SEC.gov | 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.

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Rulemaking Activity

Issue Date	File Number	Rulemaking	Status
March 13, 1998	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
March 13, 1998	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
March 13, 1998	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
March 5, 1998	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
March 5, 1998	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
Feb. 20, 1998	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
Feb. 17, 1998	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
Feb. 17, 1998	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
Feb. 17, 1998	S7-2-98	Registration of Securities on Form S-8	Proposed Rule Registration of Securities on Form S-8 33-7506
Feb. 17, 1998	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
Feb. 17, 1998	S7-3-98	Publication or Submission of Quotations Without Specified Information	Proposed Rule Publication or Submission of Quotations Without Specified Information 34-39670
Feb. 17, 1998		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
Feb. 17, 1998		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
Feb. 9, 1998		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
Feb. 5, 1998		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
Jan. 28, 1998	S7-3-97	Plain English Disclosure	Final Rule Plain English Disclosure 33-7497, 34-38164 View Related Activity
Jan. 20, 1998		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-7495
Jan. 13, 1998	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
Jan. 12, 1998	S7-16-96	Amendments to Beneficial Ownership Reporting Requirements	Final Rule Amendments to Beneficial Ownership Reporting Requirements 34-39538, 34-37403 View Related Activity
Dec. 17, 1997	S7-32-97	OTC Derivatives Dealers; Correction	Concept Release Net Capital Rule 34-39456, 34-39704, 33-39455 View Related Activity
Dec. 17, 1997	S7-33-97	Capital Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934	Proposed Rule Capital Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934 34-39457
Dec. 17, 1997	S7-31-97	OTC Derivatives Dealers; Correction	Proposed Rule Net Capital Rule 34-39455, 34-39704, 34-39456 View Related Activity
Dec. 17, 1997	S7-30-97	OTC Derivatives Dealers; Correction	Proposed Rule OTC Derivatives Dealers 34-39454 View Related Activity
Dec. 2, 1997	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 33-7478, 33-7608 View Related Activity
Dec. 2, 1997	S7-29-96	Technical Revisions to the Rules and Forms Regulating Money Market Funds	Final Rule Technical Revisions to the Rules and Forms Regulating Money Market Funds 33-7479, 33-7371 View Related Activity
Nov. 17, 1997	S7-22-97	Equity Index Insurance Products	Concept Release Equity Index Insurance Products 33-7476 View Related Activity
Nov. 13, 1997	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	Proposed Rule Exemption for Investment Advisers Operating in Multiple States; Revisions to Rules Implementing Amendments to the Investment Advisers Act of 1940 IA-1681, IA-1733 View Related Activity
Nov. 13, 1997	S7-27-97	Delivery of Disclosure Documents to Households	Proposed Rule Delivery of Disclosure Documents to Households 33-7475, 33-7766 View Related Activity
Nov. 13, 1997	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	Proposed 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-1682, IA-1731 View Related Activity
Oct. 24, 1997		Rule to Provide That the Commission Will Not Accept Paper Filings That are Required To Be Filed Electronically	Final Rule Rule to Provide That the Commission Will Not Accept Paper Filings That are Required To Be Filed Electronically 33-7472
Oct. 10, 1997	S7-26-96	Offshore Press Conferences, Meetings with Company Representatives Conducted Offshore and Press-Related Materials Released Offshore	Final Rule Offshore Press Conferences, Meetings with Company Representatives Conducted Offshore and Press-Related Materials Released Offshore 33-7470, 33-7356 View Related Activity
Oct. 1, 1997	S7-21-96	Lost Securityholders	Final Rule Lost Securityholders 34-39176, 34-37595 View Related Activity
Sept. 26, 1997	S7-24-96	Rule Amendments Relating to Multiple Class and Series Investment Companies	Final Rule Rule Amendments Relating to Multiple Class and Series Investment Companies IC-22835, IC-22203 View Related Activity
Sept. 19, 1997	S7-25-97	Amendments To Rules On Shareholder Proposals	Proposed Rule Amendments to Rules on Shareholder Proposals 34-39093, 34-40018 View Related Activity
Sept. 10, 1997	S7-19-97	Registration Under the Securities Act of 1933 of Certain Investment Company Securities	Final Rule Registration Under the Securities Act of 1933 of Certain Investment Company Securities 33-7448, 33-7430 View Related Activity
Sept. 3, 1997		Amendment of Rules Governing the Delegation of Authority to Regional Directors and the Director of the Division of Corporation Finance	Final Rule Amendment of Rules Governing the Delegation of Authority to Regional Directors and the Director of the Division of Corporation Finance 33-7445
Aug. 20, 1997	S7-22-97	Equity Index Insurance Products	Concept Release Equity Index Insurance Products 33-7438 View Related Activity
July 31, 1997	S7-7-96	Exemption for the Acquisition of Securities During the Existence of An Underwriting or Selling Syndicate	Final Rule Exemption for the Acquisition of Securities During the Existence of An Underwriting or Selling Syndicate IC-22775
July 29, 1997		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-7432, 34-38883, 35-26747, 39-2356, IC-22769
July 22, 1997	S7-16-97	Regulation of Exchanges	Concept Release Regulation of Exchanges 34-38860 View Related Activity

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