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.

Last Reviewed or Updated: Sept. 13, 2024

Rules & Regulations

Enforcement & Litigation

Compliance

Rulemaking Activity

Issue Date	File Number	Rulemaking	Status
June 13, 2016		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
June 8, 2016	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
June 1, 2016	S7-09-16	Form 10-K Summary Corporation Finance	Interim Final Rule Form 10-K Summary 34-77969
May 20, 2016	S7-30-11	Retail Foreign Exchange Transactions Trading and Markets	Final Rule Retail Foreign Exchange Transactions 34-77874 View Related Activity
May 6, 2016	S7-07-16	Incentive-Based Compensation Arrangements Trading and Markets, Investment Management	Proposed Rule Incentive-Based Compensation Arrangements 34-77776
May 3, 2016	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
April 22, 2016		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
April 14, 2016	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 View Related Activity
April 13, 2016	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
April 4, 2016	S7-05-16	Certain Natural Gas and Electric Power Contracts	Interpretive Release Certain Natural Gas and Electric Power Contracts 33-10062
March 18, 2016	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 View Related Activity
Feb. 18, 2016	S7-27-15	Transfer Agent Regulations; Extension of Comment Period Trading and Markets	Proposed Rule Transfer Agent Regulations; Extension of Comment Period 34-77172 View Related Activity
Feb. 17, 2016	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 View Related Activity
Feb. 10, 2016	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 View Related Activity
Jan. 21, 2016	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 View Related Activity
Jan. 15, 2016	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 View Related Activity
Jan. 13, 2016	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
Dec. 22, 2015	S7-27-15	Transfer Agent Regulations; Extension of Comment Period Trading and Markets	Concept Release Transfer Agent Regulations 34-76743 View Related Activity
Dec. 22, 2015	S7-01-13	Regulation Systems Compliance and Integrity Trading and Markets	Final Rule Regulation Systems Compliance and Integrity; Correction 34-73639A View Related Activity
Dec. 11, 2015	S7-25-15	Disclosure of Payments by Resource Extraction Issuers Corporation Finance	Proposed Rule Disclosure of Payments by Resource Extraction Issuers 34-76620 View Related Activity
Dec. 11, 2015	S7-26-15	Establishing the Form and Manner with which Security-Based Swap Data Repositories Must Make Security-Based Swap Data Available to the Commission	Proposed Rule Establishing the Form and Manner with which Security-Based Swap Data Repositories Must Make Security-Based Swap Data Available to the Commission 34-76624
Dec. 11, 2015	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 IC-31933 View Related Activity
Dec. 11, 2015		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-9987, 34-76619, 39-2508, IC-31932
Nov. 18, 2015	S7-23-15	Disclosure Update and Simplification Corporation Finance	Proposed Rule Regulation of NMS Stock Alternative Trading Systems 34-76474 View Related Activity
Oct. 30, 2015	S7-22-15	Exemptions To Facilitate Intrastate and Regional Securities Offerings Corporation Finance	Proposed Rule Exemptions To Facilitate Intrastate and Regional Securities Offerings 33-9973, 34-76319 View Related Activity
Oct. 30, 2015	S7-09-13	Crowdfunding Corporation Finance, Trading and Markets	Final Rule Crowdfunding 33-9974, 34-76324 View Related Activity
Sept. 24, 2015	S7-18-15	Amendments to the Commission's Rules of Practice General Counsel	Proposed Rule Amendments to the Commission's Rules of Practice 34-75976 View Related Activity
Sept. 24, 2015	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	Proposed Rule Amendments to the Commission's Rules of Practice 34-75977 View Related Activity
Sept. 22, 2015	S7-16-15, S7-08-15	Investment Company Liquidity Risk Management Programs Investment Management	Proposed Rule Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release 33-9922, IC-31835
Sept. 16, 2015	S7-07-11	Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule Investment Management	Final Rule Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule IC-31828 View Related Activity
Sept. 15, 2015		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-9911, 34-75918, 39-2506, IC-31823
Sept. 4, 2015	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 34-75845 View Related Activity
Aug. 5, 2015	S7-14-15	Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved in Effecting Security-Based Swaps Trading and Markets	Proposed Rule Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved in Effecting Security-Based Swaps 34-75612 View Related Activity
Aug. 5, 2015	S7-40-11	Registration Process for Security-Based Swap Dealers and Major Security-Based Swap Participants Trading and Markets	Final Rule Registration Process for Security-Based Swap Dealers and Major Security-Based Swap Participants 34-75611 View Related Activity
Aug. 5, 2015	S7-07-13	Pay Ratio Disclosure Corporation Finance	Final Rule Pay Ratio Disclosure 33-9877, 34-75610, 33-9452 View Related Activity
Aug. 4, 2015		Interpretation of the SEC's Whistleblower Rules Under Section 21F of the Securities Exchange Act of 1934	Interpretive Release Interpretation of the SEC's Whistleblower Rules Under Section 21F of the Securities Exchange Act of 1934 34-75592
Aug. 3, 2015		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-9874, 34-75586, 39-2505, IC-31735
July 8, 2015	S7-07-14	Freedom of Information Act Regulations: Fee Schedule, Addition of Appeals Time Frame, and Miscellaneous Administrative Changes FOIA Services	Final Rule Freedom of Information Act Regulations: Fee Schedule, Addition of Appeals Time Frame, and Miscellaneous Administrative Changes 34-75388 View Related Activity
July 1, 2015	S7-13-15	Possible Revisions To Audit Committee Disclosures Chief Accountant, Corporation Finance	Concept Release Possible Revisions To Audit Committee Disclosures 33-9862, 34-75344
June 19, 2015		Commission Guidance Regarding the Definition of the Terms "Spouse" and "Marriage" Following the Supreme Court's Decision in United States v. Windsor	Interpretive Release Commission Guidance Regarding the Definition of the Terms "Spouse" and "Marriage" Following the Supreme Court's Decision in United States v. Windsor 33-9850

More in this Section

Rulemaking Activity