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
May 1, 2001		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)	Interpretive Release 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) 34-44238
April 27, 2001	57-17-99	Recordkeeping Requirements for Transfer Agents	Final Rule Recordkeeping Requirements for Transfer Agents 34-44227, 34-41442 View Related Activity
March 19, 2001	S7-07-01	Electronic Recordkeeping by Public Utility Holding Companies	Proposed Rule Electronic Recordkeeping by Public Utility Holding Companies 35-27357 View Related Activity
March 15, 2001	S7-17-00	Firm Quote and Trade-Through Disclosure Rules for Options	Final Rule Firm Quote and Trade-Through Disclosure Rules for Options 34-44078 View Related Activity
March 15, 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 34-44079
March 13, 2001	S7-06-01	Electronic Recordkeeping by Investment Companies and Investment Advisers; Correction	Proposed Rule Electronic Recordkeeping by Investment Companies and Investment Advisers IC-24890 View Related Activity
March 9, 2001	S7-16-00	Disclosure of Order Execution and Routing Practices	Final Rule Disclosure of Order Execution and Routing Practices 34-44060 View Related Activity
March 8, 2001	S7-11-97	Investment Company Names	Final Rule Investment Company Names; Correction IC-24828A View Related Activity
March 5, 2001		Technical Amendments to Instructions for Registration Form for Certain Investment Company Securities	Final Rule Technical Amendments to Instructions for Registration Form for Certain Investment Company Securities 33-7959, IC-24886 View Related Activity
Feb. 28, 2001		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	Proposed Rule 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 33-7955
Feb. 27, 2001	S7-23-99	Role of Independent Directors of Investment Companies; Correction	Final Rule Role of Independent Directors of Investment Companies; Correction 33-7932A, 34-43786A, IC-24816A
Feb. 21, 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 34-43985
Feb. 1, 2001	S7-05-01	Foreign Utility Companies	Proposed Rule Foreign Utility Companies 35-27342
Jan. 26, 2001	S7-04-01	Disclosure of Equity Compensation Plan Information	Proposed Rule Disclosure of Equity Compensation Plan Information 33-7944 View Related Activity
Jan. 26, 2001	S7-30-98	Integration of Abandoned Offerings	Final Rule Integration of Abandoned Offerings 33-7943 View Related Activity
Jan. 19, 2001	S7-03-01	Proposed Rule Changes of Self-Regulatory Organizations	Proposed Rule Proposed Rule Changes of Self-Regulatory Organizations 34-43860
Jan. 18, 2001	S7-09-00	Disclosure of Mutual Fund After-Tax Returns	Final Rule Disclosure of Mutual Fund After-Tax Returns 33-7941, 34-43857, IC-24832 View Related Activity
Jan. 17, 2001		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-7933, 34-43843, 35-27338, 39-2388, IC-24827
Jan. 17, 2001	S7-11-97	Investment Company Names	Final Rule Investment Company Names IC-24828, IC-22530 View Related Activity
Jan. 2, 2001	S7-23-99	Role of Independent Directors of Investment Companies	Final Rule Role of Independent Directors of Investment Companies 33-7932, 34-42007, 34-43786, IC-24816 View Related Activity
Dec. 21, 2000	S7-10-00	Electronic Filing by Investment Advisers; Amendments to Form ADV; Technical Amendments	Final Rule Electronic Filing by Investment Advisers; Amendments to Form ADV; Technical Amendments IA-1916, 34-43758
Dec. 1, 2000	S7-12-98	Regulation of Alternative Trading Systems; Extension of Temporary Stay of Effectiveness	Final Rule Regulation of Alternative Trading Systems; Extension of Temporary Stay of Effectiveness 34-43651
Nov. 29, 2000	S7-20-00	Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate	Proposed Rule Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate IC-24775 View Related Activity
Nov. 27, 2000	4-434	Options Price Reporting Authority	Final Rule Options Price Reporting Authority 34-43621, 34-42755 View Related Activity
Nov. 21, 2000	S7-13-00	Revision of the Commission's Auditor Independence Requirements	Final Rule Revision of the Commission's Auditor Independence Requirements 33-7919, 34-43602, 35-27279, IC-24744, IA-1911, FR-56 View Related Activity
Nov. 17, 2000	S7-16-00	Disclosure of Order Execution and Routing Practices	Final Rule Disclosure of Order Execution and Routing Practices 34-43590 View Related Activity
Nov. 17, 2000	S7-17-00	Firm Quote and Trade-Through Disclosure Rules for Options	Final Rule Firm Quote and Trade-Through Disclosure Rules for Options 34-43591, 34-44852, 34-43085 View Related Activity
Oct. 27, 2000	S7-26-99	Delivery of Proxy Statements and Information Statements to Households	Final Rule Delivery of Proxy Statements and Information Statements to Households 33-7912, 34-43487, IC-24715
Oct. 2, 2000	S7-18-00	Processing Requirements for Cancelled Security Certificates	Proposed Rule Processing Requirements for Cancelled Security Certificates 34-43401, 34-48931 View Related Activity
Sept. 12, 2000	S7-10-00	Electronic Filing by Investment Advisers; Amendments To Form ADV	Final Rule Electronic Filing by Investment Advisers; Amendments To Form ADV IA-1897 View Related Activity
Sept. 1, 2000	S7-14-99	Amendments to the Commission's Freedom of Information and Privacy Act Rules and Confidential Treatment Rule 83	Final Rule Amendments to the Commission's Freedom of Information and Privacy Act Rules and Confidential Treatment Rule 83 34-43239, FOIA-191, PA-30
Aug. 29, 2000	S7-13-00	Revision of the Commission's Auditor Independence Requirements	Proposed Rule Revision of the Commission's Auditor Independence Requirements 33-7883 View Related Activity
Aug. 29, 2000	S7-29-99	Unlisted Trading Privileges	Final Rule Unlisted Trading Privileges 34-43217
Aug. 15, 2000	S7-7-99	Financial Statements and Periodic Reports for Related Issuers and Guarantors	Final Rule Financial Statements and Periodic Reports for Related Issuers and Guarantors 33-7878, 34-43124, International Series No. 1229, FR-55 Other Release No.: 33-7649 View Related Activity
Aug. 15, 2000	S7-31-99	Selective Disclosure and Insider Trading	Final Rule Selective Disclosure and Insider Trading 33-7881, 34-43154, IC-24599, 34-42259, 33-7815 View Related Activity
July 28, 2000	S7-17-00	Firm Quote and Trade-Through Disclosure Rules for Options	Proposed Rule Firm Quote and Trade-Through Disclosure Rules for Options 34-43085, 34-43591 View Related Activity
July 28, 2000	S7-16-00	Disclosure of Order Execution and Routing Practices	Proposed Rule Disclosure of Order Routing and Execution Practices 34-43084 View Related Activity
July 27, 2000	S7-14-00	Exemption From Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act for Registered Investment Companies	Final Rule Exemption From Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act for Registered Investment Companies 33-7877, IC-24582
July 24, 2000		Commission Guidance on Mini-Tender Offers and Limited Partnership Tender Offers	Interpretive Release Commission Guidance on Mini-Tender Offers and Limited Partnership Tender Offers 34-43069, IC-24564>
June 30, 2000	S7-13-00	Revision of the Commission's Auditor Independence Requirements	Proposed Rule Revision of the Commission's Auditor Independence Requirements 34-42994 View Related Activity

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