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
S7-05-22 Shortening the Securities Transaction Settlement Cycle
Investment Management, Trading and Markets
Proposed Rule
Shortening the Securities Transaction Settlement Cycle
34-94196, IA-5957
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S7-04-22 Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies
Investment Management, Investment Management
Proposed Rule
Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies
33-11028, 34-94197, IA-5956, IC-34497
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S7-03-22 Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
Investment Management
Proposed Rule
Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
IA-5955, 34-94868
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S7-07-15 Pay Versus Performance
Corporation Finance
Proposed Rule
Reopening of Comment Period for Pay Versus Performance
34-94074
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S7-02-22 Amendments Regarding the Definition of "Exchange" and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency Securities, National Market System (NMS) Stocks, and Other Securities
Trading and Markets
Proposed Rule
Amendments Regarding the Definition of "Exchange" and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency Securities, National Market System (NMS) Stocks, and Other Securities
34-94062
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S7-01-22 Conformed: Form PF; Event Reporting for Large Hedge Fund Advisers and Private Equity Fund Advisers; Requirements for Large Private Equity Fund Adviser Reporting
Investment Management
Proposed Rule
Amendments to Form PF To Require Current Reporting and Amend Reporting Requirements for Large Private Equity Advisers and Large Liquidity Fund Advisers
IA-5950
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S7-20-21 Insider Trading Arrangements and Related Disclosures
Corporation Finance
Proposed Rule
Rule 10b5-1 and Insider Trading
33-11013
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Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-11016, 34-93827, 39-2542, IC-34444
S7-22-21 Money Market Fund Reforms
Investment Management
Proposed Rule
Money Market Fund Reforms
IC-34441
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S7-32-10 Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers
Trading and Markets
Proposed Rule
Prohibition Against Fraud, Manipulation, or Deception in Connection With Security-Based Swaps; Prohibition Against Undue Influence Over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions
34-93784
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S7-21-21 Share Repurchase Disclosure Modernization
Corporation Finance, Investment Management
Proposed Rule
Share Repurchase Disclosure Modernization
34-93783, IC-34440
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S7-03-21 Holding Foreign Companies Accountable Act Disclosure
Corporation Finance
Final Rule
Holding Foreign Companies Accountable Act Disclosure
34-93701, IC-34431
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S7-18-21 Reporting of Securities Loans
Trading and Markets
Proposed Rule
Reporting of Securities Loans
34-93613
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S7-19-21 Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
Trading and Markets
Proposed Rule
Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
34-93614
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S7-17-21 Proxy Voting Advice
Corporation Finance
Proposed Rule
Proxy Voting Advice
34-93595
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S7-24-16 Universal Proxy
Corporation Finance
Final Rule
Universal Proxy
34-93596, IC-34419
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S7-15-21 Electronic Submission of Applications for Orders Under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F
Investment Management
Proposed Rule
Electronic Submission of Applications for Orders Under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F
34-93518, IA-5903, IC-34415
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S7-16-21 Updating EDGAR Filing Requirements
Corporation Finance
Proposed Rule
Updating EDGAR Filing Requirements
33-11005, 34-93519
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Performance-Based Investment Advisory Fees
Final Rule
Performance-Based Investment Advisory Fees
IA-5904
S7-12-15 Listing Standards for Recovery of Erroneously Awarded Compensation
Corporation Finance
Proposed Rule
Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation
33-10998, 34-93311, IC-34399
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S7-20-19 Filing Fee Disclosure and Payment Methods Modernization
Corporation Finance, Economic and Risk Analysis
Final Rule
Filing Fee Disclosure and Payment Methods Modernization
33-10997, 34-93285, IC-34396
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Adoption of Updated EDGAR Filer Manual, Form ID Amendments
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual, Form ID Amendments
33-10984, 34-93056, 39-2540, IC-34376
Freedom of Information Act Regulations
Final Rule
Freedom of Information Act Regulations
34-92727, FOIA-194
S7-14-11 Credit Risk Retention-Notification of Determination of Review
Corporation Finance
Proposed Rule
Credit Risk Retention-Notification of Extension of Review Period
34-92326
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Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-10948, 34-92216, 39-2539, IC-34304
S7-24-16 Universal Proxy
Corporation Finance
Proposed Rule
Reopening of Comment Period for Universal Proxy
34-91603, IC-34246
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S7-03-21 Holding Foreign Companies Accountable Act Disclosure
Corporation Finance
Interim Final Rule
Holding Foreign Companies Accountable Act Disclosure
34-91364, IC-34227
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Adoption of Updated EDGAR Filer Manual, Form ID Amendments
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual, Form ID Amendments
33-10935, 34-91352, 39-2538, IC-34226
S7-24-20 Updating EDGAR Filing Requirements and Form 144 Filings
Corporation Finance
Proposed Rule
Rule 144 Holding Period and Form 144 Filings
33-10911, 34-90773
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Modernization of Delegations of Authority to Commission Staff and Division and Office Descriptions
Final Rule
Modernization of Delegations of Authority to Commission Staff and Division and Office Descriptions
33-10913, 34-90787, IA-5656, IC-34151
S7-21-19 Investment Adviser Marketing
Investment Management
Final Rule
Investment Adviser Marketing
IA-5653
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S7-24-19 Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
Final Rule
Disclosure of Payments by Resource Extraction Issuers
34-90679, 34-87783
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S7-08-11 Exemption From the Definition of "Clearing Agency" for Certain Activities of Security-Based Swap Dealers and Security-Based Swap Execution Facilities
Trading and Markets
Final Rule
Exemption From the Definition of "Clearing Agency" for Certain Activities of Security-Based Swap Dealers and Security-Based Swap Execution Facilities
34-90667
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S7-11-20 Administration of the Electronic Data Gathering, Analysis, and Retrieval System
EDGAR Business Office
Final Rule
Administration of the Electronic Data Gathering, Analysis, and Retrieval System
33-10901, 34-90636, 39-2535, IC-34136
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Adoption of Updated EDGAR Filer Manual, Proposed Collection and Comment Request for Form ID
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual, Proposed Collection and Comment Request for Form ID
33-10902, 34-90637, 39-2536, IC-34137
Delegation of Authority to Director of the Division of Enforcement
Final Rule
Delegation of Authority to Director of the Division of Enforcement
33-10900, 34-90623, IA-5644, IC-34134
S7-03-20 Market Data Infrastructure
Trading and Markets
Final Rule
Market Data Infrastructure
34-90610
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S7-07-20 Good Faith Determinations of Fair Value
Investment Management
Final Rule
Good Faith Determinations of Fair Value
IC-34128
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S7-19-20 Temporary Rules to Include Certain "Platform Workers" in Compensatory Offerings Under Rule 701 and Form S-8
Corporation Finance
Proposed Rule
Temporary Rules to Include Certain "Platform Workers" in Compensatory Offerings Under Rule 701 and Form S-8
33-10892, 34-90948
S7-18-20 Modernization of Rules and Forms for Compensatory Securities Offerings and Sales
Corporation Finance
Proposed Rule
Modernization of Rules and Forms for Compensatory Securities Offerings and Sales
33-10891
S7-01-20 Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information
Corporation Finance
Final Rule
Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information
33-10890, 34-90459, IC-34100
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Electronic Signatures in Regulation S-T Rule 302
Corporation Finance
Final Rule
Electronic Signatures in Regulation S-T Rule 302
33-10889, 34-90441, 39-2534, IC-34096
S7-19-15 Amendments to the Commission's Rules of Practice (Conformed to Federal Register version) Effective Date: The final rules are effective January 29, 2021, except for Instruction 8 which is effective July 12, 2021 Compliance Date: April 12, 2021
General Counsel
Final Rule
Amendments to the Commission's Rules of Practice (Conformed to Federal Register version) Effective Date: The final rules are effective January 29, 2021, except for Instruction 8 which is effective July 12, 2021 Compliance Date: April 12, 2021
34-90442A
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S7-05-20 Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets
Corporation Finance
Final Rule
Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets
33-10884, 34-90300, IC-34082
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S7-24-15 Use of Derivatives by Registered Investment Companies and Business Development Companies
Investment Management
Final Rule
Use of Derivatives by Registered Investment Companies and Business Development Companies
IC-34084
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S7-09-19 Customer Margin Rules Relating to Security Futures
Trading and Markets
Final Rule
Customer Margin Rules Relating to Security Futures
34-90244
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S7-26-19 Qualifications of Accountants
Investment Management
Final Rule
Qualifications of Accountants
33-10876, 34-90210, FR-88, IA-5613, IC-34052
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