This index of the SEC’s rulemaking activity can be filtered by year, status (proposed or final), or division/office that recommended the rulemaking to the Commission.
Twice a year under the Regulatory Flexibility Act, the SEC is required to publish an agenda identifying rules that the agency estimates it may consider in the next 12 months. View the latest SEC RegFlex agenda.
Rulemaking Activity Table
|
Issue Date
|
File Number
|
Rulemaking
|
Status
|
|---|---|---|---|
| Issue Date: | File Number:S7-13-23 |
Rulemaking:Exemption for Certain Investment Advisers Operating Through the Internet
Investment Management
|
Status:
Final
Rule
Exemption for Certain Investment Advisers Operating Through the Internet
IA-6578
|
| Issue Date: | File Number:S7-21-21 |
Rulemaking:Share Repurchase Disclosure Modernization
Corporation Finance, Investment Management
|
Status:
Final
Rule
Final Rule, Technical Amendment
34-99778,
IC-35157
|
| Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-11277,
34-99752,
39-2554,
IC-35155
|
| Issue Date: | File Number:S7-29-22 |
Rulemaking:Disclosure of Order Execution Information
Trading and Markets
|
Status:
Final
Rule
Disclosure of Order Execution Information
34-99679
|
| Issue Date: | File Number:S7-10-22 |
Rulemaking:The Enhancement and Standardization of Climate-Related Disclosures for Investors
Corporation Finance
|
Status:
Final
Rule
The Enhancement and Standardization of Climate-Related Disclosures for Investors
33-11275,
34-99678
|
| Issue Date: | File Number:S7-02-23 |
Rulemaking:Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
Ethics Counsel
|
Status:
Final
Rule
Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
34-99582
|
| Issue Date: | File Number:S7-2024-01 |
Rulemaking:Qualifying Venture Capital Funds Inflation Adjustment
Investment Management
|
Status:
Proposed
Rule
Qualifying Venture Capital Funds Inflation Adjustment
IC-35129
|
| Issue Date: | File Number:S7-22-22 |
Rulemaking:Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
Investment Management
|
Status:
Final
Rule
Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
IA-6546
|
| Issue Date: | 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:
Final
Rule
Further Definition of “As a Part of a Regular Business”
34-99477
|
| Issue Date: | File Number:S7-13-22 |
Rulemaking:Special Purpose Acquisition Companies, Shell Companies, and Projections
Corporation Finance
|
Status:
Final
Rule
Special Purpose Acquisition Companies, Shell Companies, and Projections
33-11265,
34-99418,
IC-35096
|
| Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-11259,
34-99193,
39-2553,
IC-35068
|
| Issue Date: | 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:
Final
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
34-99149
|
| Issue Date: | File Number:S7-01-23 |
Rulemaking:Prohibition Against Conflicts of Interest in Certain Securitizations
Corporation Finance
|
Status:
Final
Rule
Prohibition Against Conflicts of Interest in Certain Securitizations
33-11254
|
| Issue Date: | File Number:S7-21-22 |
Rulemaking:Clearing Agency Governance and Conflicts of Interest
Trading and Markets
|
Status:
Final
Rule
Clearing Agency Governance and Conflicts of Interest
34-98959
|
| Issue Date: | 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:
Final
Rule
Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities
34-98845
|
| Issue Date: | File Number:S7-18-23 |
Rulemaking:Volume-Based Exchange Transaction Pricing for NMS Stocks
Trading and Markets
|
Status:
Proposed
Rule
Volume-Based Exchange Transaction Pricing for NMS Stocks
34-98766
|
| Issue Date: | File Number:S7-08-22 |
Rulemaking:Short Position and Short Activity Reporting by Institutional Investment Managers
Investment Management, Trading and Markets
|
Status:
Final
Rule
Short Position and Short Activity Reporting by Institutional Investment Managers
34-98738
|
| Issue Date: | File Number:S7-18-21 |
Rulemaking:Reporting of Securities Loans
Trading and Markets
|
Status:
Final
Rule
Reporting of Securities Loans
34-98737
|
| Issue Date: | File Number:S7-06-22 |
Rulemaking:Modernization of Beneficial Ownership Reporting
Corporation Finance
|
Status:
Final
Rule
Modernization of Beneficial Ownership Reporting
33-11253,
34-98704
|
| Issue Date: | 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
33-11250,
34-98624,
IC-35028
|
| Issue Date: | File Number:S7-03-23 |
Rulemaking:The Commission's Privacy Act Regulations
FOIA Services
|
Status:
Final
Rule
The Commission’s Privacy Act Regulations
34-98437,
PA-60
|
| Issue Date: | File Number:S7-16-22 |
Rulemaking:Investment Company Names
Investment Management
|
Status:
Final
Rule
Investment Company Names
33-11238A,
34-98438A,
IC-35000A
|
| Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-11235,
34-98419,
39-2552,
IC-34998
|
| Issue Date: | File Number:S7-15-23 |
Rulemaking:EDGAR Filer Access and Account Management
Edgar Business Office
|
Status:
Proposed
Rule
EDGAR Filer Access and Account Management
33-11232,
34-98368,
39-2551,
IC-34996
|
| Issue Date: | File Number:S7-04-23 |
Rulemaking:Safeguarding Advisory Client Assets
Investment Management
|
Status:
Proposed
Rule
Safeguarding Advisory Client Assets; Reopening of Comment Period
IA-6384
|
| Issue Date: | 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
IA-6383
|
| Issue Date: | File Number:S7-05-15 |
Rulemaking:Exemption for Certain Exchange Members
Trading and Markets
|
Status:
Final
Rule
Exemption for Certain Exchange Members
34-98202
|
| Issue Date: | 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
IA-6354
|
| Issue Date: | 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
34-97990
|
| Issue Date: | 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
33-11216
|
| Issue Date: | File Number: |
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
34-97877
|
| Issue Date: | 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
33-11211,
34-97876,
IA-6344,
IC-34959
|
| Issue Date: | File Number:S7-32-10 |
Rulemaking:Reopening of Comment Period for Position Reporting of Large Security-Based Swap
Trading and Markets
|
Status:
Proposed
Rule
Reopening of Comment Period for Position Reporting of Large Security-Based Swap Positions
34-97762
|
| Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-11205,
34-97735,
39-2550,
IC-34942
|
| Issue Date: | 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
34-97657
|
| Issue Date: | 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
34-97656
|
| Issue Date: | File Number: | Rulemaking:Technical Amendments to Commission Rules and Forms |
Status:
Final
Rule
Technical Amendments to Commission Rules and Forms
33-11197,
34-97621,
IA-6316,
IC-34932
|
| Issue Date: | File Number: |
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
34-97516
|
| Issue Date: | File Number: | Rulemaking:Technical Amendments to Form BD and Form BDW |
Status:
Final
Rule
Technical Amendments to Form BD and Form BDW
34-97478
|
| Issue Date: | 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
IA-6297
|
| Issue Date: | File Number:S7-21-21 |
Rulemaking:Share Repurchase Disclosure Modernization
Corporation Finance, Investment Management
|
Status:
Final
Rule
Share Repurchase Disclosure Modernization
34-97424
|
| Issue Date: | 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
33-11180
|
| Issue Date: | 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”
34-97309
|
| Issue Date: | 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
33-11176,
34-97182,
IC-34864
|
| Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual (Conformed to Federal Register version)
33-11168,
34-97161,
39-2549,
IC-34860
|
| Issue Date: | File Number:S7-07-23 |
Rulemaking:Regulation Systems Compliance and Integrity
Trading and Markets
|
Status:
Proposed
Rule
Regulation Systems Compliance and Integrity
34-97143
|
| Issue Date: | 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
34-97142
|
| Issue Date: | File Number:S7-05-23 |
Rulemaking:Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information
Investment Management, Trading and Markets
|
Status:
Proposed
Rule
Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information
34-97141,
IA-6262,
IC-34854
|
| Issue Date: | File Number: |
Rulemaking:Extending Form 144 EDGAR Filing Hours
Corporation Finance
|
Status:
Final
Rule
Extending Form 144 EDGAR Filing Hours
33-11159,
34-96959,
39-2548
|
| Issue Date: | File Number:S7-04-23 |
Rulemaking:Safeguarding Advisory Client Assets
Investment Management
|
Status:
Proposed
Rule
Safeguarding Advisory Client Assets
IA-6240
|
| Issue Date: | 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
34-96930,
IA-6239
|
| Issue Date: | File Number:S7-03-23 |
Rulemaking:The Commission's Privacy Act Regulations
FOIA Services
|
Status:
Proposed
Rule
The Commission's Privacy Act Regulations
34-96906,
PA-59
|
| Issue Date: | 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
34-96768
|
| Issue Date: | 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
33-11151
|
| Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-11140,
34-96525,
39-2547,
IC-34778
|
Displaying 1 - 100 of 2709
Modified: Feb. 20, 2024