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.

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.

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Rulemaking Activity

Issue Date	File Number	Rulemaking	Status
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
Dec. 18, 2019	S7-24-19	Disclosure of Payments by Resource Extraction Issuers Corporation Finance	Proposed Rule Disclosure of Payments by Resource Extraction Issuers 34-87783 View Related Activity
Dec. 18, 2019	S7-07-19	Cross-Border Application of Certain Security-Based Swap Requirements Trading and Markets	Final Rule Cross-Border Application of Certain Security-Based Swap Requirements 34-87780 View Related Activity
Dec. 18, 2019	S7-28-18	Risk Mitigation Techniques for Uncleared Security-Based Swaps Trading and Markets	Final Rule Risk Mitigation Techniques for Uncleared Security-Based Swaps 34-87782 View Related Activity
Nov. 25, 2019	S7-24-15	Use of Derivatives by Registered Investment Companies and Business Development Companies Investment Management	Proposed Rule Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence by Broker-Dealers and Registered Investment Advisers Regarding Retail Customers' Transactions in Certain Leveraged/Inverse Investment Vehicles 34-87607, IA-5413, IC-33704 View Related Activity
Nov. 5, 2019	S7-22-19	Exemptions From the Proxy Rules for Proxy Voting Advice Corporation Finance	Proposed Rule Amendments to Exemptions From the Proxy Rules for Proxy Voting Advice 34-87457 View Related Activity
Nov. 5, 2019	S7-23-19	Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8 Corporation Finance	Proposed Rule Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8 34-87458 View Related Activity
Nov. 4, 2019	S7-21-19	Investment Adviser Marketing Investment Management	Proposed Rule Investment Adviser Advertisements; Compensation for Solicitations IA-5407 View Related Activity
Oct. 24, 2019	S7-20-19	Filing Fee Disclosure and Payment Methods Modernization Corporation Finance, Economic and Risk Analysis	Proposed Rule Filing Fee Disclosure and Payment Methods Modernization 33-10720 View Related Activity
Oct. 18, 2019	S7-19-19	Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940 Investment Management	Proposed Rule Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940 IC-33658 View Related Activity
Oct. 1, 2019	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	Proposed Rule Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments 34-87193 View Related Activity
Sept. 27, 2019		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-10709, 34-87148, 39-2529, IC-33650
Sept. 25, 2019	S7-14-19	Publication or Submission of Quotations Without Specified Information Trading and Markets	Concept Release Publication or Submission of Quotations Without Specified Information 34-87115, 33-10842 View Related Activity
Sept. 25, 2019	S7-14-19	Publication or Submission of Quotations Without Specified Information Trading and Markets	Proposed Rule Publication or Submission of Quotations Without Specified Information 34-87115, 33-10842 View Related Activity
Sept. 25, 2019	S7-15-18	Exchange-Traded Funds Investment Management	Final Rule Exchange-Traded Funds 33-10695, : IC-33646 View Related Activity
Sept. 25, 2019	S7-01-19	Solicitations of Interest Prior to a Registered Public Offering Corporation Finance, Investment Management	Final Rule Solicitations of Interest Prior to a Registered Public Offering 33-10699 View Related Activity
Sept. 19, 2019	S7-05-14	Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers Trading and Markets	Final Rule Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers 34-87005 View Related Activity
Sept. 18, 2019	S7-14-18	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-7 View Related Activity
Sept. 17, 2019	S7-02-17	Update of Statistical Disclosures for Bank and Savings and Loan Registrants Corporation Finance	Proposed Rule Update of Statistical Disclosures for Bank and Savings and Loan Registrants 33-10688, 34-86984 View Related Activity
Sept. 17, 2019	S7-09-17	Amendments to the Commission's Freedom of Information Act Regulations General Counsel	Final Rule Technical Amendments To Update Cross-References to Commission's FOIA Regulations 34-86982 View Related Activity
Aug. 21, 2019		Commission Interpretation and Guidance Regarding the Applicability of the Proxy Rules to Proxy Voting Advice Corporation Finance	Interpretive Release Commission Interpretation and Guidance Regarding the Applicability of the Proxy Rules to Proxy Voting Advice 34-86721
Aug. 8, 2019	S7-11-19	Modernization of Regulation S-K Items 101, 103, and 105 Corporation Finance	Proposed Rule Modernization of Regulation S-K Items 101, 103, and 105 33-10668, 34-86614 View Related Activity
Aug. 7, 2019	S7-22-18	Amendments to Rules for Nationally Recognized Statistical Rating Organizations Credit Ratings	Final Rule Amendments to Rules for Nationally Recognized Statistical Rating Organizations 34-86590 View Related Activity
Aug. 6, 2019	S7-08-17	FAST Act Modernization and Simplification of Regulation S-K Corporation Finance, Investment Management	Final Rule FAST Act Modernization and Simplification of Regulation S-K; Correction 33-10618A, 34-85381A, IA-5206A, IC-33426A View Related Activity
July 5, 2019	S7-30-18	Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds	Final Rule Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds BHCA-6 View Related Activity
July 3, 2019	S7-09-19	Customer Margin Rules Relating to Security Futures Trading and Markets	Proposed Rule Customer Margin Rules Relating to Security Futures 34-86304 View Related Activity
June 21, 2019	S7-08-12	Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers Trading and Markets	Final Rule Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers 34-86175 View Related Activity
June 18, 2019	S7-08-19	Concept Release on Harmonization of Securities Offering Exemptions Corporation Finance, Trading and Markets, Investment Management	Concept Release Concept Release on Harmonization of Securities Offering Exemptions 33-10649, 34-86129, IA-5256, IC-33512
June 18, 2019	S7-10-18	Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships Chief Accountant	Final Rule Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships 33-10648, 34-86127, FR-85, IA-5255, IC-33511 View Related Activity
June 10, 2019	S7-21-18	Amendment to Single Issuer Exemption for Broker-Dealers Trading and Markets	Final Rule Amendment to Single Issuer Exemption for Broker-Dealers 34-86073 View Related Activity
June 7, 2019		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-10645, 34-86070, 39-2526, IC-33504
June 5, 2019		Regulation Best Interest: The Broker-Dealer Standard of Conduct Trading and Markets, Investment Management	Interpretive Release Commission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion From the Definition of Investment Adviser IA-5249 View Related Activity
June 5, 2019	S7-07-18	Commission Interpretation Regarding Standard of Conduct for Investment Advisers Investment Management	Interpretive Release Commission Interpretation Regarding Standard of Conduct for Investment Advisers IA-5248
June 5, 2019	S7-07-18	Regulation Best Interest: The Broker-Dealer Standard of Conduct Trading and Markets, Investment Management	Final Rule Regulation Best Interest: The Broker-Dealer Standard of Conduct 34-86031 View Related Activity
June 5, 2019	S7-08-18	Form CRS Relationship Summary; Amendments to Form ADV Investment Management	Final Rule Form CRS Relationship Summary; Amendments to Form ADV 34-86032, IA-5247 View Related Activity
May 10, 2019	S7-07-19	Cross-Border Application of Certain Security-Based Swap Requirements Trading and Markets	Proposed Rule Proposed Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements 34-85823 View Related Activity

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