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.
| Issue Date | File Number | Rulemaking | Status |
|---|---|---|---|
| S7-19-96 | Securities Act Concepts and Their Effects on Capital Formation | View Related Activity | |
| S7-17-96 | Broker-Dealer Registration and Reporting | ||
| S7-2-95 | Form BD Amendments | View Related Activity | |
| S7-16-96 | Amendments to Beneficial Ownership Reporting Requirements | View Related Activity | |
| S7-15-96 | Phase Two Recommendations of Task Force on Disclosure Simplification Effective Date: Sep. 2, 1997 | View Related Activity | |
| S7-21-94 | Ownership Reports and Trading by Officers, Directors and Principal Security Holders | ||
| S7-21-94 | Ownership Reports and Trading by Officers, Directors and Principal Security Holders | ||
| Employee Benefit Plan Exemptive Rules Under Section 16 of the Securities Exchange Act of 1934 | |||
| S7-6-96 | Phase One Recommendations of Task Force on Disclosure Simplification | ||
| 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 | ||
| S7-31-95 | Use of Electronic Media for Delivery Purposes | View Related Activity | |
| Delegation of Authority to Director of Division of Enforcement | |||
| S7-15-95 | Exemption for Certain California Limited Issues | ||
| S7-16-95 | Relief From Reporting by Small Issuers | ||
| S7-12-96 | Odd-Lot Tender Offers by Issuers | View Related Activity | |
| S7-11-96 | Trading Practices Rules Concerning Securities Offerings | ||
| 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 | ||
| 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 | ||
| S7-40-92 | Correction: Rules of Practice (the Commission's procedural rules that govern administrative proceedings) | ||
| S7-7-96 | Exemption for the Acquisition of Securities During the Existence of an Underwriting Syndicate | ||
| S7-34-93 | Revisions to Rules Regulating Money Market Funds | 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 | ||
| Delegation of Authority to the Secretary of the Commission | View Related Activity | ||
| S7-32-95 | Calculation of Yield by Certain Unit Investment Trusts | ||
| S7-35-95 | Proposed amendments to require disclosure of accounting policies for derivatives Reference: Rel. Nos. 34-36643, IC-21625 | ||
| Adoption of Updated EDGAR Filer Manual and Technical Rule Amendments
EDGAR Business Office |
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| 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 | ||
| S7-32-95 | Calculation of Yield by Certain Unit Investment Trusts | ||
| S7-31-95 | Use of Electronic Media for Delivery Purposes | View Related Activity | |
| S7-23-95 | Custody of Investment Company Assets Outside the United States Extension of Comment Period | ||
| S7-25-95 | Personal Investment Activities of Investment Company Personnel and Codes of Ethics of Investment Companies and Their Investment Advisers and Principal Underwriters | ||
| Status of Investment Advisory Programs Under the Investment Company Act of 1940 | View Related Activity | ||
| S7-23-95 | Custody of Investment Company Assets Outside the United States | ||
| S7-22-94 | Payment for Investment Company Services With Brokerage Commissions | ||
| S7-22-95 | Money Market Fund Quarterly Reporting | ||
| Money Market Fund Prospectuses | |||
| S7-20-95 | Problematic Practices Under Regulation S | ||
| S7-18-95 | Solicitations of Interest Prior to an Initial Public Offering | ||
| S7-14-95 | Streamlining and Consolidation of Executive and Director Compensation Disclosure | ||
| 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 | ||
| S7-31-94 | Disclosure Concerning Legal Proceedings Involving Management, Promoters, Control Persons and Others | ||
| 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 | ||
| 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 | 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 | ||
| S7-40-92 | Rules of Practice | ||
| S7-7-95 | Prospectus Delivery; Securities Transactions Settlement | ||
| Establishment of Commission Quorum Requirement | |||
| S7-10-95 | Improving Descriptions of Risk by Mutual Funds and Other Investment Companies | ||
| 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 | ||
| S7-24-88 | Exemption for Certain Open-End Management Investment Companies To Impose Contingent Deferred Sales Loads | ||
| S7-5-95 | Disclosure by Investment Advisers Regarding Soft Dollar Practices | ||
| 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 | ||
| S7-4-95 | Unlisted Trading Privileges | ||
| S7-3-95 | Registration Fees for Certain Investment Companies | ||
| S7-36-94 | Adoption of Amendments To Clarify Safe Harbors for Broker-Dealer Research Reports | ||
| 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 | ||
| S7-3-94 | Recordkeeping and Reporting Requirements for Trading Systems Operated by Brokers and Dealers | ||
| Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
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| S7-20-94 | Rulemaking for EDGAR System | ||
| 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 | ||
| S7-12-94 | Financial Statements of Significant Foreign Equity Investees and Acquired Foreign Businesses of Domestic Issuers and Financial Schedules |