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.

Issue Date File Number Rulemaking Status
S7-6-97 Definition of "Prepared By or On Behalf of the Issuer' for Purposes of Determining if an Offering Document is Subject to State Regulation
Final Rule
Definition of "Prepared By or On Behalf of the Issuer' for Purposes of Determining if an Offering Document is Subject to State Regulation
33-7418, 33-7388
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S7-6-97 Definition of "Prepared By or On Behalf of the Issuer' for Purposes of Determining if an Offering Document is Subject to State Regulation
Proposed Rule
Definition of "Prepared by or on Behalf of the Issuer' for Purposes of Determining if an Offering Document is Subject to State Regulation.
33-7388, 33-7418
View Related Activity

Last Reviewed or Updated: Sept. 13, 2024