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.
| Issue Date | File Number | Rulemaking | Status |
|---|---|---|---|
| S7-10-05, S7-03-07, S7-29-98 | Internet Availability of Proxy Materials; Regulation of Takeovers and Security Holder Communications; Cross-Border Tender and Exchange Offers, Business Combinations and Rights Offerings; Certain Other Related Rule Corrections
Corporation Finance |
||
| S7-12-07 | Electronic Filing and Revision of Form D | View Related Activity | |
| Delegation of Authority to the Director of the Division of Corporation Finance | |||
| Amendment of Procedures for Payment of Fees | |||
| S7-16-07 | Electronic Shareholder Forums | View Related Activity | |
| Technical Amendments to Forms MSD, MSDW, BD-N, BD, BDW, ADV, and ADV-W and to Exchange Act Rules 15b1-1, 15b3-1, 15b6-1, 15Ba2-2, 15Bc3-1, 15Ca1-1, 15Ca2-1, 15Cc1-1, and 17a-3, and Advisers Act Rules 203-1, 203-3, and 204-1 | |||
| S7-13-07 | Acceptance From Foreign Private Issuers of Financial Statements Prepared in Accordance With International Financial Reporting Standards Without Reconciliation to U.S. GAAP | View Related Activity | |
| S7-15-07 | Smaller Reporting Company Regulatory Relief and Simplification | View Related Activity | |
| S7-10-07 | Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 and F-3 | View Related Activity | |
| S7-11-07 | Revisions to Rules 144 and 145 | View Related Activity | |
| S7-17-07 | Shareholder Proposals Relating to the Election of Directors | View Related Activity | |
| S7-14-07 | Exemption of Compensatory Employee Stock Options From Registration Under Section 12(G) of the Securities Exchange Act of 1934 | View Related Activity | |
| S7-22-06 | Definitions of Terms and Exemptions Relating to the "Broker" Exceptions for Banks | View Related Activity | |
| S7-23-06 | Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act of 1934 and Related Rules | View Related Activity | |
| S7-23-07 | Principal Trades with Certain Advisory Clients | View Related Activity | |
| Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
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| S7-12-06 | Amendments to Regulation SHO | View Related Activity | |
| Deletion of References to IRS Identification Numbers | |||
| S7-20-06 | Short Selling in Connection With a Public Offering | View Related Activity | |
| S7-24-06 | Definition of the Term Significant Deficiency | ||
| S7-25-06 | Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles | ||
| S7-03-07 | Shareholder Choice Regarding Proxy Materials | View Related Activity | |
| S7-05-07 | Extension of Interactive Data Voluntary Reporting Program on the Edgar System To Include Mutual Fund Risk/Return Summary Information | View Related Activity | |
| S7-21-06 | Regulation SHO and Rule 10a-1 | View Related Activity | |
| S7-24-06 | Amendments to Rules Regarding Management's Report on Internal Control Over Financial Reporting | View Related Activity | |
| S7-04-07 | Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical Rating Organizations | View Related Activity | |
| Technical Amendments to Form BD and Form BDW | |||
| S7-18-06 | Covered Securities Pursuant to Section 18 of the Securities Act of 1933 | ||
| S7-12-05 | Termination of a Foreign Private Issuer's Registration of a Class of Securities Under Section 12(g) and Duty To File Reports Under Section 13(a) or 15(d) of the Securities Exchange Act of 1934 | View Related Activity | |
| Technical Amendment to Regulation S-T | |||
| S7-10-04 | Regulation NMS | View Related Activity | |
| S7-10-05 | Internet Availability of Proxy Materials
Corporation Finance |
View Related Activity | |
| S7-13-98 | Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products; Correction | View Related Activity | |
| S7-06-03 | Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers and Newly Public Companies
Corporation Finance |
View Related Activity | |
| S7-14-06 | Electronic Filing of Transfer Agent Forms | View Related Activity | |
| Delegation of Authority to Chief Administrative Law Judge | |||
| S7-11-05 | Amendments to the Tender Offer Best-Price Rules | View Related Activity | |
| S7-37-04 | Definition of Eligible Portfolio Company Under the Investment Company Act of 1940 | View Related Activity | |
| S7-06-06, 4-512 | Mutual Fund Redemption Fees | ||
| S7-03-06 | Executive Compensation and Related Person Disclosure
Corporation Finance |
View Related Activity | |
| S7-06-03 | Internal Control Over Financial Reporting In Exchange Act Periodic Reports of Foreign Private Issuers That Are Accelerated Filers [Corrected August 11, 2006]
Corporation Finance |
View Related Activity | |
| Amendments to the Informal and Other Procedures; Public Company Accounting Oversight Board Budget Approval Process | |||
| S7-07-06 | Joint Final Rules: Application of the Definition of Narrow-Based Security Index to Debt Securities Indexes and Security Futures on Debt Securities | ||
| S7-18-03 | Fund of Funds Investments | View Related Activity | |
| S7-10-06 | Findings of Scientific Misconduct | ||
| S7-10-04 | Regulation NMS | View Related Activity | |
| Description of Duties of the General Counsel | |||
| Technical Amendments to Form ADV, Form ADV-W, Form ADV-H, Form ADV-E | |||
| S7-16-04 | Rulemaking for EDGAR System | View Related Activity | |
| S7-38-04 | Securities Offering Reform
Corporation Finance |
View Related Activity | |
| Adoption of Updated EDGAR Filer Manual
EDGAR Business Office |
Last Reviewed or Updated: Sept. 13, 2024