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
S7-27-96 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
34-38159
S7-30-95 Order Execution Obligations
Final Rule
Order Execution Obligations
34-38139
S7-30-95 Order Execution Obligations
Final Rule
Order Execution Obligations
34-38110
S7-32-96 Securities Transactions Exempt From Transaction Fees
Final Rule
Securities Transactions Exempt From Transaction Fees
34-38073, IC-22415
S7-31-96 Rules Implementing Amendments to the Investment Advisers Act of 1940
Proposed Rule
Rules Implementing Amendments to the Investment Advisers Act of 1940
IA-1601
S7-12-96 Odd-Lot Tender Offers by Issuers
Final Rule
Odd-Lot Tender Offers by Issuers
33-7376, 33-7283, 34-38068, IC-22413
View Related Activity
Suspension of Form ADV-S
Final Rule
Suspension of Form ADV-S
IA-1602
S7-11-96 Anti-manipulation Rules Concerning Securities Offerings
Final Rule
Anti-manipulation Rules Concerning Securities Offerings
33-7375, 34-38067, IC-22412, International Series Release No. 1039
S7-30-96 Private Investment Companies
Proposed Rule
Private Investment Companies
IC-22405
Revisions to Forms SB-1, SB-2, Regulation A and Regulation S-T With Regard to the Appropriate Place for Filing for Registrants in the Regions Covered by the Northeast, Southeast, Midwest, Central and Pacific Regional Offices
Final Rule
Revisions to Forms SB-1, SB-2, Regulation A and Regulation S-T With Regard to the Appropriate Place for Filing for Registrants in the Regions Covered by the Northeast, Southeast, Midwest, Central and Pacific Regional Offices
33-7373
S7-15-94 Custody of Investment Company Assets With Futures Commission Merchants and Commodity Clearing Organizations
Final Rule
Custody of Investment Company Assets With Futures Commission Merchants and Commodity Clearing Organizations
IC-22389
S7-29-96 Technical Revisions to the Rules and Forms Regulating Money Market Funds
Proposed Rule
Technical Revisions to the Rules and Forms Regulating Money Market Funds
33-7371, 33-7479
View Related Activity
S7-28-96 Rulemaking for the EDGAR System
Proposed Rule
Rulemaking for the EDGAR System
33-7369
S7-30-95 Order Execution Obligations
Final Rule
Order Execution Obligations
34-37972, 34-37619A
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Delegation of Authority to the General Counsel
Final Rule
Delegation of Authority to the General Counsel
34-37893
S7-27-96 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
34-37850
S7-26-96 Offshore Press Conferences, Meetings with Company Representatives Conducted Offshore and Press-Related Materials Released Offshore
Proposed Rule
Offshore Press Conferences, Meetings With Company Representatives Conducted Offshore and Press Related Materials Released Offshore
33-7356, 33-7470
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S7-19-95 Periodic Reporting of Unregistered Equity Sales
Final Rule
Periodic Reporting of Unregistered Equity Sales
34-37801
S7-19-95 Streamlining Disclosure Requirements Relating to Significant Business Acquisitions
Final Rule
Streamlining Disclosure Requirements Relating to Significant Business Acquisitions
33-7355
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-7351, 34-37774, 35-26585, 39-2343, IC-22257
S7-14-96 Changes Selected Rules in Order To Eliminate Fees Previously Adopted by the Commission Pursuant to the Independent Offices Appropriations Act of 1952
Final Rule
Changes Selected Rules in Order To Eliminate Fees Previously Adopted by the Commission Pursuant to the Independent Offices Appropriations Act of 1952
33-7331
S7-19-96 Securities Act Concepts and Their Effects on Capital Formation
Concept Release
Securities Act Concepts and Their Effects on Capital Formation
33-7329, 33-7314
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S7-24-96 Rule Amendments Relating to Multiple Class and Series Investment Companies
Proposed Rule
Rule Amendments Relating to Multiple Class and Series Investment Companies
IC-22203, IC-22835
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S7-2-96 Technical Amendments to Rule Relating to Payments for the Distribution of Shares by a Registered Open-End Management Investment Company
Final Rule
Technical Amendments to Rule Relating to Payments for the Distribution of Shares by a Registered Open-End Management Investment Company
IC-22201
S7-8-95 Exemption for Certain Open-End Management Investment Companies to Impose Deferred Sales Loads
Final Rule
Exemption for Certain Open-End Management Investment Companies to Impose Deferred Sales Loads
IC-22202
S7-30-95 Order Execution Obligations
Final Rule
Order Execution Obligations
34-37619A, 34-37972
View Related Activity
S7-2-95 Form BD Amendments
Final Rule
Form BD Amendments
34-37632, 34-37431
View Related Activity
S7-23-96 Expansion of Short-Form Registration To Include Companies With Non-Voting Common Equity
Proposed Rule
Expansion of Short-Form Registration To Include Companies With Non-voting Common Equity
33-7326, 33-7419
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S7-22-96 Proposed Quote Rule Amendment
Proposed Rule
Proposed Quote Rule Amendment
34-37620
S7-21-96 Lost Securityholders
Proposed Rule
Lost Securityholders
34-37595, 34-39176
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S7-20-96 Proposed Rule: Implementation of Section 10A of the Securities Exchange Act of 1934
Proposed Rule
Proposed Rule: Implementation of Section 10A of the Securities Exchange Act of 1934
34-37594
S7-34-93 Revisions to Rules Regulating Money Market Funds
Final Rule
Revisions to Rules Regulating Money Market Funds
33-7320, 33-7275, IC-21837
View Related Activity
S7-19-96 Securities Act Concepts and Their Effects on Capital Formation
Concept Release
Securities Act Concepts and Their Effects on Capital Formation
33-7314, 33-7329
View Related Activity
S7-17-96 Broker-Dealer Registration and Reporting
Proposed Rule
Broker-Dealer Registration and Reporting
34-37432
S7-2-95 Form BD Amendments
Final Rule
Form BD Amendments
34-37431, 34-37632
View Related Activity
S7-16-96 Amendments to Beneficial Ownership Reporting Requirements
Proposed Rule
Amendments to Beneficial Ownership Reporting Requirements
34-37403, 34-39538
View Related Activity
S7-15-96 Phase Two Recommendations of Task Force on Disclosure Simplification Effective Date: Sep. 2, 1997
Proposed Rule
Phase Two Recommendations of Task Force on Disclosure Simplification
33-7301, 33-7431 Part 1
View Related Activity
S7-21-94 Ownership Reports and Trading by Officers, Directors and Principal Security Holders
Final Rule
Ownership Reports and Trading by Officers, Directors and Principal Security Holders
34-37260 Part 1
S7-21-94 Ownership Reports and Trading by Officers, Directors and Principal Security Holders
Final Rule
Ownership Reports and Trading by Officers, Directors and Principal Security Holders
34-37260 Part 2
Employee Benefit Plan Exemptive Rules Under Section 16 of the Securities Exchange Act of 1934
Final Rule
Employee Benefit Plan Exemptive Rules Under Section 16 of the Securities Exchange Act of 1934
34-37261
S7-6-96 Phase One Recommendations of Task Force on Disclosure Simplification
Final Rule
Phase One Recommendations of Task Force on Disclosure Simplification
33-7300
S7-13-96 Use of Electronic Media by Broker-Dealers, Transfer Agents, and Investment Advisers for Delivery of Information; Additional Examples Under the Securities Act of 1933, Securities Exchange Act of 1934, and Investment Company Act of 1940
Interpretive Release
Use of Electronic Media by Broker-Dealers, Transfer Agents, and Investment Advisers for Delivery of Information; Additional Examples Under the Securities Act of 1933, Securities Exchange Act of 1934, and Investment Company Act of 1940
33-7288
S7-31-95 Use of Electronic Media for Delivery Purposes
Final Rule
Use of Electronic Media for Delivery Purposes
33-7289, 33-7233
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Delegation of Authority to Director of Division of Enforcement
Final Rule
Delegation of Authority to Director of Division of Enforcement
34-37159
S7-15-95 Exemption for Certain California Limited Issues
Final Rule
Exemption for Certain California Limited Issues
33-7285
S7-16-95 Relief From Reporting by Small Issuers
Final Rule
Relief From Reporting by Small Issuers
34-37157
S7-12-96 Odd-Lot Tender Offers by Issuers
Proposed Rule
Odd-lot Tender Offers by Issuers
33-7283, 33-7376
View Related Activity
S7-11-96 Trading Practices Rules Concerning Securities Offerings
Proposed Rule
Trading Practices Rules Concerning Securities Offerings
33-7282
S7-35-95 Proposed Amendments To Require Disclosure of Accounting Policies for Derivative Financial Instruments and Derivative Commodity Instruments and Disclosure of Qualitative and Quantitative Information About Market Risk Inherent in Derivative Financial Instruments, Other Financial Instruments, and Derivative Commodity Instruments
Proposed Rule
Proposed Amendments To Require Disclosure of Accounting Policies for Derivative Financial Instruments and Derivative Commodity Instruments and Disclosure of Qualitative and Quantitative Information About Market Risk Inherent in Derivative Financial Instru
33-7281
S7-10-96 Safe Harbor for Disclosure of Qualitative and Quantitative Information About Market Risk Inherent in Derivative Financial Instruments, Other Financial Instruments, and Derivative Commodity Instruments
Proposed Rule
Safe Harbor for Disclosure of Qualitative and Quantitative Information About Market Risk Inherent in Derivative Financial Instruments, Other Financial Instruments, and Derivative Commodity Instruments
33-7280
S7-40-92 Correction: Rules of Practice (the Commission's procedural rules that govern administrative proceedings)
Final Rule
Correction: Rules of Practice (the Commission's procedural rules that govern administrative proceedings)
200-30
S7-7-96 Exemption for the Acquisition of Securities During the Existence of an Underwriting Syndicate
Proposed Rule
Exemption for the Acquisition of Securities During the Existence of an Underwriting Syndicate
IC-21838
S7-34-93 Revisions to Rules Regulating Money Market Funds
Final Rule
Revisions to Rules Regulating Money Market Funds
33-7275, IC-21837, 33-7320
View Related Activity
S7-34-95 Exemption of the Securities of the Federative Republic of Brazil, the Republic of Argentina, and the Republic of Venezuela Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on those Securities
Final Rule
Exemption of the Securities of the Federative Republic of Brazil, the Republic of Argentina, and the Republic of Venezuela Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on those Securities
34-36940
Delegation of Authority to the Secretary of the Commission
Final Rule
Delegation of Authority to the Secretary of the Commission
34-36824, 34-45848
View Related Activity
S7-32-95 Calculation of Yield by Certain Unit Investment Trusts
Proposed Rule
Calculation of Yield by Certain Unit Investment Trusts
33-7253
S7-35-95 Proposed amendments to require disclosure of accounting policies for derivatives Reference: Rel. Nos. 34-36643, IC-21625
Proposed Rule
Proposed amendments to require disclosure of accounting policies for derivatives Reference: Rel. Nos. 34-36643, IC-21625
33-7250
Adoption of Updated EDGAR Filer Manual and Technical Rule Amendments
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual and Technical Rule Amendments
33-7241, 34-36479, 35-26407, IC-21500
S7-26-95 Exemption of the Securities of the United Mexican States Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
Final Rule
Exemption of the Securities of the United Mexican States Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
34-36530
S7-32-95 Calculation of Yield by Certain Unit Investment Trusts
Proposed Rule
Calculation of Yield by Certain Unit Investment Trusts
33-7242
S7-31-95 Use of Electronic Media for Delivery Purposes
Interpretive Release
Use of Electronic Media for Delivery Purposes
33-7233, 34-36345, IC-21399
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S7-23-95 Custody of Investment Company Assets Outside the United States Extension of Comment Period
Proposed Rule
Custody of Investment Company Assets Outside the United States Extension of Comment Period
IC-21398
S7-25-95 Personal Investment Activities of Investment Company Personnel and Codes of Ethics of Investment Companies and Their Investment Advisers and Principal Underwriters
Proposed Rule
Personal Investment Activities of Investment Company Personnel and Codes of Ethics of Investment Companies and Their Investment Advisers and Principal Underwriters
33-7212
Status of Investment Advisory Programs Under the Investment Company Act of 1940
Proposed Rule
Status of Investment Advisory Programs Under the Investment Company Act of 1940
IC-21260, IC-22579
View Related Activity

Last Reviewed or Updated: Sept. 13, 2024