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.

Issue Date File Number Rulemaking Status
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
Maintenance of Accurate Securityholder Files and safeguarding of Funds and Securities by Registered Transfer Agents
Final Rule
Maintenance of Accurate Securityholder Files and safeguarding of Funds and Securities by Registered Transfer Agents
34-19860
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-770
Regulation of Transfer Agents
Interpretive Release
Regulation of Transfer Agents.
34-17111
View Related Activity
Securities Position Listing Rule
Final Rule
Securities Position Listing Rule
34-16443
Division of Investment Management's Interpretive Positions Relating to Rule 13f-1 and Related Form 13F
Interpretive Release
Division of Investment Management's Interpretive Positions Relating to Rule 13f-1 and Related Form 13F
34-15292
S7-687 Filing and Reporting Requirements Relating to Institutional lnvestment Managers
Final Rule
Filing and Reporting Requirements Relating to Institutional lnvestment Managers
34-14852
Regulation of Transfer Agents
Final Rule
Regulation of Transfer Agents
34-13636
View Related Activity
Adoption of Rule 15ba2-1, Related Form MSD, Rule 15ba2-2 and Temporary Rule 15ba2-3(T) Relating to the Registration Of Municipal Securities Dealers Under Section 15b(a) of the Securities Exchange Act of 1934; Adoption of Temporary Rule 15a-1 (T) Relating to the Registration Of Municipal Securities Brokers and Dealers Under Section 15 of the Act; and Delegation of Authority to the Staff of The Commission
Final Rule
Adoption of Rule 15ba2-1, Related Form MSD, Rule 15ba2-2 and Temporary Rule 15ba2-3(T) Relating to the Registration Of Municipal Securities Dealers Under Section 15b(a) of the Securities Exchange Act of 1934; Adoption of Temporary Rule 15a-1 (T) Relating
34-11742
Guidelines for Control Locations for Foreign Securities Pursuant to Subparagraphs (c)(4) and (c)(7) of Rule 15c3-3 Under the Securities Exchange Act of 1934
Interpretive Release
Guidelines for Control Locations for Foreign Securities Pursuant to Subparagraphs (c)(4) and (c)(7) of Rule 15c3-3 Under the Securities Exchange Act of 1934
34-10429
Guidelines As to the Applicability of Federal Securities Laws to Offers and Sales of Condominiums or Units in a Real Estate Development
Interpretive Release
Guidelines As to the Applicability of Federal Securities Laws to Offers and Sales of Condominiums or Units in a Real Estate Development
33-5347
Multi-level Distributorships and Pyramid Sales Plans
Interpretive Release
Multi-level Distributorships and Pyramid Sales Plans
33-5211
Nonpublic Offering Exemption
Final Rule
Nonpublic Offering Exemption
33-4552
Statement of the Commission as to the applicability of theFederal securities laws to real estate investment trusts
Interpretive Release
Statement of the Commission as to the applicability of theFederal securities laws to real estate investment trusts
33-4298, 34-6419, IC-3140