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 |
|---|---|---|---|
| S7-19-98 | Options Disclosure Document | View Related Activity | |
| S7-23-01 | Defining the Term "Qualified Purchaser" Under the Securities Act of 1933 | ||
| S7-22-01 | Custody of Investment Company Assets With a Securities Depository | View Related Activity | |
| S7-20-01 | Actively Managed Exchange-Traded Funds | ||
| S7-21-01 | Investment Company Mergers | View Related Activity | |
| S7-17-01 | Customer Margin Rules Relating to Security Futures | View Related Activity | |
| S7-26-98 | Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 | ||
| SR-NSCC-2001-14, SR-NYSE-2001-42 | Certifications and Exemptions Under the International Regulations for Preventing Collisions at Sea, 1972; Amendment | ||
| S7-18-01 | Mandated EDGAR Filing For Foreign Issuers | View Related Activity | |
| S7-14-01 | Request for Comment on the Effects of Decimal Trading in Subpennies; Extension of Comment Period | ||
| S7-09-00 | Disclosure of Mutual Fund After-Tax Returns | View Related Activity | |
| S7-17-00 | Firm Quote and Trade-Through Disclosure Rules for Options | 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 | |
| S7-16-01, 1-9641 | Customer Margin Rules Relating to Security Futures | ||
| Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
|||
| Calculation of Average Weekly Trading Volume Under Rule 144 and Termination of a Rule 10b5-1 Trading Plan | |||
| Bookkeeping Services Provided by Auditors To Audit Clients in Emergency or Other Unusual Situations | |||
| S7-15-01 | Cash Settlement and Regulatory Halt Requirements for Security Futures Products | View Related Activity | |
| S7-13-01 | Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934 | View Related Activity | |
| 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 | View Related Activity | |
| Delegation of Authority to the Director of the Division of Market Regulation | |||
| 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 | View Related Activity | |
| Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
|||
| Delegation of Authority to the Director of the Division of Market Regulation | |||
| S7-14-01 | Request for Comment on the Effects of Decimal Trading in Subpennies | ||
| S7-21-99 | Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities | View Related Activity | |
| S7-12-00 | Electronic Submission of Securities Transaction Information by Exchange Members, Brokers, and Dealers | View Related Activity | |
| 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 | View Related Activity | |
| S7-13-01 | Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934 | View Related Activity | |
| Application of the Electronic Signatures in Global and National Commerce Act To Record Retention Requirements Pertaining to Issuers Under the Securities Act of 1933, Securities Exchange Act of 1934 and Regulation S-T | |||
| S7-03-99 | International Disclosure Standards; Correction | ||
| Delegation of Authority to the Director of the Division of Market Regulation | |||
| S7-06-01 | Electronic Recordkeeping by Investment Companies and Investment Advisers; Correction | View Related Activity | |
| S7-07-01 | Electronic Recordkeeping by Public Utility Holding Companies | View Related Activity | |
| S7-12-01 | 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 | |
| S7-11-01 | 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 | View Related Activity | |
| 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 | View Related Activity | |
| Commission Guidance to Broker-Dealers on the Use of Electronic Storage Media Under the Electronic Signatures in Global and National Commerce Act of 2000 With Respect to Rule 17a-4(f) | |||
| 57-17-99 | Recordkeeping Requirements for Transfer Agents | View Related Activity | |
| S7-07-01 | Electronic Recordkeeping by Public Utility Holding Companies | View Related Activity | |
| S7-17-00 | Firm Quote and Trade-Through Disclosure Rules for Options | View Related Activity | |
| Delegation of Authority to the Director of the Division of Market Regulation | |||
| S7-06-01 | Electronic Recordkeeping by Investment Companies and Investment Advisers; Correction | View Related Activity | |
| S7-16-00 | Disclosure of Order Execution and Routing Practices | View Related Activity | |
| S7-11-97 | Investment Company Names | View Related Activity | |
| Technical Amendments to Instructions for Registration Form for Certain Investment Company Securities | View Related Activity | ||
| Public Information: Advanced Notice of Proposed Rulemaking on Electronic Reporting and Recordkeeping and Delayed Effective Date of Recordkeeping Provisions in the Electronic Signatures in Global and National Commerce Act of 2000 | |||
| S7-23-99 | Role of Independent Directors of Investment Companies; Correction | ||
| Delegation of Authority to the Director of the Division of Market Regulation | |||
| S7-05-01 | Foreign Utility Companies | ||
| S7-04-01 | Disclosure of Equity Compensation Plan Information | View Related Activity | |
| S7-30-98 | Integration of Abandoned Offerings | View Related Activity | |
| S7-03-01 | Proposed Rule Changes of Self-Regulatory Organizations | ||
| S7-09-00 | Disclosure of Mutual Fund After-Tax Returns | View Related Activity | |
| Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
|||
| S7-11-97 | Investment Company Names | View Related Activity | |
| S7-23-99 | Role of Independent Directors of Investment Companies | View Related Activity | |
| S7-10-00 | Electronic Filing by Investment Advisers; Amendments to Form ADV; Technical Amendments | ||
| S7-12-98 | Regulation of Alternative Trading Systems; Extension of Temporary Stay of Effectiveness | ||
| S7-20-00 | Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate | View Related Activity | |
| 4-434 | Options Price Reporting Authority | View Related Activity | |
| S7-13-00 | Revision of the Commission's Auditor Independence Requirements | View Related Activity |
Last Reviewed or Updated: Sept. 13, 2024