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
S7-31-94 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
S7-16-94 Exemptive Relief and Simplification of Filing Requirements for Debt Securities To Be Listed on a National Securities Exchange
Final Rule
Exemptive Relief and Simplification of Filing Requirements for Debt Securities To Be Listed on a National Securities Exchange
34-34922
S7-30-94 Internalized/Affiliate Practices, Payment for Order Flow and Order Routing Practices
Proposed Rule
Internalized/Affiliate Practices, Payment for Order Flow and Order Routing Practices
34-34903
S7-29-93 Payment for Order Flow
Final Rule
Payment for Order Flow
34-34902
S7-29-94 Safe Harbor for Forward-Looking Statements
Concept Release
Safe Harbor for Forward-Looking Statements
33-7101, 34-34831, 35-26141, 39-2324, IC-20613
S7-33-93 Amendments to Proxy Rules for Registered Investment Companies
Final Rule
Amendments to Proxy Rules for Registered Investment Companies
33-7102, 34-34832, IC-20614
S7-28-94 Customer Limit Orders
Proposed Rule
Customer Limit Orders
34-34753
Rulemaking for EDGAR System: Financial Data Schedules
Final Rule
Rulemaking for EDGAR System: Financial Data Schedules
33-7072, 34-34330, 35-26079, IC-20388
S7-04-94 Statement of the Commission Regarding Disclosure Obligations of Municipal Securities Issuers and Others
Interpretive Release
Statement of the Commission Regarding Disclosure Obligations of Municipal Securities Issuers and Others
33-7049, 34-33741, FR-42
Executive Compensation Disclosure; Securityholder Lists and Mailing Requests
Final Rule
Executive Compensation Disclosure; Securityholder Lists and Mailing Requests
33-7032
Adoption of Additional Small Business Initiatives
Final Rule
Adoption of Additional Small Business Initiatives
33-6996
Disclosure of Mutual Fund Performance and Portfolio Managers
Final Rule
Disclosure of Mutual Fund Performance and Portfolio Managers
33-6988, IC-19382
Registration of Successors to BrokerDealers and Investment Advisers
Interpretive Release
Registration of Successors to BrokerDealers and Investment Advisers
34-31661, IA-1357
Adoption of Small Business Initiatives
Final Rule
Adoption of Small Business Initiatives
33-6949
Final Temporary Risk Assessment Rules
Final Rule
Final Temporary Risk Assessment Rules
34-30929
Penny Stock Disclosure Rules
Final Rule
Penny Stock Disclosure Rules
34-30608
Acceptance of Signature Guarantees from Eligible Guarantor Institutions
Final Rule
Acceptance of Signature Guarantees from Eligible Guarantor Institutions
34-30146
Limited Partnership Reorganizations and Public Offerings of Limited Partnership Interests
Interpretive Release
Limited Partnership Reorganizations and Public Offerings of Limited Partnership Interests
33-6900, 34-29314
Registration Requirements for Foreign Broker-Dealers
Final Rule
Registration Requirements for Foreign Broker-Dealers
34-27017
Municipal Securities Disclosure
Final Rule
Municipal Securities Disclosure
34-26985
Management's Discussion and Analysis of Financial Condition and Results of Operations; Certain Investment Company Disclosures
Interpretive Release
Management's Discussion and Analysis of Financial Condition and Results of Operations; Certain Investment Company Disclosures
33-6835, 34-26831, IC-16961, FR-36
S7-20-88 Amendments to Municipal Securities Disclosure
Proposed Rule
Amendments to Municipal Securities Disclosure
34-26100
Applicability of the Investment Advisers Act to Financial Planners, Pension Consultants, and Other Persons Who Provide Investment Advisory Services as a Component of Other Financial Services
Interpretive Release
Applicability of the Investment Advisers Act to Financial Planners, Pension Consultants, and Other Persons Who Provide Investment Advisory Services as a Component of Other Financial Services
IA-1092
The Commission is adopting Rule 3a4-1 specifying a non--exclusive safe harbor under which persons associated with an issuer of securities who participate in sales of that issuer's securities will not be considered to be acting as "brokers" as that term is defined in the Securities Exchange Act of 1934.
Final Rule
The Commission is adopting Rule 3a4-1 specifying a non--exclusive safe harbor under which persons associated with an issuer of securities who participate in sales of that issuer's securities will not be considered to be acting as "brokers" as
34-22172
Processing of Tender Offers within the National Clearance and SettlementSystem
Final Rule
Processing of Tender Offers within the National Clearance and SettlementSystem
34-20581

Last Reviewed or Updated: Sept. 13, 2024