SEC.gov | 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.

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Rulemaking Activity

Issue Date	File Number	Rulemaking	Status
Oct. 16, 2020	S7-26-19	Qualifications of Accountants Investment Management	Final Rule Qualifications of Accountants 33-10876, 34-90210, FR-88, IA-5613, IC-34052 View Related Activity
Oct. 7, 2020	S7-27-18	Fund of Funds Arrangements Investment Management	Final Rule Fund of Funds Arrangements 33-10871, IC-34045 View Related Activity
Sept. 28, 2020	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 View Related Activity
Sept. 23, 2020	S7-16-18	Whistleblower Program Rules Enforcement, General Counsel	Final Rule Whistleblower Program Rules 34-89963 View Related Activity
Sept. 23, 2020	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
Sept. 18, 2020		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
Sept. 16, 2020	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 View Related Activity
Sept. 11, 2020	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 View Related Activity
Aug. 28, 2020		Temporary Amendments to Regulation Crowdfunding; Extension Corporation Finance	Interim Final Rule Temporary Amendments to Regulation Crowdfunding; Extension 33-10829
Aug. 26, 2020	S7-25-19	Accredited Investor Definition Corporation Finance	Final Rule Accredited Investor Definition 33-10824 View Related Activity
Aug. 26, 2020	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 View Related Activity
Aug. 21, 2020	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 View Related Activity
Aug. 21, 2020	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 View Related Activity
Aug. 19, 2020	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 View Related Activity
Aug. 5, 2020	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 View Related Activity
July 24, 2020	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 View Related Activity
July 22, 2020	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 View Related Activity
July 10, 2020	S7-08-20	Reporting Threshold for Institutional Investment Managers Investment Management	Proposed Rule Reporting Threshold for Institutional Investment Managers 34-89290
July 6, 2020	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 View Related Activity
June 25, 2020	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 View Related Activity
May 20, 2020	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 View Related Activity
May 15, 2020	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 View Related Activity
May 4, 2020		Temporary Amendments to Regulation Crowdfunding Corporation Finance	Interim Final Rule Temporary Amendments to Regulation Crowdfunding 33-10781
April 21, 2020	S7-07-20	Good Faith Determinations of Fair Value Investment Management	Proposed Rule Good Faith Determinations of Fair Value IC-33845 View Related Activity
April 9, 2020	S7-23-16	Definition of "Covered Clearing Agency" Trading and Markets	Final Rule Definition of "Covered Clearing Agency" 34-88616 View Related Activity
April 8, 2020	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
March 26, 2020		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
March 12, 2020	S7-06-19	Accelerated Filer and Large Accelerated Filer Definitions Corporation Finance	Final Rule Accelerated Filer and Large Accelerated Filer Definitions 34-88365 View Related Activity
March 11, 2020	S7-23-18	Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts Investment Management	Final Rule Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts 33-10765, 34-88358, IC-33814, 33-10605 View Related Activity
March 4, 2020	S7-05-20	Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets Corporation Finance	Proposed Rule Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets 33-10763, 34-88321 View Related Activity
March 2, 2020	S7-19-18	Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities Corporation Finance	Final Rule Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities 33-10762, 34-88307, 33-10526 View Related Activity
March 2, 2020		Exemptions From Investment Adviser Registration for Advisers to Certain Rural Business Investment Companies	Final Rule Exemptions From Investment Adviser Registration for Advisers to Certain Rural Business Investment Companies IA-5454
Feb. 19, 2020		Delegation of Authority to the General Counsel of the Commission	Final Rule Delegation of Authority to the General Counsel of the Commission 33-10757, 34-88245, IA-5446, IC-33802
Feb. 14, 2020	S7-03-20	Market Data Infrastructure Trading and Markets	Proposed Rule Market Data Infrastructure 34-88216 View Related Activity
Jan. 30, 2020		Commission Guidance on Management's Discussion and Analysis of Financial Condition and Results of Operations Corporation Finance	Interpretive Release Commission Guidance on Management's Discussion and Analysis of Financial Condition and Results of Operations 33-10751, 34-88094
Jan. 30, 2020	S7-01-20	Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information Corporation Finance	Proposed Rule Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information 33-10750, 34-88093, IC-33795 View Related Activity
Jan. 30, 2020	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	Proposed Rule Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds BHCA-8 View Related Activity
Jan. 27, 2020		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-10749, 34-88040, 39-2530, IC-33792
Dec. 30, 2019	S7-26-19	Qualifications of Accountants Investment Management	Proposed Rule Amendments to Rule 2-01, Qualifications of Accountants 33-10738, 34-87864, FR-86, IA-5422, IC-33737 View Related Activity
Dec. 18, 2019	S7-25-19	Accredited Investor Definition Corporation Finance	Proposed Rule Amending the "Accredited Investor" Definition 33-10734, 34-87784 View Related Activity

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