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.

Issue Date File Number Rulemaking Status
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
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
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
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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
Technical Amendments to Form ADV and Form ADV-W
Final Rule
Technical Amendments to Form ADV and Form ADV-W
IA-4698
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
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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
S7-22-16 Securities Transaction Settlement Cycle
Trading and Markets
Final Rule
Securities Transaction Settlement Cycle
34-80295
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Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-10324, 34-80182, 39-2516, IC-32527
S7-03-17 Inline XBRL Filing of Tagged Data
Corporation Finance
Proposed Rule
Inline XBRL Filing of Tagged Data
33-10323
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S7-01-17 Amendments to Municipal Securities Disclosure
Municipal Securities
Proposed Rule
Proposed Amendments to Municipal Securities Disclosure
34-80130
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S7-19-16 Exhibit Hyperlinks and HTML Format
Corporation Finance
Final Rule
Exhibit Hyperlinks and HTML Format
33-10322, 34-80132
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S7-22-15 Exemptions To Facilitate Intrastate and Regional Securities Offerings
Corporation Finance
Final Rule
Exemptions to Facilitate Intrastate and Regional Securities Offerings, Technical Correction
33-10238A, 34-79161A
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S7-26-11 Exemptions for Security-Based Swaps
Corporation Finance
Interim Final Rule
Exemptions for Security-Based Swaps
33-10305
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Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-10295, 34-79878, 39-2514, IC-32452
Adjustments to Civil Monetary Penalty Amounts
Enforcement
Final Rule
Adjustments to Civil Monetary Penalty Amounts
33-10276, 34-79749, IA-4599, IC-32414
S7-12-14 Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act
Corporation Finance
Final Rule
Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act; Correction
33-10075A, 34-77757A, 33-9693
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Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-10265, 34-79519, 39-2513, IC-32387
Interim Final Temporary Rule Regarding the Consolidated Audit Trail Dates: See Notification regarding expired temporary rule,
Interim Final Rule
Interim Final Temporary Rule Regarding the Consolidated Audit Trail Dates: See Notification regarding expired temporary rule,
34-79237
S7-24-16 Universal Proxy
Corporation Finance
Proposed Rule
Universal Proxy
34-79164
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S7-22-15 Exemptions To Facilitate Intrastate and Regional Securities Offerings
Corporation Finance
Final Rule
Exemptions To Facilitate Intrastate and Regional Securities Offerings
33-10238, 34-79161
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S7-16-15 Investment Company Liquidity Risk Management Programs
Investment Management
Final Rule
Investment Company Liquidity Risk Management Programs
33-10233, IC-32315
View Related Activity
S7-16-15 Investment Company Swing Pricing
Investment Management
Final Rule
Investment Company Swing Pricing
33-10234, IC-32316
View Related Activity
S7-08-15 Investment Company Reporting Modernization
Investment Management
Final Rule
Investment Company Reporting Modernization
33-10231, 33-9776, 33-10442, 34-79095, IC-32314
View Related Activity
S7-22-16 Securities Transaction Settlement Cycle
Trading and Markets
Proposed Rule
Amendment to Securities Transaction Settlement Cycle
34-78962
View Related Activity
S7-23-16 Definition of "Covered Clearing Agency"
Trading and Markets
Proposed Rule
Definition of Covered Clearing Agency
34-78963
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S7-03-14 Standards for Covered Clearing Agencies
Trading and Markets
Final Rule
Standards for Covered Clearing Agencies
34-78961
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S7-15-16 Disclosure Update and Simplification
Corporation Finance
Proposed Rule
Extension of Comment Period for Disclosure Update and Simplification
33-10220
View Related Activity
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-10217, 34-78883, 39-2512, IC-32269
S7-19-16 Exhibit Hyperlinks and HTML Format
Corporation Finance
Proposed Rule
Exhibit Hyperlinks and HTML Format
33-10201
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S7-15-15 Access to Data Obtained by Security-Based Swap Data Repositories
Trading and Markets
Final Rule
Access to Data Obtained by Security-Based Swap Data Repositories
34-78716
View Related Activity
S7-09-15 Form ADV and Investment Advisers Act Rules
Investment Management
Final Rule
Form ADV and Investment Advisers Act Rules
IA-4509
View Related Activity
S7-10-16 Modernization of Property Disclosures for Mining Registrants
Corporation Finance
Proposed Rule
Extension of Comment Period for Modernization of Property Disclosures for Mining Registrants
33-10127
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S7-03-15 Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Trading and Markets
Final Rule
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
34-78321
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S7-14-16 Disclosure of Order Handling Information
Trading and Markets
Proposed Rule
Disclosure of Order Handling Information
34-78309
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S7-15-16 Disclosure Update and Simplification
Corporation Finance
Proposed Rule
Disclosure Update and Simplification
33-10110
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S7-18-15 Amendments to the Commission's Rules of Practice
General Counsel
Final Rule
Amendments to the Commission's Rules of Practice
34-78319
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S7-13-16 Adviser Business Continuity and Transition Plans
Investment Management
Proposed Rule
Adviser Business Continuity and Transition Plans
IA-4439
S7-11-16 Adjustments to Civil Monetary Penalty Amounts
General Counsel
Interim Final Rule
Adjustments to Civil Monetary Penalty Amounts
33-10104
S7-12-16 Smaller Reporting Company Definition
Corporation Finance
Proposed Rule
Amendments to Smaller Reporting Company Definition
33-10107
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S7-25-15 Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
Final Rule
Disclosure of Payments by Resource Extraction Issuers
34-78167
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S7-03-16 Notice of Proposed Commission Interpretation Regarding Automated Quotations Under Regulation NMS
Trading and Markets
Interpretive Release
Commission Interpretation Regarding Automated Quotations Under Regulation NMS
34-78102
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S7-10-16 Modernization of Property Disclosures for Mining Registrants
Corporation Finance
Proposed Rule
Modernization of Property Disclosures for Mining Registrants
33-10098
View Related Activity
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-10095, 34-78044, 39-2510, IC-32145
S7-03-11 Trade Acknowledgment and Verification of Security-Based Swap Transactions
Trading and Markets
Final Rule
Trade Acknowledgment and Verification of Security-Based Swap Transactions
34-78011
View Related Activity
S7-09-16 Form 10-K Summary
Corporation Finance
Interim Final Rule
Form 10-K Summary
34-77969
S7-30-11 Retail Foreign Exchange Transactions
Trading and Markets
Final Rule
Retail Foreign Exchange Transactions
34-77874
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S7-07-16 Incentive-Based Compensation Arrangements
Trading and Markets, Investment Management
Proposed Rule
Incentive-Based Compensation Arrangements
34-77776
S7-12-14 Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act
Corporation Finance
Final Rule
Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act
33-10075, 34-77757
View Related Activity
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-10071, 34-77693, 39-2509, IC-32091
S7-25-11 Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
Trading and Markets
Final Rule
Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
34-77617
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S7-06-16 Business and Financial Disclosure Required by Regulation S-K
Corporation Finance
Concept Release
Business and Financial Disclosure Required by Regulation S-K
33-10064, 34-77599
S7-05-16 Certain Natural Gas and Electric Power Contracts
Interpretive Release
Certain Natural Gas and Electric Power Contracts
33-10062
S7-03-16 Notice of Proposed Commission Interpretation Regarding Automated Quotations Under Regulation NMS
Trading and Markets
Interpretive Release
Notice of Proposed Commission Interpretation Regarding Automated Quotations Under Regulation NMS
34-77407
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S7-27-15 Transfer Agent Regulations; Extension of Comment Period
Trading and Markets
Proposed Rule
Transfer Agent Regulations; Extension of Comment Period
34-77172
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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
Proposed Rule
Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
34-77157
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S7-06-15 Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent; Security-Based Swap Dealer De Minimis Exception
Trading and Markets
Final Rule
Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent; Security-Based Swap Dealer De Minimi
34-77104
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S7-25-15 Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
Proposed Rule
Extension of Comment Period for Disclosure of Payments by Resource Extraction Issuers
34-76958
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S7-15-15 Access to Data Obtained by Security-Based Swap Data Repositories
Trading and Markets
Proposed Rule
Access to Data Obtained by Security-Based Swap Data Repositories and Exemption From Indemnification Requirement
34-76922
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S7-01-16 Simplification of Disclosure Requirements for Emerging Growth Companies and Forward Incorporation by Reference on Form S-1 for Smaller Reporting Companies
Corporation Finance
Interim Final Rule
Simplification of Disclosure Requirements for Emerging Growth Companies and Forward Incorporation by Reference on Form S-1 for Smaller Reporting Companies
33-10003