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:09/29/2023 File Number:S7-16-23 Rulemaking:
Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities
Investment Management
Status:
Proposed Rule
Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities
09/29/2023 33-11250, 34-98624, IC-35028
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
09/20/2023 34-98437, PA-60
Proposed Rule
The Commission's Privacy Act Regulations
02/14/2023 34-96906, PA-59
Last Action Date:09/20/2023 File Number:S7-16-22 Rulemaking:
Investment Company Names
Investment Management
Status:
Final Rule
Investment Company Names
09/20/2023 33-11238, 34-98438, IC-35000
Proposed Rule
Investment Company Names
05/25/2022 33-11067, 34-94981, IC-34593
Last Action Date:09/18/2023 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
09/18/2023 33-11235, 34-98419, 39-2552, IC-34998
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
09/13/2023 33-11232, 34-98368, 39-2551, IC-34996
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
08/23/2023 IA-6384
Proposed Rule
Safeguarding Advisory Client Assets
02/15/2023 IA-6240
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
08/23/2023 IA-6383
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
05/09/2022 34-94868
Proposed Rule
Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
02/09/2022 IA-5955, 34-94868
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
08/23/2023 34-98202
Proposed Rule
Exemption for Certain Exchange Members
07/29/2022 34-95388
Proposed Rule
Exemption for Certain Exchange Members
03/25/2015 34-74581
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
07/26/2023 IA-6354
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
07/26/2023 34-97990
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
07/26/2023 33-11216
Proposed Rule
Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure
03/09/2022 33-11038
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
07/12/2023 34-97877
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
07/12/2023 33-11211, 34-97876, IA-6344, IC-34959
Proposed Rule
Money Market Fund Reforms
12/15/2021 IC-34441
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
06/20/2023 34-97762
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
12/15/2021 34-93784
Proposed Rule
Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps
05/01/2013 34-69491
Proposed Rule
Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps
11/03/2010 34-63236, 34-93784
Last Action Date:06/15/2023 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
06/15/2023 33-11205, 34-97735, 39-2550, IC-34942
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
06/07/2023 34-97657
Proposed Rule
Removal of References to Credit Ratings From Regulation M
05/23/2022 34-94499
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
06/07/2023 34-97656
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
12/15/2021 34-93784
Proposed Rule
Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps
05/01/2013 34-69491
Proposed Rule
Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps
11/03/2010 34-63236, 34-93784
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
05/31/2023 33-11197, 34-97621, IA-6316, IC-34932
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
05/17/2023 34-97516
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
05/11/2023 34-97478
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
05/03/2023 IA-6297
Proposed Rule
Amendments to Form PF To Require Current Reporting and Amend Reporting Requirements for Large Private Equity Advisers and Large Liquidity Fund Advisers
01/26/2022 IA-5950
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
05/03/2023 34-97424
Proposed Rule
Reopening of Comment Period for Share Repurchase Disclosure Modernization
12/07/2022 34-96458, IC-34768
Proposed Rule
Share Repurchase Disclosure Modernization
12/15/2021 34-93783, IC-34440
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
04/28/2023 33-11180
Proposed Rule
Modernization of Beneficial Ownership Reporting
02/10/2022 33-11030, 34-94211
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”
04/14/2023 34-97309
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
05/09/2022 34-94868, IA-6018, IA-5955
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
01/26/2022 34-94062
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
03/22/2023 33-11176, 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)
03/20/2023 33-11168, 34-97161, 39-2549, IC-34860
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
03/15/2023 34-97143
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
03/15/2023 34-97142
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
03/15/2023 34-97141, 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
02/09/2022 33-11028, 34-94197, IA-5956, IC-34497
Proposed Rule
Reopening of Comment Period for "Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies"
03/15/2023 33-11167
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
02/21/2023 33-11159, 34-96959, 39-2548
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
02/15/2023 34-96930, IA-6239
Proposed Rule
Shortening the Securities Transaction Settlement Cycle
02/09/2022 34-94196, IA-5957
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
01/30/2023 34-96768
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
01/25/2023 33-11151
Last Action Date:12/19/2022 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
12/19/2022 33-11140, 34-96525, 39-2547, IC-34778
Last Action Date:12/15/2022 File Number: Rulemaking:
Technical Amendments to Commission Rules
Status:
Final Rule
Technical Amendments to Commission Rules
12/15/2022 33-11139, 34-96508, IA-6203, IC-34774
Last Action Date:12/14/2022 File Number:S7-32-22 Rulemaking:
Regulation Best Execution
Trading and Markets
Status:
Proposed Rule
Regulation Best Execution
12/14/2022 34-96496
Last Action Date:12/14/2022 File Number:S7-31-22 Rulemaking:
Order Competition Rule
Trading and Markets
Status:
Proposed Rule
Order Competition Rule
12/14/2022 34-96495
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
12/14/2022 34-96494
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
12/14/2022 34-96493
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
12/14/2022 33-11138, 34-96492, 33-11013
Proposed Rule
Rule 10b5-1 and Insider Trading
01/13/2022 33-11013
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
11/02/2022 33-11130
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
11/02/2022 33-11131, 34-96206, IC-34745
Proposed Rule
Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers
09/29/2021 34-93169, IC-34389
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
10/26/2022 IA-6176
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
10/26/2022 33-11125, 34-96158, IC-34731
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
08/05/2020 33-10814, 34-89478, IC-33963
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
10/26/2022 33-11126, 34-96159, IC-34732
Proposed Rule
Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation
10/14/2021 33-10998, 34-93311, IC-34399
Proposed Rule
Listing Standards for Recovery of Erroneously Awarded Compensation
07/01/2015 33-9861, 34-75342, IC-31702
Proposed Rule
Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation
06/08/2022 33-11071, 34-95057, IC-34610
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
10/12/2022 34-96034
Proposed Rule
Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
11/18/2021 34-93614
Last Action Date:09/19/2022 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
09/19/2022 33-11101, 34-95817, 39-2546, IC-34703
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
09/14/2022 34-95763
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
09/09/2022 33-11098, 34-95715
Last Action Date:08/26/2022 File Number:S7-07-22 Rulemaking:
Whistleblower Program Rules
General Counsel
Status:
Final Rule
Whistleblower Program Rules
08/26/2022 34-95620
Proposed Rule
The Commission's Whistleblower Program Rules
02/10/2022 34-94212
Last Action Date:08/25/2022 File Number:S7-07-15 Rulemaking:
Pay Versus Performance
Corporation Finance
Status:
Final Rule
Pay Versus Performance
08/25/2022 34-95607
Proposed Rule
Reopening of Comment Period for Pay Versus Performance
01/27/2022 34-94074
Proposed Rule
Pay Versus Performance
04/29/2015 34-74835
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
08/10/2022 IA-6083
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
08/08/2022 34-95431
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
07/13/2022 34-95267, IC-34647
Last Action Date:07/13/2022 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
07/13/2022 33-11082, 34-95274, 39-2545, IC-34649
Last Action Date:07/13/2022 File Number:S7-17-21 Rulemaking:
Proxy Voting Advice
Corporation Finance
Status:
Final Rule
Proxy Voting Advice
07/13/2022 34-95266, IA-6068
Proposed Rule
Proxy Voting Advice
11/17/2021 34-93595
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
06/23/2022 34-95148, IA-6056, IC-34635
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
11/04/2021 34-93518, IA-5903, IC-34415
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
06/02/2022 33-11070, 34-95025
Proposed Rule
Updating EDGAR Filing Requirements
11/04/2021 33-11005, 34-93519
Proposed Rule
33-10911
12/22/2020 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
06/02/2022 33-11070, 34-95025
Proposed Rule
Updating EDGAR Filing Requirements
11/04/2021 33-11005, 34-93519
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
05/25/2022 33-11068, 34-94985, IA-6034, IC-34594
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
05/09/2022 33-11061, 34-94867
Proposed Rule
The Enhancement and Standardization of Climate-Related Disclosures for Investors
03/21/2022 33-11042, 34-94478
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
04/06/2022 34-94615
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
03/30/2022 33-11048, 34-94546, IC-34549
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
03/29/2022 33-11047, IA-5985, IC-34547
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
03/28/2022 34-94524
Last Action Date:03/21/2022 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
03/21/2022 33-11043, 34-94479, 39-2543, IC-34536
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
02/25/2022 34-94315
Proposed Rule
Reporting of Securities Loans
11/18/2021 34-93613
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
02/25/2022 34-94314
Proposed Rule
Short Position and Short Activity Reporting by Institutional Investment Managers
02/25/2022 34-94313
Last Action Date:12/20/2021 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
12/20/2021 33-11016, 34-93827, 39-2542, IC-34444
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
12/02/2021 34-93701, IC-34431
Interim Final Rule
Holding Foreign Companies Accountable Act Disclosure
03/18/2021 34-91364, IC-34227
Last Action Date:11/17/2021 File Number:S7-24-16 Rulemaking:
Universal Proxy
Corporation Finance
Status:
Final Rule
Universal Proxy
11/17/2021 34-93596, IC-34419
Proposed Rule
Reopening of Comment Period for Universal Proxy
04/16/2021 34-91603, IC-34246
Proposed Rule
Universal Proxy
10/26/2016 34-79164
Last Action Date:11/04/2021 File Number: Rulemaking:
Performance-Based Investment Advisory Fees
Status:
Final Rule
Performance-Based Investment Advisory Fees
11/04/2021 IA-5904
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
10/13/2021 33-10997, 34-93285, IC-34396
Proposed Rule
Filing Fee Disclosure and Payment Methods Modernization
10/24/2019 33-10720
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
09/20/2021 33-10984, 34-93056, 39-2540, IC-34376
Last Action Date:08/23/2021 File Number: Rulemaking:
Freedom of Information Act Regulations
Status:
Final Rule
Freedom of Information Act Regulations
08/23/2021 34-92727, FOIA-194
Last Action Date:06/21/2021 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
06/21/2021 33-10948, 34-92216, 39-2539, IC-34304
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
03/18/2021 33-10935, 34-91352, 39-2538, IC-34226
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
12/22/2020 33-10913, 34-90787, IA-5656, IC-34151
Last Action Date:12/22/2020 File Number:S7-21-19 Rulemaking:
Investment Adviser Marketing
Investment Management
Status:
Final Rule
Investment Adviser Marketing
12/22/2020 IA-5653
Proposed Rule
Investment Adviser Advertisements; Compensation for Solicitations
11/04/2019 IA-5407
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
12/16/2020 34-90679, 34-87783
Proposed Rule
Investment Adviser Advertisements; Compensation for Solicitations
11/04/2019 IA-5407
Proposed Rule
Disclosure of Payments by Resource Extraction Issuers
12/18/2019 34-87783
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
10/22/2012 34-68080
Final Rule
Exemption From the Definition of "Clearing Agency" for Certain Activities of Security-Based Swap Dealers and Security-Based Swap Execution Facilities
12/16/2020 34-90667
Proposed Rule
Clearing Agency Standards for Operation and Governance
03/03/2011 34-64017
Proposed Rule
Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps
05/01/2013 34-69491
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
12/11/2020 33-10901, 34-90636, 39-2535, IC-34136
Proposed Rule
Administration of the Electronic Data Gathering, Analysis, and Retrieval System
08/21/2020 33-10821, 34-89633, 39-2532, IC-33974
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
12/11/2020 33-10902, 34-90637, 39-2536, IC-34137
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
12/10/2020 33-10900, 34-90623, IA-5644, IC-34134
Last Action Date:12/09/2020 File Number:S7-03-20 Rulemaking:
Market Data Infrastructure
Trading and Markets
Status:
Final Rule
Market Data Infrastructure
12/09/2020 34-90610
Proposed Rule
Market Data Infrastructure
02/14/2020 34-88216
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
12/03/2020 IC-34128
Proposed Rule
Good Faith Determinations of Fair Value
04/21/2020 IC-33845
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
11/24/2020 33-10892, 34-90948
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
11/24/2020 33-10891
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
11/19/2020 33-10890, 34-90459, IC-34100
Proposed Rule
Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information
01/30/2020 33-10750, 34-88093, IC-33795
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
11/17/2020 33-10889, 34-90441, 39-2534, IC-34096
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
11/17/2020 34-90442A
Proposed Rule
Amendments to the Commission's Rules of Practice
09/24/2015 34-75977
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
11/02/2020 33-10884, 34-90300, IC-34082
Proposed Rule
Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets
03/04/2020 33-10763, 34-88321
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
11/02/2020 IC-34084
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
11/25/2019 34-87607, IA-5413, IC-33704
Proposed Rule
Use of Derivatives by Registered Investment Companies and Business Development Companies
12/11/2015 IC-31933
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
10/22/2020 34-90244
Proposed Rule
Customer Margin Rules Relating to Security Futures
07/03/2019 34-86304
Last Action Date:10/16/2020 File Number:S7-26-19 Rulemaking:
Qualifications of Accountants
Investment Management
Status:
Final Rule
Qualifications of Accountants
10/16/2020 33-10876, 34-90210, FR-88, IA-5613, IC-34052
Proposed Rule
Amendments to Rule 2-01, Qualifications of Accountants
12/30/2019 33-10738, 34-87864, FR-86, IA-5422, IC-33737
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
10/07/2020 33-10871, IC-34045
Proposed Rule
Fund of Funds Arrangements
12/19/2018 33-10590, IC-33329
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
09/28/2020 34-90019
Last Action Date:09/23/2020 File Number:S7-16-18 Rulemaking:
Whistleblower Program Rules
Corporation Finance
Status:
Final Rule
Whistleblower Program Rules
09/23/2020 34-89963
Proposed Rule
Whistleblower Program Rules
06/29/2018 34-83557
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
09/23/2020 34-89964
Proposed Rule
Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8
11/05/2019 34-87458
Last Action Date:09/18/2020 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
09/18/2020 33-10845, 34-89920, 39-2533, IC-34015
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
09/16/2020 33-10842, 34-89891
Proposed Rule
Publication or Submission of Quotations Without Specified Information
09/25/2019 34-87115, 33-10842
Concept Rule
Publication or Submission of Quotations Without Specified Information
09/25/2019 34-87115, 33-10842
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
09/11/2020 33-10835, 34-89835
Proposed Rule
Update of Statistical Disclosures for Bank and Savings and Loan Registrants
09/17/2019 33-10688, 34-86984
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
08/28/2020 33-10829
Last Action Date:08/26/2020 File Number:S7-25-19 Rulemaking:
Accredited Investor Definition
Corporation Finance
Status:
Final Rule
Accredited Investor Definition
08/26/2020 33-10824
Proposed Rule
Amending the "Accredited Investor" Definition
12/18/2019 33-10734, 34-87784
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
08/26/2020 33-10825, 34-89670
Proposed Rule
Modernization of Regulation S-K Items 101, 103, and 105
08/08/2019 33-10668, 34-86614
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
08/21/2020 34-89632
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
08/19/2020 34-89618
Proposed Rule
Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments
10/01/2019 34-87193
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
07/24/2020 34-89394
Proposed Rule
Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
02/17/2016 34-77157
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
07/22/2020 34-89372
Proposed Rule
Amendments to Exemptions From the Proxy Rules for Proxy Voting Advice
11/05/2019 34-87457
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
07/10/2020 34-89290
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
07/06/2020 IC-33921
Proposed Rule
Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940
10/18/2019 IC-33658
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
06/25/2020 BHCA-9
Proposed Rule
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
01/30/2020 BHCA-8
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
05/20/2020 33-10786, 34-88914, IC-33872
Proposed Rule
Amendments to Financial Disclosures About Acquired and Disposed Businesses
05/03/2019 33-10635, 34-85765, IC-33465
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
05/15/2020 34-88890
Proposed Rule
Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail
09/09/2019 34-86901
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
05/04/2020 33-10781
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"
04/09/2020 34-88616
Proposed Rule
Definition of Covered Clearing Agency
09/28/2016 34-78963
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
04/08/2020 33-10771, 34–88606, IC–33836
Proposed Rule
Securities Offering Reform for Closed-End Investment Companies
03/20/2019 33-10619, 34-85382, IC-33427
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)
03/26/2020 33-10768, 34-88492, 39-2531, IC-33832
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
03/12/2020 34-88365
Proposed Rule
Amendments to the Accelerated Filer and Large Accelerated Filer Definitions
05/09/2019 34-85814
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
03/11/2020 33-10765, 34-88358, IC-33814, 33-10605
Proposed Rule
Reopening of Comment Period for Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
02/14/2019 33-10605
Proposed Rule
Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
10/30/2018 33-10569
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
03/02/2020 33-10762, 34-88307, 33-10526
Proposed Rule
Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities
07/24/2018 33-10526, 34-83701, 33-10762
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
03/02/2020 IA-5454
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
02/19/2020 33-10757, 34-88245, IA-5446, IC-33802
Last Action Date:02/14/2020 File Number:S7-03-20 Rulemaking:
Market Data Infrastructure
Trading and Markets
Status:
Proposed Rule
Market Data Infrastructure
02/14/2020 34-88216
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
01/30/2020 33-10751, 34-88094
Last Action Date:01/27/2020 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
01/27/2020 33-10749, 34-88040, 39-2530, IC-33792
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
12/30/2019 33-10738, 34-87864, FR-86, IA-5422, IC-33737
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
12/18/2019 34-87780
Proposed Rule
Proposed Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements
05/10/2019 34-85823
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
12/18/2019 34-87782
Proposed Rule
Risk Mitigation Techniques for Uncleared Security-Based Swaps
12/19/2018 34-84861
Last Action Date:09/27/2019 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
09/27/2019 33-10709, 34-87148, 39-2529, IC-33650
Last Action Date:09/25/2019 File Number:S7-15-18 Rulemaking:
Exchange-Traded Funds
Investment Management
Status:
Final Rule
Exchange-Traded Funds
09/25/2019 33-10695, : IC-33646
Proposed Rule
Exchange-Traded Funds
06/28/2018 33-10515, IC-33140
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
09/25/2019 33-10699
Proposed Rule
Solicitations of Interest Prior to a Registered Public Offering
02/19/2019 33-10607
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
09/19/2019 34-87005
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
04/17/2014 34-71958
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
09/18/2019 BHCA-7
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
09/04/2018 BHCA-4
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
06/05/2018 BHCA-3
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
06/25/2018 34-83506, FOIA-193
Proposed Rule
Freedom of Information Act Regulations
12/21/2017 34-82373, FOIA-192
Final Rule
Technical Amendments To Update Cross-References to Commission's FOIA Regulations
09/17/2019 34-86982
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
09/09/2019 34-86901
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
08/21/2019 34-86721
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
08/07/2019 34-86590
Proposed Rule
Amendments to Rules for Nationally Recognized Statistical Rating Organizations
09/26/2018 34-84289
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
08/06/2019 33-10618A, 34-85381A, IA-5206A, IC-33426A
Final Rule
FAST Act Modernization and Simplification of Regulation S-K
03/20/2019 33-10618, 34-85381, IA-5206, IC-33426
Proposed Rule
FAST Act Modernization and Simplification of Regulation S-K
10/11/2017 33-10425, 34-81851, IA-4791, IC-32858
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
03/20/2019 33-10618, 34-85381, IA-5206, IC-33426
Final Rule
FAST Act Modernization and Simplification of Regulation S-K; Correction
08/06/2019 33-10618A, 34-85381A, IA-5206A, IC-33426A
Proposed Rule
FAST Act Modernization and Simplification of Regulation S-K
10/11/2017 33-10425, 34-81851, IA-4791, IC-32858
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
07/05/2019 BHCA-6
Proposed Rule
Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds
12/21/2018 BHCA-5
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
06/21/2019 34-86175
Proposed Rule
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
10/11/2018 34-84409
Proposed Rule
Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps
05/01/2013 34-69491
Proposed Rule
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
01/15/2013 34-68660
Proposed Rule
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
10/18/2012 34-68071
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
06/18/2019 33-10649, 34-86129, IA-5256, IC-33512
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
06/18/2019 33-10648, 34-86127, FR-85, IA-5255, IC-33511
Proposed Rule
Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships
05/02/2018 33-10491, IC-33091, IA-4904
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
06/10/2019 34-86073
Proposed Rule
Amendment to Single Issuer Exemption for Broker-Dealers
09/20/2018 34-84225
Last Action Date:06/07/2019 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
06/07/2019 33-10645, 34-86070, 39-2526, IC-33504
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
06/05/2019 34-86031
Proposed Rule
Regulation Best Interest
04/18/2018 34-83062
Interpretive Rule
Commission Interpretation Regarding Standard of Conduct for Investment Advisers
06/05/2019 IA-5248
Interpretive Rule
Commission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion From the Definition of Investment Adviser
06/05/2019 IA-5249
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
06/05/2019 IA-5249
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
06/05/2019 IA-5248
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
06/05/2019 34-86032, IA-5247
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
04/18/2018 34-83063, IA-4888
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
11/02/2018 34-84528
Final Rule
Disclosure of Order Handling Information
04/24/2019 34-85714
Proposed Rule
Disclosure of Order Handling Information
07/13/2016 34-78309
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
03/28/2019 34-85437
Last Action Date:03/12/2019 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
03/12/2019 33-10615, 34-85296, 39-2525, IC-33398
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
02/27/2019 IC-33384
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
12/20/2018 33-10593
Proposed Rule
Disclosure of Hedging by Employees, Officers and Directors
02/09/2015 33-9723, 34-74232, IC-31450
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)
12/19/2018 33-10591
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
12/19/2018 34-84858
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
08/05/2015 34-75612
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
12/19/2018 34-84875
Proposed Rule
Transaction Fee Pilot for NMS Stocks
03/14/2018 34-82873
Last Action Date:12/14/2018 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
12/14/2018 33-10585, 34-84825, 39-2524, IC-33324
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
11/30/2018 33-10580, 34-84710, IC-33311
Proposed Rule
Covered Investment Fund Research Reports
05/23/2018 33-10498, 34 83307, IC 33106
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
12/08/2017 33-10442, 33-9776, 33-10231, 34-82241, IC-32936
Final Rule
Form N-1A; Correction
11/29/2018 33-10577
Final Rule
Investment Company Reporting Modernization
10/13/2016 33-10231, 33-9776, 33-10442, 34-79095, IC-32314
Proposed Rule
Investment Company Reporting Modernization
05/20/2015 33-9776, 33-10231, 34-75002, IC-31610
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
11/29/2018 33-10577
Final Rule
Investment Company Reporting Modernization
12/08/2017 33-10442, 33-9776, 33-10231, 34-82241, IC-32936
Final Rule
Investment Company Reporting Modernization
10/13/2016 33-10231, 33-9776, 33-10442, 34-79095, IC-32314
Final Rule
Optional Internet Availability of Investment Company Shareholder Reports
06/05/2018 33-10506
Proposed Rule
Investment Company Reporting Modernization
05/20/2015 33-9776, 33-10231, 34-75002, IC-31610
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
11/29/2018 33-10577
Final Rule
Investment Company Liquidity Disclosure
06/28/2018 IC-33142
Proposed Rule
Investment Company Liquidity Disclosure
03/14/2018 IC-33046
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
06/05/2018 33-10506
Final Rule
Investment Company Liquidity Disclosure
06/28/2018 IC-33142
Final Rule
Investment Company Reporting Modernization
10/13/2016 33-10231, 33-9776, 33-10442, 34-79095, IC-32314
Final Rule
Form N-1A; Correction
11/29/2018 33-10577
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
07/18/2018 34-83663
Final Rule
Regulation of NMS Stock Alternative Trading Systems
11/06/2018 34-84541
Proposed Rule
Regulation of NMS Stock Alternative Trading Systems
11/18/2015 34-76474
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
11/02/2018 34-84528
Proposed Rule
Disclosure of Order Handling Information
07/13/2016 34-78309
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
10/31/2018 33-10570, 34-84509
Proposed Rule
Modernization of Property Disclosures for Mining Registrants
06/16/2016 33-10098
Proposed Rule
Extension of Comment Period for Modernization of Property Disclosures for Mining Registrants
08/23/2016 33-10127
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
10/16/2018 33-10567
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
10/01/2018 33-10566A, 34-84325A, 39-2522A, IC-33261A
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
09/19/2018 33-10556
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
08/22/2018 33-10537, 34-83911, IA-4994, IC-33212
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
08/20/2018 34-83885
Proposed Rule
Proposed Amendments to Municipal Securities Disclosure
03/01/2017 34-80130
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
08/17/2018 33-10532
Proposed Rule
Regulation of NMS Stock Alternative Trading Systems
11/18/2015 34-76474
Proposed Rule
Disclosure Update and Simplification
07/13/2016 33-10110
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
07/18/2018 33-10521
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
07/18/2018 33-10520
Last Action Date:07/10/2018 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
07/10/2018 33-10518, 34-83614, 39-2521, IC-33153
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
06/28/2018 33-10513, 34-83550
Proposed Rule
Amendments to Smaller Reporting Company Definition
06/27/2016 33-10107
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
06/28/2018 33-10514
Proposed Rule
Inline XBRL Filing of Tagged Data
03/01/2017 33-10323
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
05/24/2018 34-83325
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
04/25/2018 33-10486, 34-83097, IC-33077
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
04/18/2018 IA-4889
Interpretive Rule
Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation
04/18/2018 IA-4889
Last Action Date:03/08/2018 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
03/08/2018 33-10467, 34-82830, 39-2520, IC-33041
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
02/22/2018 IC-33010
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
02/21/2018 33-10459, 34-82746
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
12/02/1997 33-7479, 33-7371
Final Rule
Amendments to Forms and Schedules To Remove Voluntary Provision of Social Security Numbers
01/24/2018 33-7424A
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
01/05/2018 IA-4839
Proposed Rule
Amendments to Investment Advisers Act Rules To Reflect Changes Made by the FAST Act
05/03/2017 IA-4697
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
01/05/2018 33-10450
Proposed Rule
Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
09/08/2014 33-9643
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
10/13/2016 33-10231, 33-9776, 33-10442, 34-79095, IC-32314
Final Rule
Investment Company Reporting Modernization
12/08/2017 33-10442, 33-9776, 33-10231, 34-82241, IC-32936
Proposed Rule
Investment Company Reporting Modernization
05/20/2015 33-9776, 33-10231, 34-75002, IC-31610
Last Action Date:12/08/2017 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
12/08/2017 33-10444, 34-82246, 39-2519, IC-32938
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
10/24/2017 33-10428
Proposed Rule
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
07/14/2017 33-10390
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
10/11/2017 33-10425, 34-81851, IA-4791, IC-32858
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
09/28/2017 33-10416
Last Action Date:09/21/2017 File Number:S7-07-13 Rulemaking:
Pay Ratio Disclosure
Corporation Finance
Status:
Final Rule
Pay Ratio Disclosure
08/05/2015 33-9877, 34-75610, 33-9452
Proposed Rule
Pay Ratio Disclosure
09/18/2013 33-9452, 34-70443
Proposed Rule
Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
10/12/2011 34-65543
Interpretive Rule
Commission Guidance on Pay Ratio Disclosure
09/21/2017 33-10415, 34-81673
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
09/21/2017 33-10415, 34-81673
Last Action Date:09/13/2017 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
09/13/2017 33-10413, 34-81592, 39-2518, IC-32818
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
08/18/2017 33-10402, 34-81428, IC-32784
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
08/18/2017 33-10403, 34-81429, IC-32785
Last Action Date:07/06/2017 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
07/06/2017 33-10385, 34-81080, 39-2517, IC-32724
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
05/04/2017 IA-4698
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
05/03/2017 IA-4697
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
03/31/2017 33-10332, 34-80355, 34-77969
Interim Final Rule
Form 10-K Summary
06/01/2016 34-77969
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
03/22/2017 34-80295
Proposed Rule
Amendment to Securities Transaction Settlement Cycle
09/28/2016 34-78962
Last Action Date:03/13/2017 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
03/13/2017 33-10324, 34-80182, 39-2516, IC-32527
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
03/01/2017 33-10323
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
03/01/2017 34-80130
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
03/01/2017 33-10322, 34-80132
Proposed Rule
Exhibit Hyperlinks and HTML Format
08/31/2016 33-10201
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
10/26/2016 33-10238, 34-79161
Final Rule
Exemptions to Facilitate Intrastate and Regional Securities Offerings, Technical Correction
02/17/2017 33-10238A, 34-79161A
Proposed Rule
Exemptions To Facilitate Intrastate and Regional Securities Offerings
10/30/2015 33-9973, 34-76319
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
02/10/2017 33-10305
Interim Final Rule
Extension of Exemptions for Security-Based Swaps
02/05/2014 33-9545, 34-71482, 39-2495
Interim Final Rule
Extension of Exemptions for Security-Based Swaps
01/29/2013 33-9383, 34-68753, 39-2489
Interim Final Rule
Exemptions for Security-Based Swaps
07/01/2011 33-9231, 34-64794, 39-2475
Last Action Date:01/26/2017 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
01/26/2017 33-10295, 34-79878, 39-2514, IC-32452
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
01/06/2017 33-10276, 34-79749, IA-4599, IC-32414
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
12/21/2016 33-10075A, 34-77757A, 33-9693
Final Rule
Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act
05/03/2016 33-10075, 34-77757
Proposed Rule
Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the Jobs Act
12/18/2014 33-9693, 34-73876, 33-10075A
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
12/21/2016 33-10075A, 34-77757A, 33-9693
Proposed Rule
Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the Jobs Act
12/18/2014 33-9693, 34-73876, 33-10075A
Last Action Date:12/09/2016 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
12/09/2016 33-10265, 34-79519, 39-2513, IC-32387
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,
11/03/2016 34-79237
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
10/13/2016 33-10233, IC-32315
Proposed Rule
Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release
09/22/2015 33-9922, IC-31835
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
10/13/2016 33-10234, IC-32316
Proposed Rule
Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release
09/22/2015 33-9922, IC-31835
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
09/28/2016 34-78962
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
09/28/2016 34-78963
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
09/28/2016 34-78961
Proposed Rule
Standards for Covered Clearing Agencies
03/12/2014 34-71699
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
09/23/2016 33-10220
Proposed Rule
Disclosure Update and Simplification
07/13/2016 33-10110
Last Action Date:09/20/2016 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
09/20/2016 33-10217, 34-78883, 39-2512, IC-32269
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
08/29/2016 34-78716
Proposed Rule
Access to Data Obtained by Security-Based Swap Data Repositories and Exemption From Indemnification Requirement
01/15/2016 34-76922
Proposed Rule
Access to Data Obtained by Security-Based Swap Data Repositories and Exemption From Indemnification Requirement
09/04/2015 34-75845
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
08/25/2016 IA-4509
Proposed Rule
Amendments to Form ADV and Investment Advisers Act Rules
05/20/2015 IA-4091
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
07/14/2016 34-78321
Proposed Rule
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
02/11/2015 34-74245
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
07/13/2016 34-78309
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
07/13/2016 34-78319
Proposed Rule
Amendments to the Commission's Rules of Practice
09/24/2015 34-75976
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
06/28/2016 IA-4439
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
06/27/2016 33-10104
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
06/27/2016 33-10107
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
06/27/2016 34-78167
Proposed Rule
Extension of Comment Period for Disclosure of Payments by Resource Extraction Issuers
01/21/2016 34-76958
Proposed Rule
Disclosure of Payments by Resource Extraction Issuers
12/11/2015 34-76620
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
06/17/2016 34-78102
Interpretive Rule
Notice of Proposed Commission Interpretation Regarding Automated Quotations Under Regulation NMS
03/18/2016 34-77407
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
09/04/2014 33-9638, 34-72982
Final Rule
Asset-Backed Securities Disclosure and Registration
06/16/2016 33-10099, 34-78088
Final Rule
Asset-Backed Securities Disclosure and Registration
02/03/2015 33-9720, 34-74194
Proposed Rule
Extension of Comment Period for Asset-Backed Securities Release
03/28/2014 33-9568, 34-71830
Proposed Rule
Re-Opening of Comment Period for Asset-Backed Securities Release
02/25/2014 33-9552, 34-71611
Proposed Rule
Re-Proposal of Shelf Eligibility Conditions for Asset-Backed Securities
07/26/2011 33-9244, 34-64968
Proposed Rule
Asset-Backed Securities
04/07/2010 33-9117, 34-61858
Last Action Date:06/13/2016 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
06/13/2016 33-10095, 34-78044, 39-2510, IC-32145
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
06/08/2016 34-78011
Proposed Rule
Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps
05/01/2013 34-69491
Proposed Rule
Trade Acknowledgment and Verification of Security-Based Swap Transactions
01/14/2011 34-63727
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
05/20/2016 34-77874
Final Rule
Retail Foreign Exchange Transactions
07/11/2013 34-69964
Interim Final Rule
Retail Foreign Exchange Transactions
07/13/2011 34-64874
Interim Final Rule
Extension of Interim Final Temporary Rule on Retail Foreign Exchange Transactions
07/11/2012 34-67405
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
07/11/2013 34-69964
Final Rule
Retail Foreign Exchange Transactions
05/20/2016 34-77874
Interim Final Rule
Retail Foreign Exchange Transactions
07/13/2011 34-64874
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
05/06/2016 34-77776
Last Action Date:04/22/2016 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
04/22/2016 33-10071, 34-77693, 39-2509, IC-32091
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
04/14/2016 34-77617
Proposed Rule
Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
06/29/2011 34-64766
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
04/13/2016 33-10064, 34-77599
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
04/04/2016 33-10062
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
02/18/2016 34-77172
Concept Rule
Transfer Agent Regulations
12/22/2015 34-76743
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
02/17/2016 34-77157
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
02/10/2016 34-77104
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
04/29/2015 34-74834
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
01/21/2016 34-76958
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
01/13/2016 33-10003
Last Action Date:12/22/2015 File Number:S7-27-15 Rulemaking:
Transfer Agent Regulations
Trading and Markets
Status:
Concept Rule
Transfer Agent Regulations
12/22/2015 34-76743
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
12/22/2015 34-73639A
Final Rule
Regulation Systems Compliance and Integrity
11/19/2014 34-73639, 34-69606
Proposed Rule
Regulation Systems Compliance and Integrity
03/08/2013 34-69077
Proposed Rule
Regulation Systems Compliance and Integrity
05/20/2013 34-69606
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
12/11/2015 34-76620
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
12/11/2015 34-76624
Last Action Date:12/11/2015 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
12/11/2015 33-9987, 34-76619, 39-2508, IC-31932
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
10/30/2015 33-9973, 34-76319
Last Action Date:10/30/2015 File Number:S7-09-13 Rulemaking:
Crowdfunding
Corporation Finance, Trading and Markets
Status:
Final Rule
Crowdfunding
10/30/2015 33-9974, 34-76324
Proposed Rule
Crowdfunding
10/23/2013 33-9470, 34-70741
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
09/24/2015 34-75977
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
09/22/2015 33-9922, IC-31835
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
11/19/2012 IC-30268
Final Rule
Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule
09/16/2015 IC-31828
Proposed Rule
Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule
07/23/2014 IC-31184
Proposed Rule
References to Credit Ratings in Certain Investment Company Act Rules and Forms
03/03/2011 33-9193, IC-29592
Last Action Date:09/15/2015 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
09/15/2015 33-9911, 34-75918, 39-2506, IC-31823
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
09/04/2015 34-75845
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
08/05/2015 34-75612
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
08/05/2015 34-75611
Proposed Rule
Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
10/12/2011 34-65543
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
08/04/2015 34-75592
Last Action Date:08/03/2015 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
08/03/2015 33-9874, 34-75586, 39-2505, IC-31735
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
07/08/2015 34-75388
Proposed Rule
Freedom of Information Act Regulations: Fee Schedule, Addition of Appeal Time Frame, and Miscellaneous Administrative Changes
06/20/2014 34-72440
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
07/01/2015 33-9862, 34-75344
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
06/19/2015 33-9850
Last Action Date:06/18/2015 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
06/18/2015 33-9849, 34-75242, 39-2504, IC-31680
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
05/20/2015 IA-4091
Last Action Date:05/18/2015 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
05/18/2015 33-9773, 34-74982, 39-2503, IC-31604
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
07/18/2012 33-9338, 34-67453, 33-9681, 34-74936
Proposed Rule
Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
04/29/2011 33-9204
Proposed Rule
Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
06/01/2011 33-9204A, 34-64372A
Interpretive Rule
Forward Contracts With Embedded Volumetric Optionality
11/13/2014 33-9681, 34-73584
Interpretive Rule
Forward Contracts With Embedded Volumetric Optionality
05/12/2015 34-74936
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
04/29/2015 34-74834
Last Action Date:04/13/2015 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
04/13/2015 33-9746, 34-74714, 39-2502, IC-31551
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)
03/25/2015 33-9741
Proposed Rule
Proposed Rule Amendments for Small and Additional Issues Exemptions Under Section 3(b) of the Securities Act
12/18/2013 33-9497, 34-71120, 39-2493
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
02/11/2015 34-74244
Proposed Rule
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
02/11/2015 34-74245
Proposed Rule
Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps
05/01/2013 34-69491
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
05/01/2013 34-69490
Proposed Rule
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
11/19/2010 34-63346
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
02/11/2015 34-74245
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
02/11/2015 34-74246
Proposed Rule
Reopening of Comment Periods for Certain Proposed Rulemaking Releases and Policy Statements Applicable to Security-Based Swaps
05/01/2013 34-69491
Proposed Rule
Security-Based Swap Data Repository Registration, Duties, and Core Principles; Correction
11/19/2010 34-63347
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
02/09/2015 33-9723, 34-74232, IC-31450
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
12/23/2009 IA-2965
Final Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
09/24/2007 IA-2653
Final Rule
Principal Trades with Certain Advisory Clients
12/28/2010 IA-3128
Final Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
12/31/2009 IA-2965A
Final Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
12/20/2012 IA-3522
Final Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
12/17/2014 IA-3984
Interim Final Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
09/24/2007 IA-2653
Proposed Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
12/01/2010 IA-3118
Proposed Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
10/09/2012 IA-3483
Proposed Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
08/12/2014 IA-3893
Last Action Date:12/17/2014 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
12/17/2014 33-9692, 34-73868, 39-2499, IC-31383
Last Action Date:10/22/2014 File Number:S7-14-11 Rulemaking:
Credit Risk Retention
Corporation Finance
Status:
Final Rule
Credit Risk Retention
10/22/2014 34-73407
Proposed Rule
Credit Risk Retention
08/28/2013 34-70277
Proposed Rule
Credit Risk Retention
06/06/2011 34-64603
Proposed Rule
Credit Risk Retention
03/30/2011 34-64148
Last Action Date:10/20/2014 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
10/20/2014 33-9668, 34-73390, 39-2498, IC-312941
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
09/26/2014 34-73229
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
09/08/2014 33-9643
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
08/27/2014 34-72936
Proposed Rule
Nationally Recognized Statistical Rating Organizations
05/18/2011 34-64514
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
08/12/2014 IA-3893
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
07/23/2014 IC-31184
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
07/23/2014 33-9616
Proposed Rule
Money Market Fund Reform; Amendments to Form PF
06/05/2013 33-9408, IA-3616, IC-30551
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
06/25/2014 34-72472
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
05/01/2013 34-69490
Interpretive Rule
Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities; Republication
06/25/2014 34-72472
Last Action Date:06/20/2014 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
06/20/2014 33-9600, 34-72394, 39-2497, IC-31081
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
04/17/2014 34-71958
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
04/03/2014 33-9570, 34-71861, IC-31004
Proposed Rule
Investment Company Advertising: Target Date Retirement Fund Names and Marketing
04/03/2012 33-9309, 33-9570
Proposed Rule
Investment Company Advertising: Target Date Retirement Fund Names and Marketing
06/16/2010 33-9126, 34-62300, IC-29301, 33-9570
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
03/12/2014 34-71699
Last Action Date:03/04/2014 File Number: Rulemaking:
Adoption of Updated EDGAR Filer Manual
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
03/04/2014 33-9554, 34-71643, 39-2496, IC-30972
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
01/17/2014 BHCA-2
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
01/13/2014 34-71288
Interim Final Rule
Extension of Temporary Registration of Municipal Advisors
09/23/2013 34-70468
Proposed Rule
Registration of Municipal Advisors
12/20/2010 34-63576, 34-67901
Last Action Date:01/06/2014 File Number: Rulemaking:
Responsibilities of the General Counsel
Status:
Final Rule
Responsibilities of the General Counsel
01/06/2014 34-71238
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
12/27/2013 33-9506
Proposed Rule
References to Credit Ratings in Certain Investment Company Act Rules and Forms
03/03/2011 33-9193, IC-29592
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
12/27/2013 34-71194
Proposed Rule
Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934
04/27/2011 34-64352
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
12/24/2013 33-9503, IC-30845
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
12/10/2013 BHCA-1
Proposed Rule
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
12/23/2011 34-66057
Proposed Rule
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
10/12/2011 34-65545
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