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
June 30, 1998	S7-20-98	Investment Adviser Year 2000 Reports	Proposed Rule Investment Adviser Year 2000 Reports IA-1728, IA-1769 View Related Activity
June 25, 1998	S7-19-98	Options Disclosure Document	Proposed Rule Options Disclosure Document 33-7550, 33-8049 View Related Activity
June 25, 1998	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
June 25, 1998	S7-17-98	Segment Reporting	Proposed Rule Segment Reporting 33-7549, 33-7620 View Related Activity
June 24, 1998	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
June 12, 1998	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
June 8, 1998	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
May 21, 1998	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
May 21, 1998	S7-25-97	Amendments To Rules On Shareholder Proposals	Final Rule Amendments To Rules On Shareholder Proposals 34-40018, 34-39093 View Related Activity
May 21, 1998	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
May 19, 1998		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-7539
April 17, 1998	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
April 17, 1998	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
April 14, 1998	S7-7-98	Reports to be Made by Certain Brokers and Dealers	Proposed Rule Reports to be Made by Certain Brokers and Dealers 34-39858
April 14, 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 34-39859
April 6, 1998	S7-10-98	Confirmation and Affirmation of Securities Trades; Matching	Interpretive Release Confirmation and Affirmation of Securities Trades; Matching 34-39829
March 23, 1998		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
March 13, 1998	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
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

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