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.

Rules & Regulations

Enforcement & Litigation

Compliance

Rulemaking Activity

Issue Date	File Number	Rulemaking	Status
April 17, 2002	S7-11-02	Amendment to Definition of "Equity Security"	Final Rule Amendment to Definition of "Equity Security" 33-8091
April 12, 2002	S7-08-02	Acceleration of Periodic Report Filing Dates and Disclosure Concerning Web Site Access to Reports	Proposed Rule Acceleration of Periodic Report Filing Dates and Disclosure Concerning Website Access to Reports 33-8089 View Related Activity
April 12, 2002	S7-07-02	Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Annuity Contracts	Proposed Rule Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Annuity Contracts 33-8087 View Related Activity
April 12, 2002	S7-10-02	Exemption for Certain Investment Advisers Operating Through the Internet	Proposed Rule Exemption for Certain Investment Advisers Operating Through the Internet IA-2028 View Related Activity
April 12, 2002	S7-09-02	Form 8-K Disclosure of Certain Management Transactions	Proposed Rule Form 8-K Disclosure of Certain Management Transactions 33-8090 View Related Activity
April 12, 2002	S7-9-98	Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Life Insurance Policies	Final Rule Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Life Insurance Policies 33-8088, IC-25522, 33-7514 View Related Activity
March 20, 2002		Approved Information Collections	Final Rule Approved Information Collections 33-8071
March 18, 2002	S7-03-02	Requirements for Arthur Andersen LLP Auditing Clients	Final Rule Requirements for Arthur Andersen LLP Auditing Clients 33-8070
Jan. 31, 2002		Exemption of Transactions in Certain Options and Futures on Security Indexes From Section 31 of the Exchange Act	Final Rule Exemption of Transactions in Certain Options and Futures on Security Indexes From Section 31 of the Exchange Act 34-45371
Jan. 16, 2002	S7-02-02	Amendments to Rule 31-1, Securities Transactions Exempt From Transaction Fees	Final Rule Amendments to Rule 31-1, Securities Transactions Exempt From Transaction Fees 34-45291
Dec. 27, 2001		Commission Guidance on the Scope of Section 28(e) of the Exchange Act	Interpretive Release Commission Guidance on the Scope of Section 28(e) of the Exchange Act 34-45194
Dec. 21, 2001	S7-04-01	Disclosure of Equity Compensation Plan Information	Final Rule Disclosure of Equity Compensation Plan Information 33-8048 View Related Activity
Dec. 21, 2001	S7-19-98	Options Disclosure Document	Final Rule Options Disclosure Document 33-8049, 33-7550 View Related Activity
Dec. 19, 2001	S7-23-01	Defining the Term "Qualified Purchaser" Under the Securities Act of 1933	Proposed Rule Defining the Term "Qualified Purchaser" Under the Securities Act of 1933 33-8041
Nov. 15, 2001	S7-22-01	Custody of Investment Company Assets With a Securities Depository	Proposed Rule Custody of Investment Company Assets With a Securities Depository IC-25266 View Related Activity
Nov. 8, 2001	S7-20-01	Actively Managed Exchange-Traded Funds	Concept Release Actively Managed Exchange-Traded Funds IC-25258
Nov. 8, 2001	S7-21-01	Investment Company Mergers	Proposed Rule Investment Company Mergers IC-25259 View Related Activity
Oct. 29, 2001	S7-17-01	Customer Margin Rules Relating to Security Futures	Proposed Rule Customer Margin Rules Relating to Security Futures; 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 34-44996 View Related Activity
Oct. 26, 2001	S7-26-98	Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934	Final Rule Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 34-44992
Oct. 22, 2001	SR-NSCC-2001-14, SR-NYSE-2001-42	Certifications and Exemptions Under the International Regulations for Preventing Collisions at Sea, 1972; Amendment	Final Rule Certifications and Exemptions Under the International Regulations for Preventing Collisions at Sea, 1972; Amendment 34-44965
Sept. 28, 2001	S7-18-01	Mandated EDGAR Filing For Foreign Issuers	Proposed Rule Mandated EDGAR Filing for Foreign Issuers 33-8016 View Related Activity
Sept. 26, 2001	S7-14-01	Request for Comment on the Effects of Decimal Trading in Subpennies; Extension of Comment Period	Concept Release Request for Comment on the Effects of Decimal Trading in Subpennies; Extension of Comment Period 34-44845
Sept. 26, 2001	S7-09-00	Disclosure of Mutual Fund After-Tax Returns	Final Rule Disclosure of Mutual Fund After-Tax Returns; Extension of Compliance Date 33-8010, 34-44850, IC-25175 View Related Activity
Sept. 26, 2001	S7-17-00	Firm Quote and Trade-Through Disclosure Rules for Options	Final Rule Firm Quote and Trade-Through Disclosure Rules for Options 34-44852, 34-43591, 34-43085 View Related Activity
Sept. 25, 2001	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	Proposed Rule 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 34-44854 View Related Activity
Sept. 25, 2001	S7-16-01, 1-9641	Customer Margin Rules Relating to Security Futures	Proposed Rule Customer Margin Rules Relating to Security Futures 34-44853
Sept. 24, 2001		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-8007
Sept. 21, 2001		Calculation of Average Weekly Trading Volume Under Rule 144 and Termination of a Rule 10b5-1 Trading Plan	Interpretive Release Calculation of Average Weekly Trading Volume Under Rule 144 and Termination of a Rule 10b5-1 Trading Plan 33-8005a, 34-44820, FR-58
Sept. 14, 2001		Bookkeeping Services Provided by Auditors To Audit Clients in Emergency or Other Unusual Situations	Interpretive Release Bookkeeping Services Provided by Auditors To Audit Clients in Emergency or Other Unusual Situations 33-8004, 34-44792, IC-25157, FR-57
Aug. 24, 2001	S7-15-01	Cash Settlement and Regulatory Halt Requirements for Security Futures Products	Proposed Rule Cash Settlement and Regulatory Halt Requirements for Security Futures Products 34-44743 View Related Activity
Aug. 21, 2001	S7-13-01	Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934	Final Rule Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934 34-44730 View Related Activity
Aug. 20, 2001	S7-11-01	Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index; Joint Final Rule	Final Rule Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index; Joint Final Rule 34-44724 View Related Activity
Aug. 13, 2001		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 34-44691
Aug. 13, 2001	S7-10-01	Registration of National Securities Exchanges Pursuant to Section 6(g) of the Securities Exchange Act of 1934 and Proposed Rule Changes of Certain National Securities Exchanges and Limited Purpose National Securities Associations	Final Rule Registration of National Securities Exchanges Pursuant to Section 6(g) of the Securities Exchange Act of 1934 and Proposed Rule Changes of Certain National Securities Exchanges and Limited Purpose National Securities Associations 34-44692 View Related Activity
Aug. 7, 2001		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-7999
July 31, 2001		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 34-44626
July 18, 2001	S7-14-01	Request for Comment on the Effects of Decimal Trading in Subpennies	Concept Release Request for Comment on the Effects of Decimal Trading in Subpennies 34-44568
July 5, 2001	S7-21-99	Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities	Final Rule Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities IC-25058, IC-24050 View Related Activity
June 29, 2001	S7-12-00	Electronic Submission of Securities Transaction Information by Exchange Members, Brokers, and Dealers	Final Rule Electronic Submission of Securities Transaction Information by Exchange Members, Brokers, and Dealers 34-44494 View Related Activity
June 26, 2001	S7-11-01	Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index; Joint Final Rule	Proposed Rule Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index 34-44475 View Related Activity

More in this Section

Rulemaking Activity