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
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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S7-27-18 Fund of Funds Arrangements
Investment Management
Final Rule
Fund of Funds Arrangements
33-10871, IC-34045
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S7-12-20 Regulation ATS for ATSs That Trade U.S. Government Securities, NMS Stock, and Other Securities; Regulation SCI for ATSs That Trade U.S. Treasury Securities and Agency Securities; and Electronic Corporate Bond and Municipal Securities Markets
Trading and Markets
Proposed Rule
Regulation ATS for ATSs That Trade U.S. Government Securities, NMS Stock, and Other Securities; Regulation SCI for ATSs That Trade U.S. Treasury Securities and Agency Securities; and Electronic Corporate Bond and Municipal Securities Markets
34-90019
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S7-16-18 Whistleblower Program Rules
Enforcement, General Counsel
Final Rule
Whistleblower Program Rules
34-89963
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S7-23-19 Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8
Corporation Finance
Final Rule
Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8
34-89964
View Related Activity
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-10845, 34-89920, 39-2533, IC-34015
S7-14-19 Publication or Submission of Quotations Without Specified Information
Trading and Markets
Final Rule
Publication or Submission of Quotations Without Specified Information
33-10842, 34-89891
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S7-02-17 Update of Statistical Disclosures for Bank and Savings and Loan Registrants
Corporation Finance
Final Rule
Update of Statistical Disclosures for Bank and Savings and Loan Registrants
33-10835, 34-89835
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Temporary Amendments to Regulation Crowdfunding; Extension
Corporation Finance
Interim Final Rule
Temporary Amendments to Regulation Crowdfunding; Extension
33-10829
S7-25-19 Accredited Investor Definition
Corporation Finance
Final Rule
Accredited Investor Definition
33-10824
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S7-11-19 Modernization of Regulation S-K Items 101, 103, and 105
Corporation Finance
Final Rule
Modernization of Regulation S-K Items 101, 103, and 105
33-10825, 34-89670
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S7-11-20 Administration of the Electronic Data Gathering, Analysis, and Retrieval System
EDGAR Business Office
Proposed Rule
Administration of the Electronic Data Gathering, Analysis, and Retrieval System
33-10821, 34-89633, 39-2532, IC-33974
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S7-10-20 Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail To Enhance Data Security
Trading and Markets
Proposed Rule
Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail To Enhance Data Security
34-89632
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S7-15-19 Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments and Modified Procedures for Proposed NMS Plans and Plan Amendments
Trading and Markets
Final Rule
Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments and Modified Procedures for Proposed NMS Plans and Plan Amendments
34-89618
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S7-09-20 Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements
Investment Management
Proposed Rule
Tailored Shareholder Reports, Treatment of Annual Prospectus Updates for Existing Investors, and Improved Fee and Risk Disclosure for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements
33-10814, 34-89478, IC-33963
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S7-02-16 Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Trading and Markets
Final Rule
Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
34-89394
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S7-22-19 Exemptions From the Proxy Rules for Proxy Voting Advice
Corporation Finance
Final Rule
Exemptions From the Proxy Rules for Proxy Voting Advice
34-89372
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S7-08-20 Reporting Threshold for Institutional Investment Managers
Investment Management
Proposed Rule
Reporting Threshold for Institutional Investment Managers
34-89290
S7-19-19 Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940
Investment Management
Final Rule
Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940
IC-33921
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S7-02-20 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Trading and Markets, Investment Management
Final Rule
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
BHCA-9
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S7-05-19 Amendments to Financial Disclosures About Acquired and Disposed Businesses
Chief Accountant, Corporation Finance, Investment Management
Final Rule
Amendments to Financial Disclosures About Acquired and Disposed Businesses
33-10786, 34-88914, IC-33872
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S7-13-19 Amendments to the National Market System Plan Governing the Consolidated Audit Trail
Trading and Markets
Final Rule
Amendments to the National Market System Plan Governing the Consolidated Audit Trail
34-88890
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Temporary Amendments to Regulation Crowdfunding
Corporation Finance
Interim Final Rule
Temporary Amendments to Regulation Crowdfunding
33-10781
S7-07-20 Good Faith Determinations of Fair Value
Investment Management
Proposed Rule
Good Faith Determinations of Fair Value
IC-33845
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S7-23-16 Definition of "Covered Clearing Agency"
Trading and Markets
Final Rule
Definition of "Covered Clearing Agency"
34-88616
View Related Activity
S7-03-19 Securities Offering Reform for Closed-End Investment Companies
Investment Management
Final Rule
Securities Offering Reform for Closed-End Investment Companies
33-10771, 34–88606, IC–33836
View Related Activity
Relief for Form ID Filers and Regulation Crowdfunding and Regulation A Issuers Related to Coronavirus Disease 2019 (COVID-19)
Interim Final Rule
Relief for Form ID Filers and Regulation Crowdfunding and Regulation A Issuers Related to Coronavirus Disease 2019 (COVID-19)
33-10768, 34-88492, 39-2531, IC-33832

Last Reviewed or Updated: Sept. 13, 2024