Disclosure Concerning Web Site Access to Reports | View Related Activity | |
| S7-07-02 | Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Annuity Contracts | View Related Activity | |
| S7-10-02 | Exemption for Certain Investment Advisers Operating Through the Internet | View Related Activity | |
| S7-09-02 | Form 8-K Disclosure of Certain Management Transactions | View Related Activity | |
| S7-9-98 | Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Life Insurance Policies | View Related Activity | |
| Approved Information Collections | |||
| S7-03-02 | Requirements for Arthur Andersen LLP Auditing Clients | ||
| Exemption of Transactions in Certain Options and Futures on Security Indexes From Section 31 of the Exchange Act | |||
| S7-02-02 | Amendments to Rule 31-1, Securities Transactions Exempt From Transaction Fees | ||
| Commission Guidance on the Scope of Section 28(e) of the Exchange Act | |||
| S7-04-01 | Disclosure of Equity Compensation Plan Information | View Related Activity |
Last Reviewed or Updated: Sept. 13, 2024