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
S7-27-98 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
View Related Activity
S7-20-98 Investment Adviser Year 2000 Reports
Final Rule
Investment Adviser Year 2000 Reports
IA-1769, IA-1728
View Related Activity
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
View Related Activity
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
View Related Activity
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
View Related Activity
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
View Related Activity
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
View Related Activity
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
View Related Activity
S7-20-98 Investment Adviser Year 2000 Reports
Proposed Rule
Investment Adviser Year 2000 Reports
IA-1728, IA-1769
View Related Activity
S7-19-98 Options Disclosure Document
Proposed Rule
Options Disclosure Document
33-7550, 33-8049
View Related Activity
S7-18-98 Amendment to Rule 9b-1 Under the Securities Exchange Act Relating to the Options Disclosure Document
Proposed Rule
Amendment to Rule 9b-1 Under the Securities Exchange Act Relating to the Options Disclosure Document
34-40129
S7-17-98 Segment Reporting
Proposed Rule
Segment Reporting
33-7549, 33-7620
View Related Activity
S7-4-97 Definitions of "Small Business' or "Small Organization' Under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933
Final Rule
Definitions of "Small Business' or "Small Organization' Under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933
33-7548
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
34-40089
View Related Activity
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
Proposed 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
34-40077, 34-41116
View Related Activity
S7-14-98 Revision of Rule 504 of Regulation D, the "Seed Capital' Exemption
Proposed Rule
Revision of Rule 504 of Regulation D, the "Seed Capital' Exemption
33-7541, 33-7644
View Related Activity
S7-25-97 Amendments To Rules On Shareholder Proposals
Final Rule
Amendments To Rules On Shareholder Proposals
34-40018, 34-39093
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-23201
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-7539
S7-13-98 Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products; Correction
Proposed Rule
Proposed Amendment to Rule 19b-4, Under the Securities Exchange Act of 1934, That Would Deem the Listing and Trading of New Derivative Securities Products by Self-Regulatory Organizations To Not Be Proposed Rule Changes
34-39885
View Related Activity
S7-12-98 Regulation of Exchanges and Alternative Trading Systems
Proposed Rule
Regulation of Exchanges and Alternative Trading Systems
34-39884, 34-40760
View Related Activity
S7-7-98 Reports to be Made by Certain Brokers and Dealers
Proposed Rule
Reports to be Made by Certain Brokers and Dealers
34-39858
S7-8-98 Year 2000 Readiness Reports To Be Made by Transfer Agents
Proposed Rule
Year 2000 Readiness Reports To Be Made by Transfer Agents
34-39859
S7-10-98 Confirmation and Affirmation of Securities Trades; Matching
Interpretive Release
Confirmation and Affirmation of Securities Trades; Matching
34-39829
Statement of the Commission Regarding Use of Internet Web Sites to Offer Securities, Solicit Securities Transactions or Advertise Investment Services Offshore
Interpretive Release
Statement of the Commission Regarding Use of Internet Web Sites to Offer Securities, Solicit Securities Transactions or Advertise Investment Services Offshore
33-7516
S7-9-98 Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Life Insurance Policies
Proposed Rule
Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Life Insurance Policies
33-7514, 33-8088
View Related Activity
S7-10-97 Registration Form Used by Open-End Management Investment Companies
Final Rule
Registration Form Used by Open-End Management Investment Companies
33-7512f, 33-7398, 33-7512r
View Related Activity
S7-10-97 Registration Form Used by Open-End Management Investment Companies
Final Rule
Registration Form Used by Open-End Management Investment Companies
33-7512r, 33-7398, 33-7512f
View Related Activity
S7-18-96 New Disclosure Option for Open-End Management Investment Companies
Final Rule
New Disclosure Option for Open-End Management Investment Companies
33-7513
S7-8-98 Year 2000 Readiness Reports To Be Made by Transfer Agents
Proposed Rule
Year 2000 Readiness Reports To Be Made by Transfer Agents
34-39726
S7-7-98 Reports To Be Made by Certain Brokers and Dealers
Proposed Rule
Reports To Be Made by Certain Brokers and Dealers
34-39724
S7-11-95 Exemption of Issuance and Sale of Securities by Public Utility and Nonutility Subsidiary Companies of Registered Public Utility Holding Companies; Rescission of Statements of Policy
Final Rule
Exemption of Issuance and Sale of Securities by Public Utility and Nonutility Subsidiary Companies of Registered Public Utility Holding Companies; Rescission of Statements of Policy
35-26826, 35-26312
View Related Activity
S7-30-97, S7-31-97, S7-32-97 OTC Derivatives Dealers; Correction
Concept Release
OTC Derivatives Dealers, Net Capital Rule
34-39704, 34-39454, 34-39455, 34-39456
S7-5-98 Rule 701Exempt Offerings Pursuant to Compensatory Arrangements
Proposed Rule
Rule 701Exempt Offerings Pursuant to Compensatory Arrangements
33-7511, 33-7645
View Related Activity
S7-2-98 Registration of Securities on Form S-8
Proposed Rule
Registration of Securities on Form S-8
33-7506
S7-30-97, S7-31-97, S7-32-97 OTC Derivatives Dealers; Correction
Proposed Rule
OTC Derivatives Dealers, Net Capital Rule
34-39704, 34-39454, 33-39455
S7-3-98 Publication or Submission of Quotations Without Specified Information
Proposed Rule
Publication or Submission of Quotations Without Specified Information
34-39670
Offshore Offers and Sales (Regulation S) Effective Date: 60 days after publication in Federal Register .
Final Rule
Offshore Offers and Sales (Regulation S) Effective Date: 60 days after publication in Federal Register .
33-7505 Part 1, 33-7505 Part 2
Offshore Offers and Sales (Regulation S) Effective Date: 60 days after publication in Federal Register .
Final Rule
Offshore Offers and Sales (Regulation S) Effective Date: 60 days after publication in Federal Register .
33-7505 Part 2, 33-7505 Part 1
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
34-39627
Commission Procedures for Filing Applications for Orders for Exemptive Relief Pursuant to Section 36 of the Exchange Act
Final Rule
Commission Procedures for Filing Applications for Orders for Exemptive Relief Pursuant to Section 36 of the Exchange Act
34-39624
S7-3-97 Plain English Disclosure
Final Rule
Plain English Disclosure
33-7497, 34-38164
View Related Activity
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-7495
S7-17-97 Covered Securities Pursuant to Section 18 of the Securities Act of 1933
Final Rule
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
33-7494

Last Reviewed or Updated: Sept. 13, 2024