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
July 10, 2018		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-10518, 34-83614, 39-2521, IC-33153
June 29, 2018	S7-16-18	Whistleblower Program Rules Enforcement, General Counsel	Proposed Rule Whistleblower Program Rules 34-83557 View Related Activity
June 28, 2018	S7-15-18	Exchange-Traded Funds Investment Management	Proposed Rule Exchange-Traded Funds 33-10515, IC-33140 View Related Activity
June 28, 2018	S7-12-16	Smaller Reporting Company Definition Corporation Finance	Final Rule Smaller Reporting Company Definition 33-10513, 34-83550 View Related Activity
June 28, 2018	S7-03-17	Inline XBRL Filing of Tagged Data Corporation Finance	Final Rule Inline XBRL Filing of Tagged Data 33-10514 View Related Activity
June 28, 2018	S7-04-18	Investment Company Liquidity Disclosure Investment Management	Final Rule Investment Company Liquidity Disclosure IC-33142 View Related Activity
June 25, 2018	S7-09-17	Amendments to the Commission's Freedom of Information Act Regulations General Counsel	Final Rule Amendments to the Commission's Freedom of Information Act Regulations 34-83506, FOIA-193 View Related Activity
June 5, 2018	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	Proposed Rule Extension of Comment Period for Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds BHCA-3 View Related Activity
June 5, 2018	S7-08-15	Optional Internet Availability of Investment Company Shareholder Reports Investment Management	Final Rule Optional Internet Availability of Investment Company Shareholder Reports 33-10506 View Related Activity
May 24, 2018		Technical Amendments to Rules of Practice and Rules of Organization; Conduct and Ethics; and Information and Requests	Final Rule Technical Amendments to Rules of Practice and Rules of Organization; Conduct and Ethics; and Information and Requests 34-83325
May 23, 2018	S7-11-18	Covered Investment Fund Research Reports Corporation Finance, Investment Management, Trading and Markets	Proposed Rule Covered Investment Fund Research Reports 33-10498, 34 83307, IC 33106 View Related Activity
May 2, 2018	S7-10-18	Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships Chief Accountant	Proposed Rule Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships 33-10491, IC-33091, IA-4904 View Related Activity
April 25, 2018		Amendments to Forms and Schedules To Remove Provision of Certain Personally Identifiable Information	Final Rule Amendments to Forms and Schedules To Remove Provision of Certain Personally Identifiable Information 33-10486, 34-83097, IC-33077
April 18, 2018	S7-09-18	Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation Investment Management	Interpretive Release Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation IA-4889 View Related Activity
April 18, 2018	S7-07-18	Regulation Best Interest: The Broker-Dealer Standard of Conduct Trading and Markets, Investment Management	Proposed Rule Regulation Best Interest 34-83062 View Related Activity
April 18, 2018	S7-09-18	Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation Investment Management	Proposed Rule Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation IA-4889 View Related Activity
April 18, 2018	S7-08-18	Form CRS Relationship Summary; Amendments to Form ADV Investment Management	Proposed Rule Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures in Retail Communications and Restrictions on the Use of Certain Names or Titles 34-83063, IA-4888 View Related Activity
March 14, 2018	S7-04-18	Investment Company Liquidity Disclosure Investment Management	Proposed Rule Investment Company Liquidity Disclosure IC-33046 View Related Activity
March 14, 2018	S7-05-18	Transaction Fee Pilot for NMS Stocks Trading and Markets	Proposed Rule Transaction Fee Pilot for NMS Stocks 34-82873 View Related Activity
March 8, 2018		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-10467, 34-82830, 39-2520, IC-33041
Feb. 22, 2018	S7-03-18	Investment Company Liquidity Risk Management Programs; Commission Guidance for In-Kind ETFs	Interim Final Rule Investment Company Liquidity Risk Management Programs; Commission Guidance for In-Kind ETFs IC-33010
Feb. 21, 2018		Commission Statement and Guidance on Public Company Cybersecurity Disclosures Corporation Finance	Interpretive Release Commission Statement and Guidance on Public Company Cybersecurity Disclosures 33-10459, 34-82746
Jan. 24, 2018		Amendments to Forms and Schedules To Remove Voluntary Provision of Social Security Numbers	Final Rule Amendments to Forms and Schedules To Remove Voluntary Provision of Social Security Numbers 33-7424A View Related Activity
Jan. 5, 2018	S7-05-17	Exemptions From Investment Adviser Registration for Advisers to Small Business Investment Companies Investment Management	Final Rule Exemptions From Investment Adviser Registration for Advisers to Small Business Investment Companies IA-4839 View Related Activity
Jan. 5, 2018	S7-09-14	Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants Corporation Finance	Final Rule Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants 33-10450 View Related Activity
Dec. 21, 2017	S7-09-17	Amendments to the Commission's Freedom of Information Act Regulations General Counsel	Proposed Rule Freedom of Information Act Regulations 34-82373, FOIA-192 View Related Activity
Dec. 8, 2017	S7-08-15	Investment Company Reporting Modernization Investment Management	Final Rule Investment Company Reporting Modernization 33-10442, 33-9776, 33-10231, 34-82241, IC-32936 View Related Activity
Dec. 8, 2017		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-10444, 34-82246, 39-2519, IC-32938
Oct. 24, 2017	S7-06-17	Covered Securities Pursuant to Section 18 of the Securities Act of 1933 Trading and Markets	Final Rule Covered Securities Pursuant to Section 18 of the Securities Act of 1933 33-10428 View Related Activity
Oct. 11, 2017	S7-08-17	FAST Act Modernization and Simplification of Regulation S-K Corporation Finance, Investment Management	Proposed Rule FAST Act Modernization and Simplification of Regulation S-K 33-10425, 34-81851, IA-4791, IC-32858 View Related Activity
Sept. 28, 2017		Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Harvey, Hurricane Irma, and Hurricane Maria	Interim Final Rule Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Harvey, Hurricane Irma, and Hurricane Maria 33-10416
Sept. 21, 2017	S7-07-13	Pay Ratio Disclosure Corporation Finance	Interpretive Release Commission Guidance on Pay Ratio Disclosure 33-10415, 34-81673 View Related Activity
Sept. 13, 2017		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-10413, 34-81592, 39-2518, IC-32818
Aug. 18, 2017		Commission Guidance Regarding Revenue Recognition for Bill-and-Hold Arrangements	Interpretive Release Commission Guidance Regarding Revenue Recognition for Bill-and-Hold Arrangements 33-10402, 34-81428, IC-32784
Aug. 18, 2017		Updates to Commission Guidance Regarding Accounting for Sales of Vaccines and Bioterror Countermeasures to the Federal Government for Placement Into the Pediatric Vaccine Stockpile or the Strategic National Stockpile	Interpretive Release Updates to Commission Guidance Regarding Accounting for Sales of Vaccines and Bioterror Countermeasures to the Federal Government for Placement Into the Pediatric Vaccine Stockpile or the Strategic National Stockpile 33-10403, 34-81429, IC-32785
July 14, 2017	S7-06-17	Covered Securities Pursuant to Section 18 of the Securities Act of 1933 Trading and Markets	Proposed Rule Covered Securities Pursuant to Section 18 of the Securities Act of 1933 33-10390 View Related Activity
July 6, 2017		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-10385, 34-81080, 39-2517, IC-32724
May 4, 2017		Technical Amendments to Form ADV and Form ADV-W	Final Rule Technical Amendments to Form ADV and Form ADV-W IA-4698
May 3, 2017	S7-05-17	Exemptions From Investment Adviser Registration for Advisers to Small Business Investment Companies Investment Management	Proposed Rule Amendments to Investment Advisers Act Rules To Reflect Changes Made by the FAST Act IA-4697 View Related Activity
March 31, 2017		Inflation Adjustments and Other Technical Amendments under Titles I and III of the JOBS Act	Final Rule Inflation Adjustments and Other Technical Amendments Under Titles I and III of the Jobs Act 33-10332, 34-80355

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