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
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
June 20, 2001	S7-13-01	Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934	Proposed Rule Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934 34-44455 View Related Activity
June 14, 2001		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	Interpretive Release 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 33-7985, 34-44424, 35-27419, IC-25003
June 12, 2001	S7-03-99	International Disclosure Standards; Correction	Final Rule International Disclosure Standards; Correction 33-7983, 34-44406, IA-1249
June 7, 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 34-44397
May 24, 2001	S7-06-01	Electronic Recordkeeping by Investment Companies and Investment Advisers; Correction	Final Rule Electronic Recordkeeping by Investment Companies and Investment Advisers; Correction IC-24991, IA-1945 View Related Activity
May 24, 2001	S7-07-01	Electronic Recordkeeping by Public Utility Holding Companies	Final Rule Electronic Recordkeeping by Public Utility Holding Companies 35-27404 View Related Activity
May 11, 2001	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	Final Rule 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 34-44291 View Related Activity
May 10, 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 34-44288 View Related Activity
May 8, 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	Proposed Rule Registration of National Securities Exchanges Pursuant to Section 6(g) of the Securities Exchange Act of 1934 and Proposed Rule Changes of National Securities Exchanges and Limited Purpose National Securities Associations 34-44279 View Related Activity
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

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