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 |
|---|---|---|---|
| S7-13-00 | Revision of the Commission's Auditor Independence Requirements | View Related Activity | |
| S7-16-00 | Disclosure of Order Execution and Routing Practices | View Related Activity | |
| S7-17-00 | Firm Quote and Trade-Through Disclosure Rules for Options | View Related Activity | |
| S7-26-99 | Delivery of Proxy Statements and Information Statements to Households | ||
| S7-18-00 | Processing Requirements for Cancelled Security Certificates | View Related Activity | |
| S7-10-00 | Electronic Filing by Investment Advisers; Amendments To Form ADV | View Related Activity | |
| S7-14-99 | Amendments to the Commission's Freedom of Information and Privacy Act Rules and Confidential Treatment Rule 83 | ||
| S7-13-00 | Revision of the Commission's Auditor Independence Requirements | View Related Activity | |
| S7-29-99 | Unlisted Trading Privileges | ||
| S7-7-99 | Financial Statements and Periodic Reports for Related Issuers and Guarantors | View Related Activity | |
| S7-31-99 | Selective Disclosure and Insider Trading | View Related Activity | |
| S7-17-00 | Firm Quote and Trade-Through Disclosure Rules for Options | View Related Activity | |
| S7-16-00 | Disclosure of Order Execution and Routing Practices | View Related Activity | |
| S7-14-00 | Exemption From Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act for Registered Investment Companies | ||
| Commission Guidance on Mini-Tender Offers and Limited Partnership Tender Offers | |||
| S7-13-00 | Revision of the Commission's Auditor Independence Requirements | View Related Activity | |
| S7-6-00 | Privacy of Consumer Financial Information (Regulation S-P) | View Related Activity | |
| Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
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| S7-10-99 | Offer and Sale of Securities to Canadian Tax-Deferred Retirement Savings Accounts | View Related Activity | |
| S7-11-99 | Revised Transfer Agent Form and Related Rule | View Related Activity | |
| Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
|||
| 4-434 | Options Price Reporting Authority | View Related Activity | |
| S7-12-00 | Electronic Submission of Securities Transaction Information by Exchange Members, Brokers, and Dealers | View Related Activity | |
| S7-11-00 | Use of Electronic Media | ||
| S7-15-99 | Custody of Investment Company Assets Outside the United States | ||
| S7-05-00 | Rulemaking for EDGAR System | View Related Activity | |
| S7-10-00 | Electronic Filing by Investment Advisers; Amendments To Form ADV | View Related Activity | |
| S7-12-98 | Regulation of Alternative Trading Systems; Suspension (Extension of Effective date to December 1, 2000) | ||
| S7-31-99 | Selective Disclosure and Insider Trading | View Related Activity | |
| S7-09-00 | Disclosure of Mutual Fund After-Tax Returns | View Related Activity | |
| S7-6-00 | Privacy of Consumer Financial Information (Regulation S-P) | View Related Activity | |
| S7-05-00 | Rulemaking for EDGAR System | View Related Activity | |
| S7-04-00 | International Accounting Standards | ||
| S7-03-00 | Supplementary Financial Information | ||
| Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
|||
| S7-22-99 | Audit Committee Disclosure | View Related Activity | |
| S7-31-99 | Selective Disclosure and Insider Trading | View Related Activity | |
| S7-30-99 | Registered Public-Utility Holding Companies and Internationalization | ||
| S7-28-99 | Regulation of Market Information Fees and Revenues | ||
| S7-29-99 | Unlisted Trading Privileges | ||
| 4-208 | Adoption of Amendments to the Intermarket Trading System Plan To Expand the ITS/Computer Assisted Execution System Linkage to All Listed Securities | ||
| S7-22-98 | Temporary Exemption for Certain Investment Advisers | View Related Activity | |
| S7-26-99 | Delivery of Proxy and Information Statements to Households | ||
| S7-27-97 | Delivery of Disclosure Documents to Households | View Related Activity | |
| S7-25-99 | Certain Broker-Dealers Deemed Not To Be Investment Advisers | View Related Activity | |
| S7-29-98 | Cross-Border Tender and Exchange Offers, Business Combinations and Rights Offerings | ||
| S7-28-98 | Regulation of Takeovers and Security Holder Communications | View Related Activity | |
| S7-24-99 | Short Sales |
Last Reviewed or Updated: Sept. 13, 2024