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
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
View Related Activity
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
S7-23-95 Custody of Investment Company Assets Outside the United States
Proposed Rule
Custody of Investment Company Assets Outside the United States
IC-21259
S7-22-94 Payment for Investment Company Services With Brokerage Commissions
Final Rule
Payment for Investment Company Services With Brokerage Commissions
33-7197, IC-21221, FR-46
S7-22-95 Money Market Fund Quarterly Reporting
Proposed Rule
Money Market Fund Quarterly Reporting
IC-21217
Money Market Fund Prospectuses
Proposed Rule
Money Market Fund Prospectuses
33-7196
S7-20-95 Problematic Practices Under Regulation S
Interpretive Release
Problematic Practices Under Regulation S
33-7190
S7-18-95 Solicitations of Interest Prior to an Initial Public Offering
Proposed Rule
Solicitations of Interest Prior to an Initial Public Offering
33-7188
S7-14-95 Streamlining and Consolidation of Executive and Director Compensation Disclosure
Proposed Rule
Streamlining and Consolidation of Executive and Director Compensation Disclosure
33-7184
S7-13-95 Use of Abbreviated Financial Statements in Documents Delivered to Investors Pursuant to the Securities Act of 1933 and Securities Exchange Act of 1934
Proposed Rule
Use of Abbreviated Financial Statements in Documents Delivered to Investors Pursuant to the Securities Act of 1933 and Securities Exchange Act of 1934
33-7183
S7-31-94 Disclosure Concerning Legal Proceedings Involving Management, Promoters, Control Persons and Others
Proposed Rule
Disclosure Concerning Legal Proceedings Involving Management, Promoters, Control Persons and Others
34-34923
S7-12-95 Exemption of Acquisition By Registered Public-Utility Holding Companies of Securities of Nonutility Companies Engaged in Certain Energy-Related and Gas-Related Businesses; Exemption of Capital Contributions and Advances to Such Companies
Proposed Rule
Exemption of Acquisition By Registered Public-Utility Holding Companies of Securities of Nonutility Companies Engaged in Certain Energy-Related and Gas-Related Businesses; Exemption of Capital Contributions and Advances to Such Companies
35-26313
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
Proposed Rule
Exemption of Issuance and Sale of Securities By Public-Utility and Nonutility Subsidiary Companies of Registered Public-Utility Holding Companies
35-26312, 35-26826
View Related Activity
S7-17-92 Exemption of Issuance and Sale of Certain Securities by Public Utility and Nonutility Subsidiary Companies of Registered Public Utility Holding Companies; Exemption of Acquisition by Companies in a Registered Public Utility Holding Company System of Certain Securities of Associate Companies; Exemption of Capital Contributions and Open Account Advances, Without Interest, by Parent Companies to Subsidiary Companies
Final Rule
Exemption of Issuance and Sale of Certain Securities by Public Utility and Nonutility Subsidiary Companies of Registered Public Utility Holding Companies; Exemption of Acquisition by Companies in a Registered Public Utility Holding Company System of Certa
35-26311
S7-40-92 Rules of Practice
Final Rule
Rules of Practice
34-35844
S7-7-95 Prospectus Delivery; Securities Transactions Settlement
Final Rule
Prospectus Delivery; Securities Transactions Settlement
33-7168, 34-35705
Establishment of Commission Quorum Requirement
Final Rule
Establishment of Commission Quorum Requirement
34-35548
S7-10-95 Improving Descriptions of Risk by Mutual Funds and Other Investment Companies
Concept Release
Improving Descriptions of Risk by Mutual Funds and Other Investment Companies
33-7153, 34-35546, IC-20974
S7-32-93 Exemption for Open-End Management Investment Companies Issuing Multiple Classes of Shares; Disclosure by Multiple Class and Master- Feeder Funds; Class Voting on Distribution Plans
Final Rule
Exemption for Open-End Management Investment Companies Issuing Multiple Classes of Shares; Disclosure by Multiple Class and Master- Feeder Funds; Class Voting on Distribution Plans
33-7143, IC-20915
S7-24-88 Exemption for Certain Open-End Management Investment Companies To Impose Contingent Deferred Sales Loads
Final Rule
Exemption for Certain Open-End Management Investment Companies To Impose Contingent Deferred Sales Loads
IC-20916
S7-5-95 Disclosure by Investment Advisers Regarding Soft Dollar Practices
Proposed Rule
Disclosure by Investment Advisers Regarding Soft Dollar Practices
34-35375
SR-AMEX-94-59, SR-CBOE-94-49, SR-CHX-94-27, SR-MSRB-94-17, SR-NASD-94-72, SR-NYSE-94-43, SR-PSE-94-35, SR-PHLX-94-52 Order Approving Proposed Rule Changes by the American Stock Exchange, Inc., Chicago Board Options Exchange, Inc., Chicago Stock Exchange, Inc., Municipal Securities Rulemaking Board, National Association of Securities Dealers, Inc., New York Stock Exchange, Inc., Pacific Stock Exchange Inc., and Philadelphia Stock Exchange, Inc., Relating to a Continuing Education Requirement for Registered Persons
Final Rule
Order Approving Proposed Rule Changes by the American Stock Exchange, Inc., Chicago Board Options Exchange, Inc., Chicago Stock Exchange, Inc., Municipal Securities Rulemaking Board, National Association of Securities Dealers, Inc., New York Stock Exchang
34-35341
S7-4-95 Unlisted Trading Privileges
Proposed Rule
Unlisted Trading Privileges
34-35323
S7-3-95 Registration Fees for Certain Investment Companies
Proposed Rule
Registration Fees for Certain Investment Companies
33-7133
S7-36-94 Adoption of Amendments To Clarify Safe Harbors for Broker-Dealer Research Reports
Final Rule
Adoption of Amendments To Clarify Safe Harbors for Broker-Dealer Research Reports
33-7132
S7-17-94 Proposed Rule Changes of Self Regulatory Organizations; Annual Filing of Amendments to Registration Statements of National Securities Exchanges, Securities Associations, and Reports of the Municipal Securities Rulemaking Board
Final Rule
Proposed Rule Changes of Self Regulatory Organizations; Annual Filing of Amendments to Registration Statements of National Securities Exchanges, Securities Associations, and Reports of the Municipal Securities Rulemaking Board
34-35123
S7-3-94 Recordkeeping and Reporting Requirements for Trading Systems Operated by Brokers and Dealers
Final Rule
Recordkeeping and Reporting Requirements for Trading Systems Operated by Brokers and Dealers
34-35124
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-7123, 34-35114, 35-26192, 39-2327, IC-20784
S7-20-94 Rulemaking for EDGAR System
Final Rule
Rulemaking for EDGAR System
33-7122, 34-35113, 35-26191, 39-2326, IC-20783
S7-11-94 Selection of Reporting Currency for Financial Statements of Foreign Private Issuers and Reconciliation to US GAAP for Foreign Private Issuers With Operations in a Hyperinflationary Economy
Final Rule
Selection of Reporting Currency for Financial Statements of Foreign Private Issuers and Reconciliation to US GAAP for Foreign Private Issuers With Operations in a Hyperinflationary Economy
33-7117, 34-35093, International Series Release No. 757
S7-12-94 Financial Statements of Significant Foreign Equity Investees and Acquired Foreign Businesses of Domestic Issuers and Financial Schedules
Final Rule
Financial Statements of Significant Foreign Equity Investees and Acquired Foreign Businesses of Domestic Issuers and Financial Schedules
33-7118, 34-35094, IC-20766, International Series No. 758
S7-13-94 Reconciliation of the Accounting by Foreign Private Issuers for Business Combinations
Final Rule
Reconciliation of the Accounting by Foreign Private Issuers for Business Combinations
33-7119, 34-35095, International Series Release No. 759
S7-34-94 Transfer Agents Operating Direct Registration System
Concept Release
Transfer Agents Operating Direct Registration System
34-35038
S7-35-94 Proposed Amendments to the Transfer Agent Rules
Proposed Rule
Proposed Amendments to the Transfer Agent Rules
34-35040
S7-26-94 Limited Partnership Roll-Up Transactions
Final Rule
Limited Partnership Roll-Up Transactions
33-7113, 34-35036
S7-1-92 Notice of Assumption or Termination of Transfer Agent Services
Final Rule
Notice of Assumption or Termination of Transfer Agent Services
34-35039
S7-5-94 Municipal Securities Disclosure
Final Rule
Municipal Securities Disclosure
34-34961
S7-6-94 Confirmation of Transactions
Final Rule
Confirmation of Transactions
34-34962
S7-32-94 Request for Comments on Modernization of the Regulation of Public-Utility Holding Companies
Concept Release
Request for Comments on Modernization of the Regulation of Public-Utility Holding Companies
35-26153, IC-20675, International Series Release No. 740