This page lists rulemaking activity grouped by file number, which allows you to view the proposed rules, final rules and other actions related to a particular rulemaking. You can sort this list by most recent action, file number, or the informal short name of the rulemaking. By using the "Status" filter, you can view rulemakings that have been completed, or rulemakings that have been proposed but not yet completed. You can also filter to display rulemakings related to a specific SEC division or office. This index omits certain technical rulemakings, including updates to the EDGAR filing manual.

The Regulatory Flexibility Act (“RFA”) requires each federal agency in April and October of each year to publish in the Federal Register an agenda identifying rules that the agency expects to consider in the next twelve months that are likely to have a significant economic impact on a substantial number of small entities. The RFA specifically provides that publication of the agenda does not preclude an agency from considering or acting on any matter not included in the agenda, and that an agency is not required to consider or act on any matter that is included in the agenda. The current Unified Agenda of Federal Regulatory and Deregulatory Actions can be found at www.reginfo.gov. Learn how to submit comments.

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Rulemaking Activity Table

Last Action Date
File Number
Rulemaking
Status
Last Action Date:09/20/2023 File Number:S7-03-23 Rulemaking:
The Commission's Privacy Act Regulations
FOIA Services
Status:
Final Rule
The Commission’s Privacy Act Regulations
Proposed Rule
The Commission's Privacy Act Regulations
Last Action Date:09/20/2023 File Number:S7-16-22 Rulemaking:
Investment Company Names
Investment Management
Status:
Final Rule
Investment Company Names
Proposed Rule
Investment Company Names
Last Action Date:09/18/2023 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:09/13/2023 File Number:S7-15-23 Rulemaking:
EDGAR Filer Access and Account Management
Edgar Business Office
Status:
Proposed Rule
EDGAR Filer Access and Account Management
Last Action Date:08/23/2023 File Number:S7-04-23 Rulemaking:
Safeguarding Advisory Client Assets
Investment Management
Status:
Proposed Rule
Safeguarding Advisory Client Assets; Reopening of Comment Period
Proposed Rule
Safeguarding Advisory Client Assets
Last Action Date:08/23/2023 File Number:S7-03-22 Rulemaking:
Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
Investment Management
Status:
Final Rule
Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
Proposed Rule
Reopening of Comment Periods for "Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews" and "Amendments Regarding the Definition of `Exchange' and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency S
Proposed Rule
Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
Last Action Date:08/23/2023 File Number:S7-05-15 Rulemaking:
Exemption for Certain Exchange Members
Trading and Markets
Status:
Final Rule
Exemption for Certain Exchange Members
Proposed Rule
Exemption for Certain Exchange Members
Proposed Rule
Exemption for Certain Exchange Members
Last Action Date:07/26/2023 File Number:S7-13-23 Rulemaking:
Exemption for Certain Investment Advisers Operating Through the Internet
Investment Management
Status:
Proposed Rule
Exemption for Certain Investment Advisers Operating Through the Internet
Last Action Date:07/26/2023 File Number:S7-12-23 Rulemaking:
Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers
Trading and Markets, Investment Management
Status:
Proposed Rule
Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers
Last Action Date:07/26/2023 File Number:S7-09-22 Rulemaking:
Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure
Corporation Finance
Status:
Final Rule
Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure
Proposed Rule
Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure
Last Action Date:07/12/2023 File Number:S7-11-23 Rulemaking:
Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule
Trading and Markets
Status:
Proposed Rule
Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule
Last Action Date:07/12/2023 File Number:S7-22-21 Rulemaking:
Money Market Fund Reforms
Investment Management
Status:
Final Rule
Money Market Fund Reforms; Form PF Reporting Requirements for Large Liquidity Fund Advisers; Technical Amendments to Form N-CSR and Form N-1A
Proposed Rule
Money Market Fund Reforms
Last Action Date:06/20/2023 File Number:S7-32-10 Rulemaking:
Position Reporting of Large Security-Based Swap Positions
Trading and Markets
Status:
Proposed Rule
Reopening of Comment Period for Position Reporting of Large Security-Based Swap Positions
Proposed Rule
Prohibition Against Fraud, Manipulation, or Deception in Connection With Security-Based Swaps; Prohibition Against Undue Influence Over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions
Proposed Rule
Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps
Proposed Rule
Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps
Last Action Date:06/15/2023 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:06/07/2023 File Number:S7-11-22 Rulemaking:
Removal of References to Credit Ratings From Regulation M
Trading and Markets
Status:
Final Rule
Removal of References to Credit Ratings from Regulation M
Proposed Rule
Removal of References to Credit Ratings From Regulation M
Last Action Date:06/07/2023 File Number:S7-32-10 Rulemaking:
Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers
Trading and Markets
Status:
Final Rule
Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers
Proposed Rule
Prohibition Against Fraud, Manipulation, or Deception in Connection With Security-Based Swaps; Prohibition Against Undue Influence Over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions
Proposed Rule
Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps
Proposed Rule
Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps
Last Action Date:05/31/2023 File Number: Rulemaking:
Technical Amendments to Commission Rules and Forms
Status:
Final Rule
Technical Amendments to Commission Rules and Forms
Last Action Date:05/17/2023 File Number:S7-10-23 Rulemaking:
Covered Clearing Agency Resilience and Recovery and Wind-Down Plans
Trading and Markets
Status:
Proposed Rule
Covered Clearing Agency Resilience and Recovery and Wind-Down Plans
Last Action Date:05/11/2023 File Number: Rulemaking:
Technical Amendments to Form BD and Form BDW
Status:
Final Rule
Technical Amendments to Form BD and Form BDW
Last Action Date:05/03/2023 File Number:S7-01-22 Rulemaking:
Conformed: Form PF; Event Reporting for Large Hedge Fund Advisers and Private Equity Fund Advisers; Requirements for Large Private Equity Fund Adviser Reporting
Investment Management
Status:
Final Rule
Amendments to Form PF to Require Event Reporting for Large Hedge Fund Advisers and Private Equity Fund Advisers and to Amend Reporting Requirements for Large Private Equity Fund Advisers
Proposed Rule
Amendments to Form PF To Require Current Reporting and Amend Reporting Requirements for Large Private Equity Advisers and Large Liquidity Fund Advisers
Last Action Date:05/03/2023 File Number:S7-21-21 Rulemaking:
Share Repurchase Disclosure Modernization
Corporation Finance, Investment Management
Status:
Final Rule
Share Repurchase Disclosure Modernization
Proposed Rule
Reopening of Comment Period for Share Repurchase Disclosure Modernization
Proposed Rule
Share Repurchase Disclosure Modernization
Last Action Date:04/28/2023 File Number:S7-06-22 Rulemaking:
Modernization of Beneficial Ownership Reporting
Corporation Finance
Status:
Proposed Rule
Reopening of Comment Period for Modernization of Beneficial Ownership Reporting
Proposed Rule
Modernization of Beneficial Ownership Reporting
Last Action Date:04/14/2023 File Number:S7-02-22 Rulemaking:
Supplemental Information and Reopening of Comment Period for Amendments to Exchange Act Rule 3b-16 Regarding the Definition of “Exchange”
Trading and Markets
Status:
Proposed Rule
Supplemental Information and Reopening of Comment Period for Amendments Regarding the Definition of “Exchange”
Proposed Rule
Reopening of Comment Periods for "Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews" and "Amendments Regarding the Definition of `Exchange' and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency S
Proposed Rule
Amendments Regarding the Definition of "Exchange" and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency Securities, National Market System (NMS) Stocks, and Other Securities
Last Action Date:03/22/2023 File Number:S7-08-23 Rulemaking:
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
Status:
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
Last Action Date:03/20/2023 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual (Conformed to Federal Register version)
Last Action Date:03/15/2023 File Number:S7-07-23 Rulemaking:
Regulation Systems Compliance and Integrity
Trading and Markets
Status:
Proposed Rule
Regulation Systems Compliance and Integrity
Last Action Date:03/15/2023 File Number:S7-06-23 Rulemaking:
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
Status:
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
Last Action Date:03/15/2023 File Number:S7-05-23 Rulemaking:
Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information Other Rel. Nos: IA-6262; IC-34854
Investment Management
Status:
Proposed Rule
Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information Other Rel. Nos: IA-6262; IC-34854
Last Action Date:03/15/2023 File Number:S7-04-22 Rulemaking:
Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies
Investment Management, Investment Management
Status:
Proposed Rule
Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies
Proposed Rule
Reopening of Comment Period for "Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies"
Last Action Date:02/21/2023 File Number: Rulemaking:
Extending Form 144 EDGAR Filing Hours
Corporation Finance
Status:
Final Rule
Extending Form 144 EDGAR Filing Hours
Last Action Date:02/15/2023 File Number:S7-05-22 Rulemaking:
Shortening the Securities Transaction Settlement Cycle
Investment Management, Trading and Markets
Status:
Final Rule
Shortening the Securities Transaction Settlement Cycle
Proposed Rule
Shortening the Securities Transaction Settlement Cycle
Last Action Date:01/30/2023 File Number:S7-02-23 Rulemaking:
Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
Ethics Counsel
Status:
Proposed Rule
Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
Last Action Date:01/25/2023 File Number:S7-01-23 Rulemaking:
Prohibition Against Conflicts of Interest in Certain Securitizations
Corporation Finance
Status:
Proposed Rule
Prohibition Against Conflicts of Interest in Certain Securitizations
Last Action Date:12/19/2022 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:12/15/2022 File Number: Rulemaking:
Technical Amendments to Commission Rules
Status:
Final Rule
Technical Amendments to Commission Rules
Last Action Date:12/14/2022 File Number:S7-32-22 Rulemaking:
Regulation Best Execution
Trading and Markets
Status:
Proposed Rule
Regulation Best Execution
Last Action Date:12/14/2022 File Number:S7-31-22 Rulemaking:
Order Competition Rule
Trading and Markets
Status:
Proposed Rule
Order Competition Rule
Last Action Date:12/14/2022 File Number:S7-30-22 Rulemaking:
Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders
Trading and Markets
Status:
Proposed Rule
Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders
Last Action Date:12/14/2022 File Number:S7-29-22 Rulemaking:
Disclosure of Order Execution Information
Trading and Markets
Status:
Proposed Rule
Disclosure of Order Execution Information
Last Action Date:12/14/2022 File Number:S7-20-21 Rulemaking:
Insider Trading Arrangements and Related Disclosures
Corporation Finance
Status:
Final Rule
Insider Trading Arrangements and Related Disclosures
Proposed Rule
Rule 10b5-1 and Insider Trading
Last Action Date:11/02/2022 File Number:S7-26-22 Rulemaking:
Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting
Investment Management
Status:
Proposed Rule
Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting
Last Action Date:11/02/2022 File Number:S7-11-21 Rulemaking:
Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers
Investment Management
Status:
Final Rule
Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers
Proposed Rule
Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers
Last Action Date:10/26/2022 File Number:S7-25-22 Rulemaking:
Outsourcing by Investment Advisers
Investment Management
Status:
Proposed Rule
Outsourcing by Investment Advisers
Last Action Date:10/26/2022 File Number:S7-09-20 Rulemaking:
Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements
Investment Management
Status:
Final Rule
Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements
Proposed Rule
Tailored Shareholder Reports, Treatment of Annual Prospectus Updates for Existing Investors, and Improved Fee and Risk Disclosure for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements
Last Action Date:10/26/2022 File Number:S7-12-15 Rulemaking:
Listing Standards for Recovery of Erroneously Awarded Compensation
Corporation Finance
Status:
Final Rule
Listing Standards for Recovery of Erroneously Awarded Compensation
Proposed Rule
Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation
Proposed Rule
Listing Standards for Recovery of Erroneously Awarded Compensation
Proposed Rule
Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation
Last Action Date:10/12/2022 File Number:S7-19-21 Rulemaking:
Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
Trading and Markets
Status:
Final Rule
Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
Proposed Rule
Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
Last Action Date:09/19/2022 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:09/14/2022 File Number:S7-23-22 Rulemaking:
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
Status:
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
Last Action Date:09/09/2022 File Number: Rulemaking:
Inflation Adjustments Under Titles I and III of the JOBS Act
Status:
Final Rule
Inflation Adjustments Under Titles I and III of the JOBS Act
Last Action Date:08/26/2022 File Number:S7-07-22 Rulemaking:
Whistleblower Program Rules
General Counsel
Status:
Final Rule
Whistleblower Program Rules
Proposed Rule
The Commission's Whistleblower Program Rules
Last Action Date:08/25/2022 File Number:S7-07-15 Rulemaking:
Pay Versus Performance
Corporation Finance
Status:
Final Rule
Pay Versus Performance
Proposed Rule
Reopening of Comment Period for Pay Versus Performance
Proposed Rule
Pay Versus Performance
Last Action Date:08/10/2022 File Number:S7-22-22 Rulemaking:
Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
Investment Management
Status:
Proposed Rule
Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
Last Action Date:08/08/2022 File Number:S7-21-22 Rulemaking:
Clearing Agency Governance and Conflicts of Interest
Trading and Markets
Status:
Proposed Rule
Clearing Agency Governance and Conflicts of Interest
Last Action Date:07/13/2022 File Number:S7-20-22 Rulemaking:
Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8
Corporation Finance
Status:
Proposed Rule
Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8
Last Action Date:07/13/2022 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:07/13/2022 File Number:S7-17-21 Rulemaking:
Proxy Voting Advice
Corporation Finance
Status:
Final Rule
Proxy Voting Advice
Proposed Rule
Proxy Voting Advice
Last Action Date:06/23/2022 File Number:S7-15-21 Rulemaking:
Electronic Submission of Applications for Orders Under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F
Investment Management
Status:
Final Rule
Electronic Submission of Applications for Orders Under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F
Proposed Rule
Electronic Submission of Applications for Orders Under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F
Last Action Date:06/02/2022 File Number:S7-24-20 Rulemaking:
Updating EDGAR Filing Requirements and Form 144 Filings
Corporation Finance
Status:
Final Rule
Updating EDGAR Filing Requirements and Form 144 Filings
Proposed Rule
Updating EDGAR Filing Requirements
Proposed Rule
33-10911
Last Action Date:06/02/2022 File Number:S7-16-21 Rulemaking:
Updating EDGAR Filing Requirements
Corporation Finance
Status:
Final Rule
Updating EDGAR Filing Requirements and Form 144 Filings
Proposed Rule
Updating EDGAR Filing Requirements
Last Action Date:05/25/2022 File Number:S7-17-22 Rulemaking:
Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment Practices
Investment Management
Status:
Proposed Rule
Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment Practices
Last Action Date:05/09/2022 File Number:S7-10-22 Rulemaking:
The Enhancement and Standardization of Climate-Related Disclosures for Investors
Corporation Finance
Status:
Proposed Rule
The Enhancement and Standardization of Climate-Related Disclosures for Investors
Proposed Rule
The Enhancement and Standardization of Climate-Related Disclosures for Investors
Last Action Date:04/06/2022 File Number:S7-14-22 Rulemaking:
Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities
Trading and Markets
Status:
Proposed Rule
Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities
Last Action Date:03/30/2022 File Number:S7-13-22 Rulemaking:
Special Purpose Acquisition Companies, Shell Companies, and Projections
Corporation Finance
Status:
Proposed Rule
Special Purpose Acquisition Companies, Shell Companies, and Projections
Last Action Date:03/29/2022 File Number: Rulemaking:
Technical Amendments to Commission Rules and Forms
Status:
Final Rule
Technical Amendments to Commission Rules and Forms
Last Action Date:03/28/2022 File Number:S7-12-22 Rulemaking:
Further Definition of "As a Part of a Regular Business" in the Definition of Dealer and Government Securities Dealer
Trading and Markets
Status:
Proposed Rule
Further Definition of "As a Part of a Regular Business" in the Definition of Dealer and Government Securities Dealer
Last Action Date:03/21/2022 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:02/25/2022 File Number:S7-18-21 Rulemaking:
Reporting of Securities Loans
Trading and Markets
Status:
Proposed Rule
Reopening of Comment Period for Reporting of Securities Loans
Proposed Rule
Reporting of Securities Loans
Last Action Date:02/25/2022 File Number:S7-08-22 Rulemaking:
Notice of the Text of the Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail for Purposes of Short Sale-Related Data Collection
Investment Management, Trading and Markets
Status:
Proposed Rule
Notice of the Text of the Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail for Purposes of Short Sale-Related Data Collection
Proposed Rule
Short Position and Short Activity Reporting by Institutional Investment Managers
Last Action Date:12/20/2021 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:12/02/2021 File Number:S7-03-21 Rulemaking:
Holding Foreign Companies Accountable Act Disclosure
Corporation Finance
Status:
Final Rule
Holding Foreign Companies Accountable Act Disclosure
Interim Final Rule
Holding Foreign Companies Accountable Act Disclosure
Last Action Date:11/17/2021 File Number:S7-24-16 Rulemaking:
Universal Proxy
Corporation Finance
Status:
Final Rule
Universal Proxy
Proposed Rule
Reopening of Comment Period for Universal Proxy
Proposed Rule
Universal Proxy
Last Action Date:11/04/2021 File Number: Rulemaking:
Performance-Based Investment Advisory Fees
Status:
Final Rule
Performance-Based Investment Advisory Fees
Last Action Date:10/13/2021 File Number:S7-20-19 Rulemaking:
Filing Fee Disclosure and Payment Methods Modernization
Corporation Finance, Economic and Risk Analysis
Status:
Final Rule
Filing Fee Disclosure and Payment Methods Modernization
Proposed Rule
Filing Fee Disclosure and Payment Methods Modernization
Last Action Date:09/20/2021 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual, Form ID Amendments
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual, Form ID Amendments
Last Action Date:08/23/2021 File Number: Rulemaking:
Freedom of Information Act Regulations
Status:
Final Rule
Freedom of Information Act Regulations
Last Action Date:06/21/2021 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:03/18/2021 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual, Form ID Amendments
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual, Form ID Amendments
Last Action Date:12/22/2020 File Number: Rulemaking:
Modernization of Delegations of Authority to Commission Staff and Division and Office Descriptions
Status:
Final Rule
Modernization of Delegations of Authority to Commission Staff and Division and Office Descriptions
Last Action Date:12/22/2020 File Number:S7-21-19 Rulemaking:
Investment Adviser Marketing
Investment Management
Status:
Final Rule
Investment Adviser Marketing
Proposed Rule
Investment Adviser Advertisements; Compensation for Solicitations
Last Action Date:12/16/2020 File Number:S7-24-19 Rulemaking:
Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
Status:
Final Rule
Disclosure of Payments by Resource Extraction Issuers
Proposed Rule
Investment Adviser Advertisements; Compensation for Solicitations
Proposed Rule
Disclosure of Payments by Resource Extraction Issuers
Last Action Date:12/16/2020 File Number:S7-08-11 Rulemaking:
Exemption From the Definition of "Clearing Agency" for Certain Activities of Security-Based Swap Dealers and Security-Based Swap Execution Facilities
Trading and Markets
Status:
Final Rule
Clearing Agency Standards
Final Rule
Exemption From the Definition of "Clearing Agency" for Certain Activities of Security-Based Swap Dealers and Security-Based Swap Execution Facilities
Proposed Rule
Clearing Agency Standards for Operation and Governance
Proposed Rule
Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps
Last Action Date:12/11/2020 File Number:S7-11-20 Rulemaking:
Administration of the Electronic Data Gathering, Analysis, and Retrieval System
Corporation Finance
Status:
Final Rule
Administration of the Electronic Data Gathering, Analysis, and Retrieval System
Proposed Rule
Administration of the Electronic Data Gathering, Analysis, and Retrieval System
Last Action Date:12/11/2020 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual, Proposed Collection and Comment Request for Form ID
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual, Proposed Collection and Comment Request for Form ID
Last Action Date:12/10/2020 File Number: Rulemaking:
Delegation of Authority to Director of the Division of Enforcement
Status:
Final Rule
Delegation of Authority to Director of the Division of Enforcement
Last Action Date:12/09/2020 File Number:S7-03-20 Rulemaking:
Market Data Infrastructure
Trading and Markets
Status:
Final Rule
Market Data Infrastructure
Proposed Rule
Market Data Infrastructure
Last Action Date:12/03/2020 File Number:S7-07-20 Rulemaking:
Good Faith Determinations of Fair Value
Investment Management
Status:
Final Rule
Good Faith Determinations of Fair Value
Proposed Rule
Good Faith Determinations of Fair Value
Last Action Date:11/24/2020 File Number:S7-19-20 Rulemaking:
Temporary Rules to Include Certain "Platform Workers" in Compensatory Offerings Under Rule 701 and Form S-8
Corporation Finance
Status:
Proposed Rule
Temporary Rules to Include Certain "Platform Workers" in Compensatory Offerings Under Rule 701 and Form S-8
Last Action Date:11/24/2020 File Number:S7-18-20 Rulemaking:
Modernization of Rules and Forms for Compensatory Securities Offerings and Sales
Corporation Finance
Status:
Proposed Rule
Modernization of Rules and Forms for Compensatory Securities Offerings and Sales
Last Action Date:11/19/2020 File Number:S7-01-20 Rulemaking:
Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information
Corporation Finance
Status:
Final Rule
Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information
Proposed Rule
Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information
Last Action Date:11/17/2020 File Number: Rulemaking:
Electronic Signatures in Regulation S-T Rule 302
Corporation Finance
Status:
Final Rule
Electronic Signatures in Regulation S-T Rule 302
Last Action Date:11/17/2020 File Number:S7-19-15 Rulemaking:
Amendments to the Commission's Rules of Practice (Conformed to Federal Register version) Effective Date: The final rules are effective January 29, 2021, except for Instruction 8 which is effective July 12, 2021 Compliance Date: April 12, 2021
General Counsel
Status:
Final Rule
Amendments to the Commission's Rules of Practice (Conformed to Federal Register version) Effective Date: The final rules are effective January 29, 2021, except for Instruction 8 which is effective July 12, 2021 Compliance Date: April 12, 2021
Proposed Rule
Amendments to the Commission's Rules of Practice
Last Action Date:11/02/2020 File Number:S7-05-20 Rulemaking:
Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets
Corporation Finance
Status:
Final Rule
Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets
Proposed Rule
Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets
Last Action Date:11/02/2020 File Number:S7-24-15 Rulemaking:
Use of Derivatives by Registered Investment Companies and Business Development Companies
Investment Management
Status:
Final Rule
Use of Derivatives by Registered Investment Companies and Business Development Companies
Proposed Rule
Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence by Broker-Dealers and Registered Investment Advisers Regarding Retail Customers' Transactions in Certain Leveraged/Inverse Investment Vehicles
Proposed Rule
Use of Derivatives by Registered Investment Companies and Business Development Companies
Last Action Date:10/22/2020 File Number:S7-09-19 Rulemaking:
Customer Margin Rules Relating to Security Futures
Trading and Markets
Status:
Final Rule
Customer Margin Rules Relating to Security Futures
Proposed Rule
Customer Margin Rules Relating to Security Futures
Last Action Date:10/16/2020 File Number:S7-26-19 Rulemaking:
Qualifications of Accountants
Investment Management
Status:
Final Rule
Qualifications of Accountants
Proposed Rule
Amendments to Rule 2-01, Qualifications of Accountants
Last Action Date:10/07/2020 File Number:S7-27-18 Rulemaking:
Fund of Funds Arrangements
Investment Management
Status:
Final Rule
Fund of Funds Arrangements
Proposed Rule
Fund of Funds Arrangements
Last Action Date:09/28/2020 File Number:S7-12-20 Rulemaking:
Regulation ATS for ATSs That Trade U.S. Government Securities, NMS Stock, and Other Securities; Regulation SCI for ATSs That Trade U.S. Treasury Securities and Agency Securities; and Electronic Corporate Bond and Municipal Securities Markets
Trading and Markets
Status:
Proposed Rule
Regulation ATS for ATSs That Trade U.S. Government Securities, NMS Stock, and Other Securities; Regulation SCI for ATSs That Trade U.S. Treasury Securities and Agency Securities; and Electronic Corporate Bond and Municipal Securities Markets
Last Action Date:09/23/2020 File Number:S7-16-18 Rulemaking:
Whistleblower Program Rules
Corporation Finance
Status:
Final Rule
Whistleblower Program Rules
Proposed Rule
Whistleblower Program Rules
Last Action Date:09/23/2020 File Number:S7-23-19 Rulemaking:
Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8
Corporation Finance
Status:
Final Rule
Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8
Proposed Rule
Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8
Last Action Date:09/18/2020 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:09/16/2020 File Number:S7-14-19 Rulemaking:
Publication or Submission of Quotations Without Specified Information
Trading and Markets
Status:
Final Rule
Publication or Submission of Quotations Without Specified Information
Proposed Rule
Publication or Submission of Quotations Without Specified Information
Concept Rule
Publication or Submission of Quotations Without Specified Information
Last Action Date:09/11/2020 File Number:S7-02-17 Rulemaking:
Update of Statistical Disclosures for Bank and Savings and Loan Registrants
Corporation Finance
Status:
Final Rule
Update of Statistical Disclosures for Bank and Savings and Loan Registrants
Proposed Rule
Update of Statistical Disclosures for Bank and Savings and Loan Registrants
Last Action Date:08/28/2020 File Number: Rulemaking:
Temporary Amendments to Regulation Crowdfunding; Extension
Corporation Finance
Status:
Interim Final Rule
Temporary Amendments to Regulation Crowdfunding; Extension
Last Action Date:08/26/2020 File Number:S7-25-19 Rulemaking:
Accredited Investor Definition
Corporation Finance
Status:
Final Rule
Accredited Investor Definition
Proposed Rule
Amending the "Accredited Investor" Definition
Last Action Date:08/26/2020 File Number:S7-11-19 Rulemaking:
Modernization of Regulation S-K Items 101, 103, and 105
Corporation Finance
Status:
Final Rule
Modernization of Regulation S-K Items 101, 103, and 105
Proposed Rule
Modernization of Regulation S-K Items 101, 103, and 105
Last Action Date:08/21/2020 File Number:S7-10-20 Rulemaking:
Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail To Enhance Data Security
Trading and Markets
Status:
Proposed Rule
Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail To Enhance Data Security
Last Action Date:08/19/2020 File Number:S7-15-19 Rulemaking:
Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments and Modified Procedures for Proposed NMS Plans and Plan Amendments
Trading and Markets
Status:
Final Rule
Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments and Modified Procedures for Proposed NMS Plans and Plan Amendments
Proposed Rule
Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments
Last Action Date:07/24/2020 File Number:S7-02-16 Rulemaking:
Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Trading and Markets
Status:
Final Rule
Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Proposed Rule
Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Last Action Date:07/22/2020 File Number:S7-22-19 Rulemaking:
Exemptions From the Proxy Rules for Proxy Voting Advice
Corporation Finance
Status:
Final Rule
Exemptions From the Proxy Rules for Proxy Voting Advice
Proposed Rule
Amendments to Exemptions From the Proxy Rules for Proxy Voting Advice
Last Action Date:07/10/2020 File Number:S7-08-20 Rulemaking:
Reporting Threshold for Institutional Investment Managers
Investment Management
Status:
Proposed Rule
Reporting Threshold for Institutional Investment Managers
Last Action Date:07/06/2020 File Number:S7-19-19 Rulemaking:
Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940
Investment Management
Status:
Final Rule
Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940
Proposed Rule
Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940
Last Action Date:06/25/2020 File Number:S7-02-20 Rulemaking:
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Trading and Markets, Investment Management
Status:
Final Rule
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Proposed Rule
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Last Action Date:05/20/2020 File Number:S7-05-19 Rulemaking:
Amendments to Financial Disclosures About Acquired and Disposed Businesses
Chief Accountant, Corporation Finance, Investment Management
Status:
Final Rule
Amendments to Financial Disclosures About Acquired and Disposed Businesses
Proposed Rule
Amendments to Financial Disclosures About Acquired and Disposed Businesses
Last Action Date:05/15/2020 File Number:S7-13-19 Rulemaking:
National Market System Plan Governing the Consolidated Audit Trail
Trading and Markets
Status:
Final Rule
Amendments to the National Market System Plan Governing the Consolidated Audit Trail
Proposed Rule
Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail
Last Action Date:05/04/2020 File Number: Rulemaking:
Temporary Amendments to Regulation Crowdfunding
Corporation Finance
Status:
Interim Final Rule
Temporary Amendments to Regulation Crowdfunding
Last Action Date:04/09/2020 File Number:S7-23-16 Rulemaking:
Definition of "Covered Clearing Agency"
Trading and Markets
Status:
Final Rule
Definition of "Covered Clearing Agency"
Proposed Rule
Definition of Covered Clearing Agency
Last Action Date:04/08/2020 File Number:S7-03-19 Rulemaking:
Securities Offering Reform for Closed-End Investment Companies
Investment Management
Status:
Final Rule
Securities Offering Reform for Closed-End Investment Companies
Proposed Rule
Securities Offering Reform for Closed-End Investment Companies
Last Action Date:03/26/2020 File Number: Rulemaking:
Relief for Form ID Filers and Regulation Crowdfunding and Regulation A Issuers Related to Coronavirus Disease 2019 (COVID-19)
Status:
Interim Final Rule
Relief for Form ID Filers and Regulation Crowdfunding and Regulation A Issuers Related to Coronavirus Disease 2019 (COVID-19)
Last Action Date:03/12/2020 File Number:S7-06-19 Rulemaking:
Accelerated Filer and Large Accelerated Filer Definitions
Corporation Finance
Status:
Final Rule
Accelerated Filer and Large Accelerated Filer Definitions
Proposed Rule
Amendments to the Accelerated Filer and Large Accelerated Filer Definitions
Last Action Date:03/11/2020 File Number:S7-23-18 Rulemaking:
Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
Investment Management
Status:
Final Rule
Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
Proposed Rule
Reopening of Comment Period for Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
Proposed Rule
Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
Last Action Date:03/02/2020 File Number:S7-19-18 Rulemaking:
Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities
Corporation Finance
Status:
Final Rule
Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities
Proposed Rule
Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities
Last Action Date:03/02/2020 File Number: Rulemaking:
Exemptions From Investment Adviser Registration for Advisers to Certain Rural Business Investment Companies
Status:
Final Rule
Exemptions From Investment Adviser Registration for Advisers to Certain Rural Business Investment Companies
Last Action Date:02/19/2020 File Number: Rulemaking:
Delegation of Authority to the General Counsel of the Commission
Status:
Final Rule
Delegation of Authority to the General Counsel of the Commission
Last Action Date:02/14/2020 File Number:S7-03-20 Rulemaking:
Market Data Infrastructure
Trading and Markets
Status:
Proposed Rule
Market Data Infrastructure
Last Action Date:01/30/2020 File Number: Rulemaking:
Commission Guidance on Management's Discussion and Analysis of Financial Condition and Results of Operations
Corporation Finance
Status:
Interpretive Rule
Commission Guidance on Management's Discussion and Analysis of Financial Condition and Results of Operations
Last Action Date:01/27/2020 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:12/30/2019 File Number:S7-26-19 Rulemaking:
Amendments to Rule 2-01, Qualifications of Accountants
Investment Management
Status:
Proposed Rule
Amendments to Rule 2-01, Qualifications of Accountants
Last Action Date:12/18/2019 File Number:S7-07-19 Rulemaking:
Cross-Border Application of Certain Security-Based Swap Requirements
Trading and Markets
Status:
Final Rule
Cross-Border Application of Certain Security-Based Swap Requirements
Proposed Rule
Proposed Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements
Last Action Date:12/18/2019 File Number:S7-28-18 Rulemaking:
Risk Mitigation Techniques for Uncleared Security-Based Swaps
Trading and Markets
Status:
Final Rule
Risk Mitigation Techniques for Uncleared Security-Based Swaps
Proposed Rule
Risk Mitigation Techniques for Uncleared Security-Based Swaps
Last Action Date:09/27/2019 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:09/25/2019 File Number:S7-15-18 Rulemaking:
Exchange-Traded Funds
Investment Management
Status:
Final Rule
Exchange-Traded Funds
Proposed Rule
Exchange-Traded Funds
Last Action Date:09/25/2019 File Number:S7-01-19 Rulemaking:
Solicitations of Interest Prior to a Registered Public Offering
Corporation Finance, Investment Management
Status:
Final Rule
Solicitations of Interest Prior to a Registered Public Offering
Proposed Rule
Solicitations of Interest Prior to a Registered Public Offering
Last Action Date:09/19/2019 File Number:S7-05-14 Rulemaking:
Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers
Trading and Markets
Status:
Final Rule
Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers
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
Last Action Date:09/18/2019 File Number:S7-14-18 Rulemaking:
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Trading and Markets, Investment Management
Status:
Final Rule
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Proposed Rule
Extension of Comment Period for Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Proposed Rule
Extension of Comment Period for Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Last Action Date:09/17/2019 File Number:S7-09-17 Rulemaking:
Amendments to the Commission's Freedom of Information Act Regulations
General Counsel
Status:
Final Rule
Amendments to the Commission's Freedom of Information Act Regulations
Proposed Rule
Freedom of Information Act Regulations
Final Rule
Technical Amendments To Update Cross-References to Commission's FOIA Regulations
Last Action Date:09/09/2019 File Number:S7-13-19 Rulemaking:
Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail
Trading and Markets
Status:
Proposed Rule
Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail
Last Action Date:08/21/2019 File Number: Rulemaking:
Commission Interpretation and Guidance Regarding the Applicability of the Proxy Rules to Proxy Voting Advice
Corporation Finance
Status:
Interpretive Rule
Commission Interpretation and Guidance Regarding the Applicability of the Proxy Rules to Proxy Voting Advice
Last Action Date:08/07/2019 File Number:S7-22-18 Rulemaking:
Amendments to Rules for Nationally Recognized Statistical Rating Organizations
Credit Ratings
Status:
Final Rule
Amendments to Rules for Nationally Recognized Statistical Rating Organizations
Proposed Rule
Amendments to Rules for Nationally Recognized Statistical Rating Organizations
Last Action Date:08/06/2019 File Number:S7-08-17 Rulemaking:
FAST Act Modernization and Simplification of Regulation S-K
Corporation Finance, Investment Management
Status:
Final Rule
FAST Act Modernization and Simplification of Regulation S-K; Correction
Final Rule
FAST Act Modernization and Simplification of Regulation S-K
Proposed Rule
FAST Act Modernization and Simplification of Regulation S-K
Last Action Date:08/06/2019 File Number:S7-08-17 Rulemaking:
FAST Act Modernization and Simplification of Regulation S-K; Correction
Corporation Finance
Status:
Final Rule
FAST Act Modernization and Simplification of Regulation S-K
Final Rule
FAST Act Modernization and Simplification of Regulation S-K; Correction
Proposed Rule
FAST Act Modernization and Simplification of Regulation S-K
Last Action Date:07/05/2019 File Number:S7-30-18 Rulemaking:
Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Status:
Final Rule
Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Proposed Rule
Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds
Last Action Date:06/21/2019 File Number:S7-08-12 Rulemaking:
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers
Trading and Markets
Status:
Final Rule
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers
Proposed Rule
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
Proposed Rule
Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps
Proposed Rule
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
Proposed Rule
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
Last Action Date:06/18/2019 File Number:S7-08-19 Rulemaking:
Concept Release on Harmonization of Securities Offering Exemptions
Corporation Finance, Trading and Markets, Investment Management
Status:
Concept Rule
Concept Release on Harmonization of Securities Offering Exemptions
Last Action Date:06/18/2019 File Number:S7-10-18 Rulemaking:
Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships
Chief Accountant
Status:
Final Rule
Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships
Proposed Rule
Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships
Last Action Date:06/10/2019 File Number:S7-21-18 Rulemaking:
Amendment to Single Issuer Exemption for Broker-Dealers
Trading and Markets
Status:
Final Rule
Amendment to Single Issuer Exemption for Broker-Dealers
Proposed Rule
Amendment to Single Issuer Exemption for Broker-Dealers
Last Action Date:06/07/2019 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:06/05/2019 File Number:S7-07-18 Rulemaking:
Regulation Best Interest: The Broker-Dealer Standard of Conduct
Trading and Markets, Investment Management
Status:
Final Rule
Regulation Best Interest: The Broker-Dealer Standard of Conduct
Proposed Rule
Regulation Best Interest
Interpretive Rule
Commission Interpretation Regarding Standard of Conduct for Investment Advisers
Interpretive Rule
Commission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion From the Definition of Investment Adviser
Last Action Date:06/05/2019 File Number: Rulemaking:
Commission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion From the Definition of Investment Adviser
Status:
Interpretive Rule
Commission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion From the Definition of Investment Adviser
Last Action Date:06/05/2019 File Number:S7-07-18 Rulemaking:
Commission Interpretation Regarding Standard of Conduct for Investment Advisers
Trading and Markets, Investment Management
Status:
Interpretive Rule
Commission Interpretation Regarding Standard of Conduct for Investment Advisers
Last Action Date:06/05/2019 File Number:S7-08-18 Rulemaking:
Form CRS Relationship Summary; Amendments to Form ADV
Investment Management
Status:
Final Rule
Form CRS Relationship Summary; Amendments to Form ADV
Proposed Rule
Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures in Retail Communications and Restrictions on the Use of Certain Names or Titles
Last Action Date:04/24/2019 File Number:S7-14-16 Rulemaking:
Disclosure of Order Handling Information
Trading and Markets
Status:
Final Rule
Disclosure of Order Handling Information
Final Rule
Disclosure of Order Handling Information
Proposed Rule
Disclosure of Order Handling Information
Last Action Date:03/28/2019 File Number: Rulemaking:
Public Company Accounting Oversight Board Hearing Officers
Status:
Final Rule
Public Company Accounting Oversight Board Hearing Officers
Last Action Date:03/12/2019 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:02/27/2019 File Number:S7-02-19 Rulemaking:
Amendments to the Timing Requirements for Filing Reports on Form N-Port
Investment Management
Status:
Interim Final Rule
Amendments to the Timing Requirements for Filing Reports on Form N-Port
Last Action Date:12/20/2018 File Number:S7-01-15 Rulemaking:
Disclosure of Hedging by Employees, Officers and Directors
Corporation Finance
Status:
Final Rule
Disclosure of Hedging by Employees, Officers and Directors
Proposed Rule
Disclosure of Hedging by Employees, Officers and Directors
Last Action Date:12/19/2018 File Number:S7-29-18 Rulemaking:
Conditional Small Issues Exemption Under the Securities Act of 1933 (Regulation A)
Corporation Finance
Status:
Final Rule
Conditional Small Issues Exemption Under the Securities Act of 1933 (Regulation A)
Last Action Date:12/19/2018 File Number:S7-14-15 Rulemaking:
Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved in Effecting Security-Based Swaps
Trading and Markets
Status:
Final Rule
Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved in Effecting Security-Based Swaps
Proposed Rule
Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved in Effecting Security-Based Swaps
Last Action Date:12/19/2018 File Number:S7-05-18 Rulemaking:
Transaction Fee Pilot for NMS Stocks
Trading and Markets
Status:
Final Rule
Transaction Fee Pilot for NMS Stocks
Proposed Rule
Transaction Fee Pilot for NMS Stocks
Last Action Date:12/14/2018 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:11/30/2018 File Number:S7-11-18 Rulemaking:
Covered Investment Fund Research Reports
Corporation Finance, Investment Management, Trading and Markets
Status:
Final Rule
Covered Investment Fund Research Reports
Proposed Rule
Covered Investment Fund Research Reports
Last Action Date:11/29/2018 File Number:S7-08-15 Rulemaking:
Investment Company Reporting Modernization
Investment Management
Status:
Final Rule
Investment Company Reporting Modernization
Final Rule
Form N-1A; Correction
Final Rule
Investment Company Reporting Modernization
Proposed Rule
Investment Company Reporting Modernization
Last Action Date:11/29/2018 File Number:S7-08-15 Rulemaking:
Optional Internet Availability of Investment Company Shareholder Reports
Investment Management
Status:
Final Rule
Form N-1A; Correction
Final Rule
Investment Company Reporting Modernization
Final Rule
Investment Company Reporting Modernization
Final Rule
Optional Internet Availability of Investment Company Shareholder Reports
Proposed Rule
Investment Company Reporting Modernization
Last Action Date:11/29/2018 File Number:S7-04-18 Rulemaking:
Investment Company Liquidity Disclosure
Investment Management
Status:
Final Rule
Form N-1A; Correction
Final Rule
Investment Company Liquidity Disclosure
Proposed Rule
Investment Company Liquidity Disclosure
Last Action Date:11/29/2018 File Number:S7-08-15 Rulemaking:
Form N-1A; Correction
Investment Management
Status:
Final Rule
Optional Internet Availability of Investment Company Shareholder Reports
Final Rule
Investment Company Liquidity Disclosure
Final Rule
Investment Company Reporting Modernization
Final Rule
Form N-1A; Correction
Last Action Date:11/06/2018 File Number:S7-23-15 Rulemaking:
Regulation of NMS Stock Alternative Trading Systems
Trading and Markets
Status:
Final Rule
Regulation of NMS Stock Alternative Trading Systems
Final Rule
Regulation of NMS Stock Alternative Trading Systems
Proposed Rule
Regulation of NMS Stock Alternative Trading Systems
Last Action Date:11/02/2018 File Number:S7-14-16 Rulemaking:
Disclosure of Order Handling Information
Trading and Markets
Status:
Final Rule
Disclosure of Order Handling Information
Proposed Rule
Disclosure of Order Handling Information
Last Action Date:10/31/2018 File Number:S7-10-16 Rulemaking:
Modernization of Property Disclosures for Mining Registrants
Corporation Finance
Status:
Final Rule
Modernization of Property Disclosures for Mining Registrants
Proposed Rule
Modernization of Property Disclosures for Mining Registrants
Proposed Rule
Extension of Comment Period for Modernization of Property Disclosures for Mining Registrants
Last Action Date:10/16/2018 File Number: Rulemaking:
Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Michael
Corporation Finance
Status:
Interim Final Rule
Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Michael
Last Action Date:10/01/2018 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual; Correction
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual; Correction
Last Action Date:09/19/2018 File Number: Rulemaking:
Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Florence
Corporation Finance
Status:
Interim Final Rule
Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Florence
Last Action Date:08/22/2018 File Number: Rulemaking:
Delegation of Authority to General Counsel of the Commission
Status:
Final Rule
Delegation of Authority to General Counsel of the Commission
Last Action Date:08/20/2018 File Number:S7-01-17 Rulemaking:
Amendments to Municipal Securities Disclosure
Municipal Securities
Status:
Final Rule
Amendments to Municipal Securities Disclosure
Proposed Rule
Proposed Amendments to Municipal Securities Disclosure
Last Action Date:08/17/2018 File Number:S7-15-16 Rulemaking:
Disclosure Update and Simplification
Corporation Finance
Status:
Final Rule
Disclosure Update and Simplification
Proposed Rule
Regulation of NMS Stock Alternative Trading Systems
Proposed Rule
Disclosure Update and Simplification
Last Action Date:07/18/2018 File Number:S7-18-18 Rulemaking:
Concept Release on Compensatory Securities Offerings and Sales
Corporation Finance
Status:
Concept Rule
Concept Release on Compensatory Securities Offerings and Sales
Last Action Date:07/18/2018 File Number:S7-17-18 Rulemaking:
Exempt Offerings Pursuant to Compensatory Arrangements
Corporation Finance
Status:
Final Rule
Exempt Offerings Pursuant to Compensatory Arrangements
Last Action Date:07/10/2018 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:06/28/2018 File Number:S7-12-16 Rulemaking:
Smaller Reporting Company Definition
Corporation Finance
Status:
Final Rule
Smaller Reporting Company Definition
Proposed Rule
Amendments to Smaller Reporting Company Definition
Last Action Date:06/28/2018 File Number:S7-03-17 Rulemaking:
Inline XBRL Filing of Tagged Data
Corporation Finance
Status:
Final Rule
Inline XBRL Filing of Tagged Data
Proposed Rule
Inline XBRL Filing of Tagged Data
Last Action Date:05/24/2018 File Number: Rulemaking:
Technical Amendments to Rules of Practice and Rules of Organization; Conduct and Ethics; and Information and Requests
Status:
Final Rule
Technical Amendments to Rules of Practice and Rules of Organization; Conduct and Ethics; and Information and Requests
Last Action Date:04/25/2018 File Number: Rulemaking:
Amendments to Forms and Schedules To Remove Provision of Certain Personally Identifiable Information
Status:
Final Rule
Amendments to Forms and Schedules To Remove Provision of Certain Personally Identifiable Information
Last Action Date:04/18/2018 File Number:S7-09-18 Rulemaking:
Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation
Investment Management
Status:
Proposed Rule
Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation
Interpretive Rule
Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation
Last Action Date:03/08/2018 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:02/22/2018 File Number:S7-03-18 Rulemaking:
Investment Company Liquidity Risk Management Programs; Commission Guidance for In-Kind ETFs
Status:
Interim Final Rule
Investment Company Liquidity Risk Management Programs; Commission Guidance for In-Kind ETFs
Last Action Date:02/21/2018 File Number: Rulemaking:
Commission Statement and Guidance on Public Company Cybersecurity Disclosures
Corporation Finance
Status:
Interpretive Rule
Commission Statement and Guidance on Public Company Cybersecurity Disclosures
Last Action Date:01/24/2018 File Number: Rulemaking:
Amendments to Forms and Schedules To Remove Voluntary Provision of Social Security Numbers
Status:
Final Rule
Technical Revisions to the Rules and Forms Regulating Money Market Funds
Final Rule
Amendments to Forms and Schedules To Remove Voluntary Provision of Social Security Numbers
Last Action Date:01/05/2018 File Number:S7-05-17 Rulemaking:
Exemptions From Investment Adviser Registration for Advisers to Small Business Investment Companies
Investment Management
Status:
Final Rule
Exemptions From Investment Adviser Registration for Advisers to Small Business Investment Companies
Proposed Rule
Amendments to Investment Advisers Act Rules To Reflect Changes Made by the FAST Act
Last Action Date:01/05/2018 File Number:S7-09-14 Rulemaking:
Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
Corporation Finance
Status:
Final Rule
Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
Proposed Rule
Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
Last Action Date:12/08/2017 File Number:S7-08-15 Rulemaking:
Investment Company Reporting Modernization
Investment Management
Status:
Final Rule
Investment Company Reporting Modernization
Final Rule
Investment Company Reporting Modernization
Proposed Rule
Investment Company Reporting Modernization
Last Action Date:12/08/2017 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:10/24/2017 File Number:S7-06-17 Rulemaking:
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
Trading and Markets
Status:
Final Rule
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
Proposed Rule
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
Last Action Date:10/11/2017 File Number:S7-08-17 Rulemaking:
FAST Act Modernization and Simplification of Regulation S-K
Corporation Finance
Status:
Proposed Rule
FAST Act Modernization and Simplification of Regulation S-K
Last Action Date:09/28/2017 File Number: Rulemaking:
Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Harvey, Hurricane Irma, and Hurricane Maria
Status:
Interim Final Rule
Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Harvey, Hurricane Irma, and Hurricane Maria
Last Action Date:09/21/2017 File Number:S7-07-13 Rulemaking:
Pay Ratio Disclosure
Corporation Finance
Status:
Final Rule
Pay Ratio Disclosure
Proposed Rule
Pay Ratio Disclosure
Proposed Rule
Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
Interpretive Rule
Commission Guidance on Pay Ratio Disclosure
Last Action Date:09/21/2017 File Number:S7-07-13 Rulemaking:
Commission Guidance on Pay Ratio Disclosure
Corporation Finance
Status:
Interpretive Rule
Commission Guidance on Pay Ratio Disclosure
Last Action Date:09/13/2017 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:08/18/2017 File Number: Rulemaking:
Commission Guidance Regarding Revenue Recognition for Bill-and-Hold Arrangements
Status:
Interpretive Rule
Commission Guidance Regarding Revenue Recognition for Bill-and-Hold Arrangements
Last Action Date:08/18/2017 File Number: Rulemaking:
Updates to Commission Guidance Regarding Accounting for Sales of Vaccines and Bioterror Countermeasures to the Federal Government for Placement Into the Pediatric Vaccine Stockpile or the Strategic National Stockpile
Status:
Interpretive Rule
Updates to Commission Guidance Regarding Accounting for Sales of Vaccines and Bioterror Countermeasures to the Federal Government for Placement Into the Pediatric Vaccine Stockpile or the Strategic National Stockpile
Last Action Date:07/06/2017 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:05/04/2017 File Number: Rulemaking:
Technical Amendments to Form ADV and Form ADV-W
Status:
Final Rule
Technical Amendments to Form ADV and Form ADV-W
Last Action Date:05/03/2017 File Number:S7-05-17 Rulemaking:
Amendments to Investment Advisers Act Rules To Reflect Changes Made by the FAST Act
Investment Management
Status:
Proposed Rule
Amendments to Investment Advisers Act Rules To Reflect Changes Made by the FAST Act
Last Action Date:03/31/2017 File Number:S7-09-16 Rulemaking:
Inflation Adjustments and Other Technical Amendments Under Titles I and III of the Jobs Act
Corporation Finance
Status:
Final Rule
Inflation Adjustments and Other Technical Amendments Under Titles I and III of the Jobs Act
Interim Final Rule
Form 10-K Summary
Last Action Date:03/22/2017 File Number:S7-22-16 Rulemaking:
Securities Transaction Settlement Cycle
Trading and Markets
Status:
Final Rule
Securities Transaction Settlement Cycle
Proposed Rule
Amendment to Securities Transaction Settlement Cycle
Last Action Date:03/13/2017 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:03/01/2017 File Number:S7-03-17 Rulemaking:
Inline XBRL Filing of Tagged Data
Corporation Finance
Status:
Proposed Rule
Inline XBRL Filing of Tagged Data
Last Action Date:03/01/2017 File Number:S7-01-17 Rulemaking:
Proposed Amendments to Municipal Securities Disclosure
Municipal Securities
Status:
Proposed Rule
Proposed Amendments to Municipal Securities Disclosure
Last Action Date:03/01/2017 File Number:S7-19-16 Rulemaking:
Exhibit Hyperlinks and HTML Format
Corporation Finance
Status:
Final Rule
Exhibit Hyperlinks and HTML Format
Proposed Rule
Exhibit Hyperlinks and HTML Format
Last Action Date:02/17/2017 File Number:S7-22-15 Rulemaking:
Exemptions To Facilitate Intrastate and Regional Securities Offerings
Corporation Finance
Status:
Final Rule
Exemptions To Facilitate Intrastate and Regional Securities Offerings
Final Rule
Exemptions to Facilitate Intrastate and Regional Securities Offerings, Technical Correction
Proposed Rule
Exemptions To Facilitate Intrastate and Regional Securities Offerings
Last Action Date:02/10/2017 File Number:S7-26-11 Rulemaking:
Exemptions for Security-Based Swaps
Corporation Finance
Status:
Interim Final Rule
Exemptions for Security-Based Swaps
Interim Final Rule
Extension of Exemptions for Security-Based Swaps
Interim Final Rule
Extension of Exemptions for Security-Based Swaps
Interim Final Rule
Exemptions for Security-Based Swaps
Last Action Date:01/26/2017 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:01/06/2017 File Number: Rulemaking:
Adjustments to Civil Monetary Penalty Amounts
Enforcement
Status:
Final Rule
Adjustments to Civil Monetary Penalty Amounts
Last Action Date:12/21/2016 File Number:S7-12-14 Rulemaking:
Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act
Corporation Finance
Status:
Final Rule
Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act; Correction
Final Rule
Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act
Proposed Rule
Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the Jobs Act
Last Action Date:12/21/2016 File Number:S7-12-14 Rulemaking:
Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act; Correction
Corporation Finance
Status:
Final Rule
Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act; Correction
Proposed Rule
Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the Jobs Act
Last Action Date:12/09/2016 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:11/03/2016 File Number: Rulemaking:
Interim Final Temporary Rule Regarding the Consolidated Audit Trail Dates: See Notification regarding expired temporary rule,
Status:
Interim Final Rule
Interim Final Temporary Rule Regarding the Consolidated Audit Trail Dates: See Notification regarding expired temporary rule,
Last Action Date:10/13/2016 File Number:S7-16-15 Rulemaking:
Investment Company Liquidity Risk Management Programs
Investment Management
Status:
Final Rule
Investment Company Liquidity Risk Management Programs
Proposed Rule
Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release
Last Action Date:10/13/2016 File Number:S7-16-15 Rulemaking:
Investment Company Swing Pricing
Investment Management
Status:
Final Rule
Investment Company Swing Pricing
Proposed Rule
Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release
Last Action Date:09/28/2016 File Number:S7-22-16 Rulemaking:
Amendment to Securities Transaction Settlement Cycle
Trading and Markets
Status:
Proposed Rule
Amendment to Securities Transaction Settlement Cycle
Last Action Date:09/28/2016 File Number:S7-23-16 Rulemaking:
Definition of Covered Clearing Agency
Trading and Markets
Status:
Proposed Rule
Definition of Covered Clearing Agency
Last Action Date:09/28/2016 File Number:S7-03-14 Rulemaking:
Standards for Covered Clearing Agencies
Trading and Markets
Status:
Final Rule
Standards for Covered Clearing Agencies
Proposed Rule
Standards for Covered Clearing Agencies
Last Action Date:09/23/2016 File Number:S7-15-16 Rulemaking:
Disclosure Update and Simplification
Corporation Finance
Status:
Proposed Rule
Extension of Comment Period for Disclosure Update and Simplification
Proposed Rule
Disclosure Update and Simplification
Last Action Date:09/20/2016 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:08/29/2016 File Number:S7-15-15 Rulemaking:
Access to Data Obtained by Security-Based Swap Data Repositories
Trading and Markets
Status:
Final Rule
Access to Data Obtained by Security-Based Swap Data Repositories
Proposed Rule
Access to Data Obtained by Security-Based Swap Data Repositories and Exemption From Indemnification Requirement
Proposed Rule
Access to Data Obtained by Security-Based Swap Data Repositories and Exemption From Indemnification Requirement
Last Action Date:08/25/2016 File Number:S7-09-15 Rulemaking:
Form ADV and Investment Advisers Act Rules
Investment Management
Status:
Final Rule
Form ADV and Investment Advisers Act Rules
Proposed Rule
Amendments to Form ADV and Investment Advisers Act Rules
Last Action Date:07/14/2016 File Number:S7-03-15 Rulemaking:
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Trading and Markets
Status:
Final Rule
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Proposed Rule
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Last Action Date:07/13/2016 File Number:S7-14-16 Rulemaking:
Disclosure of Order Handling Information
Trading and Markets
Status:
Proposed Rule
Disclosure of Order Handling Information
Last Action Date:07/13/2016 File Number:S7-18-15 Rulemaking:
Amendments to the Commission's Rules of Practice
General Counsel
Status:
Final Rule
Amendments to the Commission's Rules of Practice
Proposed Rule
Amendments to the Commission's Rules of Practice
Last Action Date:06/28/2016 File Number:S7-13-16 Rulemaking:
Adviser Business Continuity and Transition Plans
Investment Management
Status:
Proposed Rule
Adviser Business Continuity and Transition Plans
Last Action Date:06/27/2016 File Number:S7-11-16 Rulemaking:
Adjustments to Civil Monetary Penalty Amounts
General Counsel
Status:
Interim Final Rule
Adjustments to Civil Monetary Penalty Amounts
Last Action Date:06/27/2016 File Number:S7-12-16 Rulemaking:
Amendments to Smaller Reporting Company Definition
Corporation Finance
Status:
Proposed Rule
Amendments to Smaller Reporting Company Definition
Last Action Date:06/27/2016 File Number:S7-25-15 Rulemaking:
Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
Status:
Final Rule
Disclosure of Payments by Resource Extraction Issuers
Proposed Rule
Extension of Comment Period for Disclosure of Payments by Resource Extraction Issuers
Proposed Rule
Disclosure of Payments by Resource Extraction Issuers
Last Action Date:06/17/2016 File Number:S7-03-16 Rulemaking:
Notice of Proposed Commission Interpretation Regarding Automated Quotations Under Regulation NMS
Trading and Markets
Status:
Interpretive Rule
Commission Interpretation Regarding Automated Quotations Under Regulation NMS
Interpretive Rule
Notice of Proposed Commission Interpretation Regarding Automated Quotations Under Regulation NMS
Last Action Date:06/16/2016 File Number:S7-08-10 Rulemaking:
Asset-Backed Securities Disclosure and Registration
Corporation Finance
Status:
Final Rule
Asset-Backed Securities Disclosure and Registration
Final Rule
Asset-Backed Securities Disclosure and Registration
Final Rule
Asset-Backed Securities Disclosure and Registration
Proposed Rule
Extension of Comment Period for Asset-Backed Securities Release
Proposed Rule
Re-Opening of Comment Period for Asset-Backed Securities Release
Proposed Rule
Re-Proposal of Shelf Eligibility Conditions for Asset-Backed Securities
Proposed Rule
Asset-Backed Securities
Last Action Date:06/13/2016 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:06/08/2016 File Number:S7-03-11 Rulemaking:
Trade Acknowledgment and Verification of Security-Based Swap Transactions
Trading and Markets
Status:
Final Rule
Trade Acknowledgment and Verification of Security-Based Swap Transactions
Proposed Rule
Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps
Proposed Rule
Trade Acknowledgment and Verification of Security-Based Swap Transactions
Last Action Date:05/20/2016 File Number:S7-30-11 Rulemaking:
Retail Foreign Exchange Transactions
Trading and Markets
Status:
Final Rule
Retail Foreign Exchange Transactions
Final Rule
Retail Foreign Exchange Transactions
Interim Final Rule
Retail Foreign Exchange Transactions
Interim Final Rule
Extension of Interim Final Temporary Rule on Retail Foreign Exchange Transactions
Last Action Date:05/20/2016 File Number:S7-30-11 Rulemaking:
Retail Foreign Exchange Transactions
Trading and Markets
Status:
Final Rule
Retail Foreign Exchange Transactions
Final Rule
Retail Foreign Exchange Transactions
Interim Final Rule
Retail Foreign Exchange Transactions
Last Action Date:05/06/2016 File Number:S7-07-16 Rulemaking:
Incentive-Based Compensation Arrangements
Trading and Markets, Investment Management
Status:
Proposed Rule
Incentive-Based Compensation Arrangements
Last Action Date:04/22/2016 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:04/14/2016 File Number:S7-25-11 Rulemaking:
Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
Trading and Markets
Status:
Final Rule
Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
Proposed Rule
Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
Last Action Date:04/13/2016 File Number:S7-06-16 Rulemaking:
Business and Financial Disclosure Required by Regulation S-K
Corporation Finance
Status:
Concept Rule
Business and Financial Disclosure Required by Regulation S-K
Last Action Date:04/04/2016 File Number:S7-05-16 Rulemaking:
Certain Natural Gas and Electric Power Contracts
Status:
Interpretive Rule
Certain Natural Gas and Electric Power Contracts
Last Action Date:02/18/2016 File Number:S7-27-15 Rulemaking:
Transfer Agent Regulations; Extension of Comment Period
Trading and Markets
Status:
Proposed Rule
Transfer Agent Regulations; Extension of Comment Period
Concept Rule
Transfer Agent Regulations
Last Action Date:02/17/2016 File Number:S7-02-16 Rulemaking:
Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Trading and Markets
Status:
Proposed Rule
Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Last Action Date:02/10/2016 File Number:S7-06-15 Rulemaking:
Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent; Security-Based Swap Dealer De Minimis Exception
Trading and Markets
Status:
Final Rule
Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent; Security-Based Swap Dealer De Minimi
Proposed Rule
Application of Certain Title VII Requirements to Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office
Last Action Date:01/21/2016 File Number:S7-25-15 Rulemaking:
Extension of Comment Period for Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
Status:
Proposed Rule
Extension of Comment Period for Disclosure of Payments by Resource Extraction Issuers
Last Action Date:01/13/2016 File Number:S7-01-16 Rulemaking:
Simplification of Disclosure Requirements for Emerging Growth Companies and Forward Incorporation by Reference on Form S-1 for Smaller Reporting Companies
Corporation Finance
Status:
Interim Final Rule
Simplification of Disclosure Requirements for Emerging Growth Companies and Forward Incorporation by Reference on Form S-1 for Smaller Reporting Companies
Last Action Date:12/22/2015 File Number:S7-27-15 Rulemaking:
Transfer Agent Regulations
Trading and Markets
Status:
Concept Rule
Transfer Agent Regulations
Last Action Date:12/22/2015 File Number:S7-01-13 Rulemaking:
Regulation Systems Compliance and Integrity
Trading and Markets
Status:
Final Rule
Regulation Systems Compliance and Integrity; Correction
Final Rule
Regulation Systems Compliance and Integrity
Proposed Rule
Regulation Systems Compliance and Integrity
Proposed Rule
Regulation Systems Compliance and Integrity
Last Action Date:12/11/2015 File Number:S7-25-15 Rulemaking:
Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
Status:
Proposed Rule
Disclosure of Payments by Resource Extraction Issuers
Last Action Date:12/11/2015 File Number:S7-26-15 Rulemaking:
Establishing the Form and Manner with which Security-Based Swap Data Repositories Must Make Security-Based Swap Data Available to the Commission
Status:
Proposed Rule
Establishing the Form and Manner with which Security-Based Swap Data Repositories Must Make Security-Based Swap Data Available to the Commission
Last Action Date:12/11/2015 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:10/30/2015 File Number:S7-22-15 Rulemaking:
Exemptions To Facilitate Intrastate and Regional Securities Offerings
Corporation Finance
Status:
Proposed Rule
Exemptions To Facilitate Intrastate and Regional Securities Offerings
Last Action Date:10/30/2015 File Number:S7-09-13 Rulemaking:
Crowdfunding
Corporation Finance, Trading and Markets
Status:
Final Rule
Crowdfunding
Proposed Rule
Crowdfunding
Last Action Date:09/24/2015 File Number:S7-19-15 Rulemaking:
Amendments to the Commission's Rules of Practice
General Counsel
Status:
Proposed Rule
Amendments to the Commission's Rules of Practice
Last Action Date:09/22/2015 File Number:S7-16-15 Rulemaking:
Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release
Investment Management
Status:
Proposed Rule
Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release
Last Action Date:09/16/2015 File Number:S7-07-11 Rulemaking:
Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule
Investment Management
Status:
Final Rule
Purchase of Certain Debt Securities by Business and Industrial Development Companies Relying on an Investment Company Act Exemption
Final Rule
Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule
Proposed Rule
Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule
Proposed Rule
References to Credit Ratings in Certain Investment Company Act Rules and Forms
Last Action Date:09/15/2015 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:09/04/2015 File Number:S7-15-15 Rulemaking:
Access to Data Obtained by Security-Based Swap Data Repositories and Exemption From Indemnification Requirement
Trading and Markets
Status:
Proposed Rule
Access to Data Obtained by Security-Based Swap Data Repositories and Exemption From Indemnification Requirement
Last Action Date:08/05/2015 File Number:S7-14-15 Rulemaking:
Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved in Effecting Security-Based Swaps
Trading and Markets
Status:
Proposed Rule
Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved in Effecting Security-Based Swaps
Last Action Date:08/05/2015 File Number:S7-40-11 Rulemaking:
Registration Process for Security-Based Swap Dealers and Major Security-Based Swap Participants
Trading and Markets
Status:
Final Rule
Registration Process for Security-Based Swap Dealers and Major Security-Based Swap Participants
Proposed Rule
Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
Last Action Date:08/04/2015 File Number: Rulemaking:
Interpretation of the SEC's Whistleblower Rules Under Section 21F of the Securities Exchange Act of 1934
Status:
Interpretive Rule
Interpretation of the SEC's Whistleblower Rules Under Section 21F of the Securities Exchange Act of 1934
Last Action Date:08/03/2015 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:07/08/2015 File Number:S7-07-14 Rulemaking:
Freedom of Information Act Regulations: Fee Schedule, Addition of Appeals Time Frame, and Miscellaneous Administrative Changes
FOIA Services
Status:
Final Rule
Freedom of Information Act Regulations: Fee Schedule, Addition of Appeals Time Frame, and Miscellaneous Administrative Changes
Proposed Rule
Freedom of Information Act Regulations: Fee Schedule, Addition of Appeal Time Frame, and Miscellaneous Administrative Changes
Last Action Date:07/01/2015 File Number:S7-13-15 Rulemaking:
Possible Revisions To Audit Committee Disclosures
Chief Accountant, Corporation Finance
Status:
Concept Rule
Possible Revisions To Audit Committee Disclosures
Last Action Date:06/19/2015 File Number: Rulemaking:
Commission Guidance Regarding the Definition of the Terms "Spouse" and "Marriage" Following the Supreme Court's Decision in United States v. Windsor
Status:
Interpretive Rule
Commission Guidance Regarding the Definition of the Terms "Spouse" and "Marriage" Following the Supreme Court's Decision in United States v. Windsor
Last Action Date:06/18/2015 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:05/20/2015 File Number:S7-09-15 Rulemaking:
Amendments to Form ADV and Investment Advisers Act Rules
Investment Management
Status:
Proposed Rule
Amendments to Form ADV and Investment Advisers Act Rules
Last Action Date:05/18/2015 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:05/12/2015 File Number:S7-16-11 Rulemaking:
Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
Trading and Markets
Status:
Final Rule
Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
Proposed Rule
Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
Proposed Rule
Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
Interpretive Rule
Forward Contracts With Embedded Volumetric Optionality
Interpretive Rule
Forward Contracts With Embedded Volumetric Optionality
Last Action Date:04/29/2015 File Number:S7-06-15 Rulemaking:
Application of Certain Title VII Requirements to Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent
Trading and Markets
Status:
Proposed Rule
Application of Certain Title VII Requirements to Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office
Last Action Date:04/13/2015 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:03/25/2015 File Number:S7-11-13 Rulemaking:
Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A)
Corporation Finance
Status:
Final Rule
Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A)
Proposed Rule
Proposed Rule Amendments for Small and Additional Issues Exemptions Under Section 3(b) of the Securities Act
Last Action Date:02/11/2015 File Number:S7-34-10 Rulemaking:
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Trading and Markets
Status:
Final Rule
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Proposed Rule
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Proposed Rule
Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps
Proposed Rule
Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and Forms Relating to the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
Proposed Rule
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Last Action Date:02/11/2015 File Number:S7-03-15 Rulemaking:
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Trading and Markets
Status:
Proposed Rule
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Last Action Date:02/11/2015 File Number:S7-35-10 Rulemaking:
Security-Based Swap Data Repository Registration, Duties, and Core Principles
Trading and Markets
Status:
Final Rule
Security-Based Swap Data Repository Registration, Duties, and Core Principles
Proposed Rule
Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps
Proposed Rule
Security-Based Swap Data Repository Registration, Duties, and Core Principles; Correction
Last Action Date:02/09/2015 File Number:S7-01-15 Rulemaking:
Disclosure of Hedging by Employees, Officers and Directors
Corporation Finance
Status:
Proposed Rule
Disclosure of Hedging by Employees, Officers and Directors
Last Action Date:12/17/2014 File Number:S7-23-07 Rulemaking:
Principal Trades with Certain Advisory Clients
Status:
Final Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
Final Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
Final Rule
Principal Trades with Certain Advisory Clients
Final Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
Final Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
Final Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
Interim Final Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
Proposed Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
Proposed Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
Proposed Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
Last Action Date:12/17/2014 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:10/22/2014 File Number:S7-14-11 Rulemaking:
Credit Risk Retention
Corporation Finance
Status:
Final Rule
Credit Risk Retention
Proposed Rule
Credit Risk Retention
Proposed Rule
Credit Risk Retention
Proposed Rule
Credit Risk Retention
Last Action Date:10/20/2014 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:09/26/2014 File Number: Rulemaking:
Delegation of Authority to the Chief Financial Officer
Status:
Final Rule
Delegation of Authority to the Chief Financial Officer
Last Action Date:09/08/2014 File Number:S7-09-14 Rulemaking:
Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
Corporation Finance
Status:
Proposed Rule
Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
Last Action Date:08/27/2014 File Number:S7-18-11 Rulemaking:
Nationally Recognized Statistical Rating Organizations
Trading and Markets
Status:
Final Rule
Nationally Recognized Statistical Rating Organizations
Proposed Rule
Nationally Recognized Statistical Rating Organizations
Last Action Date:08/12/2014 File Number:S7-23-07 Rulemaking:
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
Status:
Proposed Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
Last Action Date:07/23/2014 File Number:S7-07-11 Rulemaking:
Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule
Investment Management
Status:
Proposed Rule
Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule
Last Action Date:07/23/2014 File Number:S7-03-13 Rulemaking:
Money Market Fund Reform; Amendments to Form PF
Investment Management
Status:
Final Rule
Money Market Fund Reform; Amendments to Form PF
Proposed Rule
Money Market Fund Reform; Amendments to Form PF
Last Action Date:06/25/2014 File Number:S7-02-13 Rulemaking:
Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities; Republication
Trading and Markets
Status:
Final Rule
Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities; Republication
Proposed Rule
Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and Forms Relating to the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
Interpretive Rule
Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities; Republication
Last Action Date:06/20/2014 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:04/17/2014 File Number:S7-05-14 Rulemaking:
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
Trading and Markets
Status:
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
Last Action Date:04/03/2014 File Number:S7-12-10 Rulemaking:
Investment Company Advertising: Target Date Retirement Fund Names and Marketing
Investment Management
Status:
Proposed Rule
Investment Company Advertising: Target Date Retirement Fund Names and Marketing
Proposed Rule
Investment Company Advertising: Target Date Retirement Fund Names and Marketing
Proposed Rule
Investment Company Advertising: Target Date Retirement Fund Names and Marketing
Last Action Date:03/12/2014 File Number:S7-03-14 Rulemaking:
Standards for Covered Clearing Agencies
Trading and Markets
Status:
Proposed Rule
Standards for Covered Clearing Agencies
Last Action Date:03/04/2014 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
Last Action Date:01/17/2014 File Number:S7-01-14 Rulemaking:
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
Status:
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
Last Action Date:01/13/2014 File Number:S7-45-10 Rulemaking:
Registration of Municipal Advisors; Temporary Stay of Final Rule
Municipal Securities
Status:
Final Rule
Registration of Municipal Advisors; Temporary Stay of Final Rule
Interim Final Rule
Extension of Temporary Registration of Municipal Advisors
Proposed Rule
Registration of Municipal Advisors
Last Action Date:01/06/2014 File Number: Rulemaking:
Responsibilities of the General Counsel
Status:
Final Rule
Responsibilities of the General Counsel
Last Action Date:12/27/2013 File Number:S7-7-11 Rulemaking:
Removal of Certain References to Credit Ratings Under the Investment Company Act
Status:
Final Rule
Removal of Certain References to Credit Ratings Under the Investment Company Act
Proposed Rule
References to Credit Ratings in Certain Investment Company Act Rules and Forms
Last Action Date:12/27/2013 File Number:S7-15-11 Rulemaking:
Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934
Trading and Markets
Status:
Final Rule
Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934
Proposed Rule
Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934
Last Action Date:12/24/2013 File Number: Rulemaking:
Securities Exempted; Distribution of Shares by Registered Open-End Management Investment Company; Applications Regarding Joint Enterprises or Arrangements and Certain Profit-Sharing Plans
Status:
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
Last Action Date:12/10/2013 File Number:S7-41-11 Rulemaking:
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Investment Management, Trading and Markets
Status:
Final Rule
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Proposed Rule
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Proposed Rule
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Last Action Date:10/23/2013 File Number:S7-09-13 Rulemaking:
Crowdfunding
Corporation Finance, Trading and Markets
Status:
Proposed Rule
Crowdfunding