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
S7-23-07 Principal Trades with Certain Advisory Clients
Final Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
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S7-23-07 Principal Trades with Certain Advisory Clients
Proposed Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
View Related Activity
S7-23-07 Principal Trades with Certain Advisory Clients
Final Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
View Related Activity
S7-23-07 Principal Trades with Certain Advisory Clients
Proposed Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
View Related Activity
S7-23-07 Principal Trades with Certain Advisory Clients
Final Rule
Principal Trades with Certain Advisory Clients
View Related Activity
S7-23-07 Principal Trades with Certain Advisory Clients
Proposed Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
View Related Activity
S7-23-07 Principal Trades with Certain Advisory Clients
Final Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
View Related Activity
S7-23-07 Principal Trades with Certain Advisory Clients
Final Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
View Related Activity
S7-23-07 Principal Trades with Certain Advisory Clients
Interim Final Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
View Related Activity
S7-23-07 Principal Trades with Certain Advisory Clients
Final Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
View Related Activity

Last Reviewed or Updated: Sept. 13, 2024