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.

Issue Date File Number Rulemaking Status
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
View Related Activity
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
View Related Activity
S7-3-99 International Disclosure Standards
Proposed Rule
International Disclosure Standards
33-7637, 34-41936
View Related Activity
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
View Related Activity
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
View Related Activity
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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S7-19-97 Update of Registration Form to Reflect Fee Rate Change for Registration of Certain Investment Company Securities
Final Rule
Update of Registration Form To Reflect Fee Rate Change for Registration of Certain Investment Company Securities
33-7608, 33-7478
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S7-23-98 Rules of Practice
Final Rule
Rules of Practice
34-40636
S7-28-98 Regulation of Takeovers and Security Holder Communications
Proposed Rule
Regulation of Takeovers and Security Holder Communications
33-7607, 33-7760
View Related Activity
S7-27-98 Purchases of Certain Equity Securities by the Issuer and Others
Proposed Rule
Purchases of Certain Equity Securities by the Issuer and Others
34-40617
S7-7-98 Reports To Be Made by Certain Brokers and Dealers
Final Rule
Reports To Be Made by Certain Brokers and Dealers
34-40608
S7-30-97 OTC Derivatives Dealers
Final Rule
OTC Derivatives Dealers
34-40594
S7-8-98 Year 2000 Readiness Reports To Be Made by Certain Non-Bank Transfer Agents
Final Rule
Year 2000 Readiness Reports To Be Made by Certain Non-Bank Transfer Agents
34-40587
S7-16-98 Amendment to Rule 102(e) of the Commission's Rules of Practice
Final Rule
Amendment to Rule 102(e) of the Commission's Rules of Practice
33-7593
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
34-40518
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S7-20-98 Investment Adviser Year 2000 Reports
Final Rule
Investment Adviser Year 2000 Reports
IA-1769, IA-1728
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S7-25-98 Processing of Reorganization Events, Tender Offers, and Exchange Offers
Proposed Rule
Processing of Reorganization Events, Tender Offers, and Exchange Offers
34-40386
S7-23-98 Rules of Practice
Proposed Rule
Rules of Practice
34-40364
S7-8-98 Year 2000 Readiness Reports To Be Made by Certain Transfer Agents Correction
Final Rule
Year 2000 Readiness Reports To Be Made by Certain Transfer Agents Correction
34-40163A
Statement of the Commission Regarding Disclosure of Year 2000 Issues and Consequences by Public Companies, Investment Advisers, Investment Companies, and Municipal Securities Issuers
Interpretive Release
Statement of the Commission Regarding Disclosure of Year 2000 Issues and Consequences by Public Companies, Investment Advisers, Investment Companies, and Municipal Securities Issuers
33-7558
4-208 Intermarket Trading System ("ITS') Plan; Proposed Amendments to Expand the ITS/Computer Assisted Execution System Linkage to all Listed Securities and to Eliminate the Unanimous Vote Provision
Proposed Rule
Intermarket Trading System ("ITS') Plan; Proposed Amendments to Expand the ITS/Computer Assisted Execution System Linkage to all Listed Securities and to Eliminate the Unanimous Vote Provision
34-40260
S7-22-98 Temporary Exemption for Certain Investment Advisers
Proposed Rule
Temporary Exemption for Certain Investment Advisers
IC-23325, IC-24177
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S7-28-97 Exemption for Investment Advisers Operating in Multiple States; Revisions to Rules Implementing Amendments to the Investment Advisers Act of 1940; Investment Advisers With Principal Offices and Places of Business in Colorado or Iowa
Final Rule
Exemption for Investment Advisers Operating in Multiple States; Revisions to Rules Implementing Amendments to the Investment Advisers Act of 1940; Investment Advisers With Principal Offices and Places of Business in Colorado or Iowa
IA-1733, IA-1681
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Interpretation of Section 206(3) of the Investment Advisers Act of 1940
Interpretive Release
Interpretation of Section 206(3) of the Investment Advisers Act of 1940
IA-1732
4-208 Proposed Rulemaking Pursuant to Section 11A of the Securities Exchange Act of 1934 to Amend the Intermarket Trading System ("ITS') Plan To Link the PCX Application of the OptiMark System to the ITS System
Proposed Rule
Proposed Rulemaking Pursuant to Section 11A of the Securities Exchange Act of 1934 to Amend the Intermarket Trading System ("ITS') Plan To Link the PCX Application of the OptiMark System to the ITS System
34-40204
S7-16-98 Proposed Amendment to Rule 102(e) of the Commission's Rules of Practice
Proposed Rule
Proposed Amendment to Rule 102(e) of the Commission's Rules of Practice
33-7555
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S7-29-97 Exemption To Allow Investment Advisers To Charge Fees Based Upon a Share of Capital Gains Upon or Capital Appreciation of a Client's Account
Final Rule
Exemption To Allow Investment Advisers To Charge Fees Based Upon a Share of Capital Gains Upon or Capital Appreciation of a Client's Account
IA-1731, IA-1682
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S7-8-98 Year 2000 Readiness Reports To Be Made by Certain Transfer Agents
Proposed Rule
Year 2000 Readiness Reports To Be Made by Certain Transfer Agents
34-40165, 34-40163
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S7-7-98 Reports To Be Made by Certain Brokers and Dealers
Proposed Rule
Reports To Be Made by Certain Brokers and Dealers
34-40164
S7-7-98 Reports to be Made by Certain Brokers and Dealers
Final Rule
Reports to be Made by Certain Brokers and Dealers
34-40162
S7-8-98 Year 2000 Readiness Reports To Be Made by Certain Transfer Agents
Final Rule
Year 2000 Readiness Reports To Be Made by Certain Transfer Agents
34-40163, 34-40165
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