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.

Issue Date File Number Rulemaking Status
S7-28-98 Regulation of Takeovers and Security Holder Communications
Final Rule
Regulation of Takeovers and Security Holder Communications
33-7760, 34-42055, 33-7607
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S7-24-99 Short Sales
Concept Release
Short Sales
34-42037
S7-23-99 Role of Independent Directors of Investment Companies
Proposed Rule
Role of Independent Directors of Investment Companies
34-42007, 33-7932
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Interpretive Matters Concerning Independent Directors of Investment Companies
Interpretive Release
Interpretive Matters Concerning Independent Directors of Investment Companies
IC-24083
S7-22-99 Audit Committee Disclosure
Proposed Rule
Audit Committee Disclosure
34-41987, 34-42266
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Effective Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-7752, 34-41986, 35-27081, 39-2376, IC-24075
S7-3-99 International Disclosure Standards
Final Rule
International Disclosure Standards
34-41936, 33-7637
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S7-21-99 Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities
Proposed Rule
Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities
IC-24050, IC-25058
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S7-27-98 Purchases of Certain Equity Securities by the Issuer and Others
Final Rule
Purchases of Certain Equity Securities by the Issuer and Others
34-41905
S7-25-95 Personal Investment Activities of Investment Company Personnel
Final Rule
Personal Investment Activities of Investment Company Personnel
33-7728, IC-23958, IA-1815
S7-19-99 Political Contributions by Certain Investment Advisers
Proposed Rule
Political Contributions by Certain Investment Advisers
IA-1812
S7-8-99 Year 2000 Operational Capability Requirements for Registered Broker-Dealers and Transfer Agents
Final Rule
Year 2000 Operational Capability Requirements for Registered Broker-Dealers and Transfer Agents
34-41661
S7-18-99 Exemption of the Securities of the Republic of Portugal Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
Proposed Rule
Exemption of the Securities of the Republic of Portugal Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
34-41644
S7-16-99 Broker-Dealer Registration and Reporting
Final Rule
Broker-Dealer Registration and Reporting
34-41594
Delegation of Authority to Cancel Registration of Certain Investment Advisers
Final Rule
Delegation of Authority to Cancel Registration of Certain Investment Advisers
IA-1804
S7-4-99 Exemption of the Securities of the Kingdom of Sweden Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
Final Rule
Exemption of the Securities of the Kingdom of Sweden Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
34-41453
S7-17-99 Recordkeeping Requirements for Transfer Agents
Proposed Rule
Recordkeeping Requirements for Transfer Agents
34-41442, 34-44227
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Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-7685, 34-41411, 35-27026, 39-2373, IC-23844
S7-9-99 Rulemaking for EDGAR System
Final Rule
Rulemaking for EDGAR System
33-7684, : 34-41410, IC-23843
S7-11-99 Revised Transfer Agent Form and Related Rule
Proposed Rule
Revised Transfer Agent Form and Related Rule
34-41204, 34-42892
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S7-17-96 Broker-Dealer Registration and Reporting
Final Rule
Broker-Dealer Registration and Reporting
34-41356
S7-16-99 Broker-Dealer Registration and Reporting
Proposed Rule
Broker-Dealer Registration and Reporting
34-41351
S7-15-99 Custody of Investment Company Assets Outside the United States
Proposed Rule
Custody of Investment Company Assets Outside the United States
IC-23815
S7-23-95 Custody of Investment Company Assets Outside the United States; Extension of Compliance Date
Final Rule
Custody of Investment Company Assets Outside the United States; Extension of Compliance Date
IC-23814, IS-1193
S7-12-98 Regulation of Alternative Trading Systems; Technical Amendment
Final Rule
Regulation of Alternative Trading Systems; Technical Amendment
34-41297
S7-31-98 Deregistration of Certain Registered Investment Companies
Final Rule
Deregistration of Certain Registered Investment Companies
IC-23786, IC-23588
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S7-14-99 Amendments to the Commission's Freedom of Information Act, Privacy Act, and Confidential Treatment Rules
Proposed Rule
Amendments to the Commission's Freedom of Information Act, Privacy Act, and Confidential Treatment Rules
34-41288
S7-5-99 Publication or Submission of Quotations Without Specified Information
Proposed Rule
Publication or Submission of Quotations Without Specified Information
34-41261
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S7-2-99 Transition Rule for Ohio Investment Advisers
Final Rule
Transition Rule for Ohio Investment Advisers
IA-1794, IA-1787
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S7-30-98 The Regulation of Securities Offerings
Proposed Rule
The Regulation of Securities Offerings
33-7659
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S7-10-99 Offer and Sale of Securities to Canadian Tax-Deferred Retirement Savings Accounts
Proposed Rule
Offer and Sale of Securities to Canadian Tax-Deferred Retirement Savings Accounts
33-7656, 33-7860
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S7-12-98 Regulation of Exchanges and Alternative Trading Systems. Correction;
Final Rule
Regulation of Exchanges and Alternative Trading Systems. Correction;
3440760a
S7-9-99 Rulemaking for EDGAR System
Proposed Rule
Rulemaking for EDGAR System
33-7653
S7-8-99 Operational Capability Requirements of Registered Broker-Dealers and Transfer Agents and Year 2000 Compliance
Proposed Rule
Operational Capability Requirements of Registered Broker-Dealers and Transfer Agents and Year 2000 Compliance
34-41142
S7-5-99 Publication or Submission of Quotations Without Specified Information
Proposed Rule
Publication or Submission of Quotations Without Specified Information
34-41110, 34-41261
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S7-7-99 Financial Statements and Periodic Reports for Related Issuers and Guarantors
Proposed Rule
Financial Statements and Periodic Reports for Related Issuers and Guarantors
33-7649, 33-7878
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S7-15-98 Exemption of the Securities of the Kingdom of Belgium Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
Final Rule
Exemption of the Securities of the Kingdom of Belgium Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
34-41116, International Series Release No. 118, 34-40077
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S7-2-98 Registration of Securities on Form S-8
Proposed Rule
Registration of Securities on Form S-8
33-7647
Revision of Rule 504 of Regulation D, the "Seed Capital' Exemption
Final Rule
Revision of Rule 504 of Regulation D, the "Seed Capital' Exemption
33-7644, S7-14-98, 33-7541
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S7-2-98 Registration of Securities on Form S-8
Final Rule
Registration of Securities on Form S-8
33-7646, 34-41109
S7-5-98 Rule 701Exempt Offerings Pursuant to Compensatory Arrangements
Final Rule
Rule 701Exempt Offerings Pursuant to Compensatory Arrangements
33-7645, 33-7511
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S7-2-99 Transition Rule for Ohio Investment Advisers
Proposed Rule
Transition Rule for Ohio Investment Advisers
IA-1787, IA-1794
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S7-3-99 International Disclosure Standards
Proposed Rule
International Disclosure Standards
33-7637, 34-41936
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S7-23-95 Custody of Investment Company Assets Outside the United States
Final Rule
Custody of Investment Company Assets Outside the United States
IC-23670, IS-1179
S7-18-97 Rulemaking for EDGAR System
Final Rule
Rulemaking for EDGAR System
34-40934, IC-23640
S7-31-96, S7-7-86 Technical Amendments Under the Investment Advisers Act of 1940
Final Rule
Technical Amendments Under the Investment Advisers Act of 1940
IA-1780
S7-28-97 Technical Changes to Schedule I to Form ADV
Final Rule
Technical Changes to Schedule I to Form ADV
IA-1733A
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S7-17-98 Segment Reporting
Final Rule
Segment Reporting
33-7620, 33-7549
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S7-12-98 Regulation of Exchanges and Alternative Trading Systems
Final Rule
Regulation of Exchanges and Alternative Trading Systems
34-40760, 34-39884
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S7-13-98 Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products
Final Rule
Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products
34-40761
S7-31-98 Deregistration of Certain Registered Investment Companies
Proposed Rule
Deregistration of Certain Registered Investment Companies
IC-23588, IC-23786
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S7-29-98 Cross-Border Tender Offers, Business Combinations and Rights Offerings
Proposed Rule
Cross-Border Tender Offers, Business Combinations and Rights Offerings
33-7611
S7-30-98 The Regulation of Securities Offerings
Proposed Rule
The Regulation of Securities Offerings
33-7606A
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Frequently Asked Questions About the Statement of the Commission Regarding Disclosure of Year 2000 Issues and Consequences by Public Companies
Interpretive Release
Frequently Asked Questions About the Statement of the Commission Regarding Disclosure of Year 2000 Issues and Consequences by Public Companies
33-7609
S7-26-98 Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
Proposed Rule
Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
34-40643
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S7-30-97 OTC Derivatives Dealers; Correction
Final Rule
OTC Derivatives Dealers; Correction
34-40594a, 34-39454, 34-39455, 34-39456, 34-39704, 34-40594
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