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.

SEC Proposed Rules RSS Feed

Issue Date File Number Rulemaking Status
S7-2024-02 Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers
Investment Management
Proposed Rule
Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers
S7-2024-01 Qualifying Venture Capital Funds Inflation Adjustment
Investment Management
Proposed Rule
Qualifying Venture Capital Funds Inflation Adjustment
S7-18-23 Volume-Based Exchange Transaction Pricing for NMS Stocks
Trading and Markets
Proposed Rule
Volume-Based Exchange Transaction Pricing for NMS Stocks
S7-16-23 Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities
Investment Management
Proposed Rule
Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities
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S7-15-23 EDGAR Filer Access and Account Management
EDGAR Business Office
Proposed Rule
EDGAR Filer Access and Account Management
S7-04-23 Safeguarding Advisory Client Assets
Investment Management
Proposed Rule
Safeguarding Advisory Client Assets; Reopening of Comment Period
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S7-13-23 Exemption for Certain Investment Advisers Operating Through the Internet
Investment Management
Proposed Rule
Exemption for Certain Investment Advisers Operating Through the Internet
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S7-12-23 Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers
Trading and Markets, Investment Management
Proposed Rule
Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers
S7-11-23 Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule
Trading and Markets
Proposed Rule
Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule
S7-32-10 Reopening of Comment Period for Position Reporting of Large Security-Based Swap
Trading and Markets
Proposed Rule
Reopening of Comment Period for Position Reporting of Large Security-Based Swap Positions
S7-10-23 Covered Clearing Agency Resilience and Recovery and Wind-Down Plans
Trading and Markets
Proposed Rule
Covered Clearing Agency Resilience and Recovery and Wind-Down Plans
S7-06-22 Modernization of Beneficial Ownership Reporting
Corporation Finance
Proposed Rule
Reopening of Comment Period for Modernization of Beneficial Ownership Reporting
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S7-02-22 Supplemental Information and Reopening of Comment Period for Amendments to Exchange Act Rule 3b-16 Regarding the Definition of “Exchange”
Trading and Markets
Proposed Rule
Supplemental Information and Reopening of Comment Period for Amendments Regarding the Definition of “Exchange”
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S7-08-23 Electronic Submission of Certain Material Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report Other Rel. Nos.: 34-97182; IC-34864
Trading and Markets
Proposed Rule
Electronic Submission of Certain Material Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report Other Rel. Nos.: 34-97182; IC-34864
S7-07-23 Regulation Systems Compliance and Integrity
Trading and Markets
Proposed Rule
Regulation Systems Compliance and Integrity
S7-06-23 Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, the Municipal Securities Rulemaking Board, National Securities Associations, National Securities Exchanges, Security-Based Swap Data Repositories, Security-Based Swap Dealers, and Transfer Agents
Trading and Markets
Proposed Rule
Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, the Municipal Securities Rulemaking Board, National Securities Associations, National Securities Exchanges, Security-Based Swap Data Reposito
S7-05-23 Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information
Investment Management, Trading and Markets
Proposed Rule
Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information
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S7-04-23 Safeguarding Advisory Client Assets
Investment Management
Proposed Rule
Safeguarding Advisory Client Assets
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S7-03-23 The Commission's Privacy Act Regulations
FOIA Services
Proposed Rule
The Commission's Privacy Act Regulations
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S7-02-23 Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
Ethics Counsel
Proposed Rule
Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
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S7-01-23 Prohibition Against Conflicts of Interest in Certain Securitizations
Corporation Finance
Proposed Rule
Prohibition Against Conflicts of Interest in Certain Securitizations
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S7-32-22 Regulation Best Execution
Trading and Markets
Proposed Rule
Regulation Best Execution
S7-31-22 Order Competition Rule
Trading and Markets
Proposed Rule
Order Competition Rule
S7-30-22 Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders
Trading and Markets
Proposed Rule
Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders
S7-29-22 Disclosure of Order Execution Information
Trading and Markets
Proposed Rule
Disclosure of Order Execution Information
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S7-21-21 Share Repurchase Disclosure Modernization
Corporation Finance, Investment Management
Proposed Rule
Reopening of Comment Period for Share Repurchase Disclosure Modernization
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S7-26-22 Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting
Investment Management
Proposed Rule
Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting
S7-25-22 Outsourcing by Investment Advisers
Investment Management
Proposed Rule
Outsourcing by Investment Advisers
S7-32-10, S7-18-21, S7-21-21, S7-22-21, S7-03-22, S7-08-22, S7-09-22, S7-10-22, S7-13-22, S7-16-22, S7-17-22, S7-18-22 Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers
Trading and Markets
Proposed Rule
Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments
S7-23-22 Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities
Trading and Markets
Proposed Rule
Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities
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S7-22-22 Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
Investment Management
Proposed Rule
Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
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S7-21-22 Clearing Agency Governance and Conflicts of Interest
Trading and Markets
Proposed Rule
Clearing Agency Governance and Conflicts of Interest
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S7-05-15 Exemption for Certain Exchange Members
Trading and Markets
Proposed Rule
Exemption for Certain Exchange Members
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S7-20-22 Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8
Corporation Finance
Proposed Rule
Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8
S7-12-15 Listing Standards for Recovery of Erroneously Awarded Compensation
Corporation Finance
Proposed Rule
Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation
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S7-17-22 Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment Practices
Investment Management
Proposed Rule
Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment Practices
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Last Reviewed or Updated: June 28, 2024