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

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Rulemaking Activity

Issue Date	File Number	Rulemaking	Status
Nov. 19, 2014	S7-01-13	Regulation Systems Compliance and Integrity Trading and Markets	Final Rule Regulation Systems Compliance and Integrity 34-73639, 34-69606 View Related Activity
Nov. 13, 2014	S7-16-11	Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping Trading and Markets	Interpretive Release Forward Contracts With Embedded Volumetric Optionality 33-9681, 34-73584 View Related Activity
Oct. 22, 2014	S7-14-11	Credit Risk Retention Corporation Finance	Final Rule Credit Risk Retention 34-73407 View Related Activity
Oct. 20, 2014		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-9668, 34-73390, 39-2498, IC-312941
Sept. 26, 2014		Delegation of Authority to the Chief Financial Officer	Final Rule Delegation of Authority to the Chief Financial Officer 34-73229
Sept. 8, 2014	S7-09-14	Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants Corporation Finance	Proposed Rule Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants 33-9643 View Related Activity
Sept. 4, 2014	S7-08-10	Asset-Backed Securities Disclosure and Registration Corporation Finance	Final Rule Asset-Backed Securities Disclosure and Registration 33-9638, 34-72982 View Related Activity
Aug. 27, 2014	S7-18-11	Nationally Recognized Statistical Rating Organizations Trading and Markets	Final Rule Nationally Recognized Statistical Rating Organizations 34-72936 View Related Activity
Aug. 12, 2014	S7-23-07	Principal Trades with Certain Advisory Clients	Proposed Rule Temporary Rule Regarding Principal Trades With Certain Advisory Clients IA-3893 View Related Activity
July 23, 2014	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	Proposed Rule Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule IC-31184 View Related Activity
July 23, 2014	S7-03-13	Money Market Fund Reform; Amendments to Form PF Investment Management	Final Rule Money Market Fund Reform; Amendments to Form PF 33-9616 View Related Activity
June 25, 2014	S7-02-13	Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities; Republication Trading and Markets	Interpretive Release Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities; Republication 34-72472 View Related Activity
June 25, 2014	S7-02-13	Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities; Republication Trading and Markets	Final Rule Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities; Republication 34-72472 View Related Activity
June 20, 2014	S7-07-14	Freedom of Information Act Regulations: Fee Schedule, Addition of Appeals Time Frame, and Miscellaneous Administrative Changes FOIA Services	Proposed Rule Freedom of Information Act Regulations: Fee Schedule, Addition of Appeal Time Frame, and Miscellaneous Administrative Changes 34-72440 View Related Activity
June 20, 2014		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-9600, 34-72394, 39-2497, IC-31081
April 17, 2014	S7-05-14	Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers Trading and Markets	Proposed Rule Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Capital Rule for Certain Security-Based Swap Dealers 34-71958 View Related Activity
April 3, 2014	S7-12-10	Investment Company Advertising: Target Date Retirement Fund Names and Marketing Investment Management	Proposed Rule Investment Company Advertising: Target Date Retirement Fund Names and Marketing 33-9570, 34-71861, IC-31004 View Related Activity
March 28, 2014	S7-08-10	Asset-Backed Securities Disclosure and Registration Corporation Finance	Proposed Rule Extension of Comment Period for Asset-Backed Securities Release 33-9568, 34-71830 View Related Activity
March 12, 2014	S7-03-14	Standards for Covered Clearing Agencies Trading and Markets	Proposed Rule Standards for Covered Clearing Agencies 34-71699 View Related Activity
March 4, 2014		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-9554, 34-71643, 39-2496, IC-30972
Feb. 25, 2014	S7-08-10	Asset-Backed Securities Disclosure and Registration Corporation Finance	Proposed Rule Re-Opening of Comment Period for Asset-Backed Securities Release 33-9552, 34-71611 View Related Activity
Feb. 5, 2014	S7-26-11	Exemptions for Security-Based Swaps Corporation Finance	Interim Final Rule Extension of Exemptions for Security-Based Swaps 33-9545, 34-71482, 39-2495 View Related Activity
Jan. 17, 2014	S7-01-14	Treatment of Certain Collateralized Debt Obligations Backed Primarily by Trust Preferred Securities With Regard to Prohibitions and Restrictions on Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds Investment Management, Trading and Markets	Interim Final Rule Treatment of Certain Collateralized Debt Obligations Backed Primarily by Trust Preferred Securities With Regard to Prohibitions and Restrictions on Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds BHCA-2
Jan. 13, 2014	S7-45-10	Registration of Municipal Advisors; Temporary Stay of Final Rule Municipal Securities	Final Rule Registration of Municipal Advisors; Temporary Stay of Final Rule 34-71288 View Related Activity
Jan. 6, 2014		Responsibilities of the General Counsel	Final Rule Responsibilities of the General Counsel 34-71238
Dec. 27, 2013	S7-7-11	Removal of Certain References to Credit Ratings Under the Investment Company Act	Final Rule Removal of Certain References to Credit Ratings Under the Investment Company Act 33-9506 View Related Activity
Dec. 27, 2013	S7-15-11	Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 Trading and Markets	Final Rule Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 34-71194 View Related Activity
Dec. 24, 2013		Securities Exempted; Distribution of Shares by Registered Open-End Management Investment Company; Applications Regarding Joint Enterprises or Arrangements and Certain Profit-Sharing Plans	Final Rule Securities Exempted; Distribution of Shares by Registered Open-End Management Investment Company; Applications Regarding Joint Enterprises or Arrangements and Certain Profit-Sharing Plans 33-9503, IC-30845
Dec. 18, 2013	S7-11-13	Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A) Corporation Finance	Proposed Rule Proposed Rule Amendments for Small and Additional Issues Exemptions Under Section 3(b) of the Securities Act 33-9497, 34-71120, 39-2493 View Related Activity
Dec. 10, 2013	S7-41-11	Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds Investment Management, Trading and Markets	Final Rule Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds BHCA-1 View Related Activity
Oct. 23, 2013	S7-09-13	Crowdfunding Corporation Finance, Trading and Markets	Proposed Rule Crowdfunding 33-9470, 34-70741 View Related Activity
Sept. 27, 2013	S7-06-13	Amendments to Regulation D, Form D and Rule 156 Corporation Finance	Proposed Rule Amendments to Regulation D, Form D and Rule 156; Re-Opening of Comment Period 33-9458, 34-70538, IC-30737 View Related Activity
Sept. 25, 2013		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-9457, 34-70497, 39-2492, IC-30722
Sept. 23, 2013	S7-19-10	Registration of Municipal Advisors (Corrected to conform to Federal Register version) Municipal Securities	Interim Final Rule Extension of Temporary Registration of Municipal Advisors 34-70468 View Related Activity
Sept. 20, 2013	S7-45-10	Registration of Municipal Advisors (Corrected to conform to Federal Register version) Municipal Securities	Final Rule Registration of Municipal Advisors (Corrected to conform to Federal Register version) 34-70642 View Related Activity
Sept. 18, 2013	S7-07-13	Pay Ratio Disclosure Corporation Finance	Proposed Rule Pay Ratio Disclosure 33-9452, 34-70443 View Related Activity
Aug. 28, 2013	S7-14-11	Credit Risk Retention Corporation Finance	Proposed Rule Credit Risk Retention 34-70277 View Related Activity
July 30, 2013	S7-08-07	Financial Responsibility Rules for Broker-Dealers	Final Rule Financial Responsibility Rules for Broker-Dealers 34-70072, 34-66910 View Related Activity
July 30, 2013	S7-23-11	Broker-Dealer Reports Trading and Markets	Final Rule Broker-Dealer Reports 34-70073 View Related Activity
July 26, 2013		Delegation of Authority to Director of the Division of Enforcement	Final Rule Delegation of Authority to Director of the Division of Enforcement 34-70049

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