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.
| Issue Date | File Number | Rulemaking | Status |
|---|---|---|---|
| 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 |
|||
| 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 | ||
| S7-23-99 | Role of Independent Directors of Investment Companies | View Related Activity | |
| Interpretive Matters Concerning Independent Directors of Investment Companies | |||
| S7-22-99 | Audit Committee Disclosure | View Related Activity | |
| Effective | Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
||
| S7-3-99 | International Disclosure Standards | View Related Activity | |
| S7-21-99 | Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities | View Related Activity | |
| S7-27-98 | Purchases of Certain Equity Securities by the Issuer and Others | ||
| S7-25-95 | Personal Investment Activities of Investment Company Personnel | ||
| S7-19-99 | Political Contributions by Certain Investment Advisers | ||
| S7-8-99 | Year 2000 Operational Capability Requirements for Registered Broker-Dealers and Transfer Agents | ||
| 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 | ||
| S7-16-99 | Broker-Dealer Registration and Reporting | ||
| Delegation of Authority to Cancel Registration of Certain Investment Advisers | |||
| 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 | ||
| S7-17-99 | Recordkeeping Requirements for Transfer Agents | View Related Activity | |
| Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |