Rulemaking Activity
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.
Rulemaking Activity Table
|
Last Action Date
|
File Number
|
Rulemaking
|
Status
|
|---|---|---|---|
| Last Action Date:09/20/2023 | File Number:S7-03-23 |
Rulemaking:
The Commission's Privacy Act Regulations
FOIA Services
|
Status:
Final Rule
The Commission’s Privacy Act Regulations
|
| Last Action Date:09/20/2023 | File Number:S7-16-22 |
Rulemaking:
Investment Company Names
Investment Management
|
Status:
Final Rule
Investment Company Names
|
| Last Action Date:09/18/2023 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date: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
|
| 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
|
| 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
|
| 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
|
| Last Action Date:06/15/2023 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:06/07/2023 | File Number:S7-11-22 |
Rulemaking:
Removal of References to Credit Ratings From Regulation M
Trading and Markets
|
Status:
Final Rule
Removal of References to Credit Ratings from Regulation M
|
| 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
|
| Last Action Date:05/31/2023 | File Number: |
Rulemaking:
Technical Amendments to Commission Rules and Forms
|
Status:
Final Rule
Technical Amendments to Commission Rules and Forms
|
| Last Action Date:05/11/2023 | File Number: |
Rulemaking:
Technical Amendments to Form BD and Form BDW
|
Status:
Final Rule
Technical Amendments to Form BD and Form BDW
|
| Last Action Date:05/03/2023 | File Number:S7-01-22 |
Rulemaking:
Conformed: Form PF; Event Reporting for Large Hedge Fund Advisers and Private Equity Fund Advisers; Requirements for Large Private Equity Fund Adviser Reporting
Investment Management
|
Status:
Final Rule
Amendments to Form PF to Require Event Reporting for Large Hedge Fund Advisers and Private Equity Fund Advisers and to Amend Reporting Requirements for Large Private Equity Fund Advisers
|
| 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
|
| Last Action Date:03/20/2023 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual (Conformed to Federal Register version)
|
| Last Action Date:02/21/2023 | File Number: |
Rulemaking:
Extending Form 144 EDGAR Filing Hours
Corporation Finance
|
Status:
Final Rule
Extending Form 144 EDGAR Filing Hours
|
| Last Action Date:02/15/2023 | File Number:S7-05-22 |
Rulemaking:
Shortening the Securities Transaction Settlement Cycle
Investment Management, Trading and Markets
|
Status:
Final Rule
Shortening the Securities Transaction Settlement Cycle
|
| Last Action Date:12/19/2022 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:12/15/2022 | File Number: |
Rulemaking:
Technical Amendments to Commission Rules
|
Status:
Final Rule
Technical Amendments to Commission Rules
|
| Last Action Date:12/14/2022 | File Number:S7-20-21 |
Rulemaking:
Insider Trading Arrangements and Related Disclosures
Corporation Finance
|
Status:
Final Rule
Insider Trading Arrangements and Related Disclosures
|
| 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
|
| 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
|
| 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
|
| 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
|
| Last Action Date:09/19/2022 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:09/09/2022 | File Number: |
Rulemaking:
Inflation Adjustments Under Titles I and III of the JOBS Act
|
Status:
Final Rule
Inflation Adjustments Under Titles I and III of the JOBS Act
|
| Last Action Date:08/26/2022 | File Number:S7-07-22 |
Rulemaking:
Whistleblower Program Rules
General Counsel
|
Status:
Final Rule
Whistleblower Program Rules
|
| Last Action Date:08/25/2022 | File Number:S7-07-15 |
Rulemaking:
Pay Versus Performance
Corporation Finance
|
Status:
Final Rule
Pay Versus Performance
|
| Last Action Date:07/13/2022 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:07/13/2022 | File Number:S7-17-21 |
Rulemaking:
Proxy Voting Advice
Corporation Finance
|
Status:
Final Rule
Proxy Voting Advice
|
| 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
|
| 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
|
| 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
|
| Last Action Date:03/29/2022 | File Number: |
Rulemaking:
Technical Amendments to Commission Rules and Forms
|
Status:
Final Rule
Technical Amendments to Commission Rules and Forms
|
| Last Action Date:03/21/2022 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:12/20/2021 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:12/02/2021 | File Number:S7-03-21 |
Rulemaking:
Holding Foreign Companies Accountable Act Disclosure
Corporation Finance
|
Status:
Final Rule
Holding Foreign Companies Accountable Act Disclosure
|
| Last Action Date:11/17/2021 | File Number:S7-24-16 |
Rulemaking:
Universal Proxy
Corporation Finance
|
Status:
Final Rule
Universal Proxy
|
| Last Action Date:11/04/2021 | File Number: |
Rulemaking:
Performance-Based Investment Advisory Fees
|
Status:
Final Rule
Performance-Based Investment Advisory Fees
|
| Last Action Date:10/13/2021 | File Number:S7-20-19 |
Rulemaking:
Filing Fee Disclosure and Payment Methods Modernization
Corporation Finance, Economic and Risk Analysis
|
Status:
Final Rule
Filing Fee Disclosure and Payment Methods Modernization
|
| Last Action Date:09/20/2021 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual, Form ID Amendments
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual, Form ID Amendments
|
| Last Action Date:08/23/2021 | File Number: |
Rulemaking:
Freedom of Information Act Regulations
|
Status:
Final Rule
Freedom of Information Act Regulations
|
| Last Action Date:06/21/2021 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:03/18/2021 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual, Form ID Amendments
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual, Form ID Amendments
|
| Last Action Date:12/22/2020 | File Number: |
Rulemaking:
Modernization of Delegations of Authority to Commission Staff and Division and Office Descriptions
|
Status:
Final Rule
Modernization of Delegations of Authority to Commission Staff and Division and Office Descriptions
|
| Last Action Date:12/22/2020 | File Number:S7-21-19 |
Rulemaking:
Investment Adviser Marketing
Investment Management
|
Status:
Final Rule
Investment Adviser Marketing
|
| 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
|
| Last Action Date:12/16/2020 | File Number:S7-08-11 |
Rulemaking:
Exemption From the Definition of "Clearing Agency" for Certain Activities of Security-Based Swap Dealers and Security-Based Swap Execution Facilities
Trading and Markets
|
Status:
Final Rule
Clearing Agency Standards
Final Rule
Exemption From the Definition of "Clearing Agency" for Certain Activities of Security-Based Swap Dealers and Security-Based Swap Execution Facilities
|
| 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
|
| Last Action Date:12/11/2020 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual, Proposed Collection and Comment Request for Form ID
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual, Proposed Collection and Comment Request for Form ID
|
| Last Action Date:12/10/2020 | File Number: |
Rulemaking:
Delegation of Authority to Director of the Division of Enforcement
|
Status:
Final Rule
Delegation of Authority to Director of the Division of Enforcement
|
| Last Action Date:12/09/2020 | File Number:S7-03-20 |
Rulemaking:
Market Data Infrastructure
Trading and Markets
|
Status:
Final Rule
Market Data Infrastructure
|
| 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
|
| 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
|
| Last Action Date:11/17/2020 | File Number: |
Rulemaking:
Electronic Signatures in Regulation S-T Rule 302
Corporation Finance
|
Status:
Final Rule
Electronic Signatures in Regulation S-T Rule 302
|
| Last Action Date:11/17/2020 | File Number:S7-19-15 |
Rulemaking:
Amendments to the Commission's Rules of Practice (Conformed to Federal Register version) Effective Date: The final rules are effective January 29, 2021, except for Instruction 8 which is effective July 12, 2021 Compliance Date: April 12, 2021
General Counsel
|
Status:
Final Rule
Amendments to the Commission's Rules of Practice (Conformed to Federal Register version) Effective Date: The final rules are effective January 29, 2021, except for Instruction 8 which is effective July 12, 2021 Compliance Date: April 12, 2021
|
| 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
|
| 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
|
| 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
|
| Last Action Date:10/16/2020 | File Number:S7-26-19 |
Rulemaking:
Qualifications of Accountants
Investment Management
|
Status:
Final Rule
Qualifications of Accountants
|
| Last Action Date:10/07/2020 | File Number:S7-27-18 |
Rulemaking:
Fund of Funds Arrangements
Investment Management
|
Status:
Final Rule
Fund of Funds Arrangements
|
| Last Action Date:09/23/2020 | File Number:S7-16-18 |
Rulemaking:
Whistleblower Program Rules
Corporation Finance
|
Status:
Final Rule
Whistleblower Program Rules
|
| Last Action Date:09/23/2020 | File Number:S7-23-19 |
Rulemaking:
Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8
Corporation Finance
|
Status:
Final Rule
Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8
|
| Last Action Date:09/18/2020 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:09/16/2020 | File Number:S7-14-19 |
Rulemaking:
Publication or Submission of Quotations Without Specified Information
Trading and Markets
|
Status:
Final Rule
Publication or Submission of Quotations Without Specified Information
|
| 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
|
| Last Action Date:08/26/2020 | File Number:S7-25-19 |
Rulemaking:
Accredited Investor Definition
Corporation Finance
|
Status:
Final Rule
Accredited Investor Definition
|
| Last Action Date:08/26/2020 | File Number:S7-11-19 |
Rulemaking:
Modernization of Regulation S-K Items 101, 103, and 105
Corporation Finance
|
Status:
Final Rule
Modernization of Regulation S-K Items 101, 103, and 105
|
| 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
|
| 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
|
| 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
|
| 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
|
| 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
|
| 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
|
| 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
|
| 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"
|
| 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
|
| 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
|
| 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
|
| 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
|
| Last Action Date:03/02/2020 | File Number: |
Rulemaking:
Exemptions From Investment Adviser Registration for Advisers to Certain Rural Business Investment Companies
|
Status:
Final Rule
Exemptions From Investment Adviser Registration for Advisers to Certain Rural Business Investment Companies
|
| Last Action Date:02/19/2020 | File Number: |
Rulemaking:
Delegation of Authority to the General Counsel of the Commission
|
Status:
Final Rule
Delegation of Authority to the General Counsel of the Commission
|
| Last Action Date:01/27/2020 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:12/18/2019 | 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
|
| 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
|
| Last Action Date:09/27/2019 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:09/25/2019 | File Number:S7-15-18 |
Rulemaking:
Exchange-Traded Funds
Investment Management
|
Status:
Final Rule
Exchange-Traded Funds
|
| 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
|
| 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
|
| 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
|
| 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
Final Rule
Technical Amendments To Update Cross-References to Commission's FOIA Regulations
|
| 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
|
| 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
Final Rule
FAST Act Modernization and Simplification of Regulation S-K; Correction
|
| Last Action Date:08/06/2019 | File Number:S7-08-17 |
Rulemaking:
FAST Act Modernization and Simplification of Regulation S-K; Correction
Corporation Finance
|
Status:
Final Rule
FAST Act Modernization and Simplification of Regulation S-K
Final Rule
FAST Act Modernization and Simplification of Regulation S-K; Correction
|
| 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
|
| 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
|
| 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
|
| 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
|
| Last Action Date:06/07/2019 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:06/05/2019 | File Number:S7-07-18 |
Rulemaking:
Regulation Best Interest: The Broker-Dealer Standard of Conduct
Trading and Markets, Investment Management
|
Status:
Final Rule
Regulation Best Interest: The Broker-Dealer Standard of Conduct
|
| 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
|
| Last Action Date:04/24/2019 | File Number:S7-14-16 |
Rulemaking:
Disclosure of Order Handling Information
Trading and Markets
|
Status:
Final Rule
Disclosure of Order Handling Information
Final Rule
Disclosure of Order Handling Information
|
| Last Action Date:03/28/2019 | File Number: |
Rulemaking:
Public Company Accounting Oversight Board Hearing Officers
|
Status:
Final Rule
Public Company Accounting Oversight Board Hearing Officers
|
| Last Action Date:03/12/2019 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date: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
|
| Last Action Date:12/19/2018 | File Number:S7-29-18 |
Rulemaking:
Conditional Small Issues Exemption Under the Securities Act of 1933 (Regulation A)
Corporation Finance
|
Status:
Final Rule
Conditional Small Issues Exemption Under the Securities Act of 1933 (Regulation A)
|
| Last Action Date:12/19/2018 | File Number:S7-14-15 |
Rulemaking:
Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved in Effecting Security-Based Swaps
Trading and Markets
|
Status:
Final Rule
Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved in Effecting Security-Based Swaps
|
| 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
|
| Last Action Date:12/14/2018 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:11/30/2018 | File Number:S7-11-18 |
Rulemaking:
Covered Investment Fund Research Reports
Corporation Finance, Investment Management, Trading and Markets
|
Status:
Final Rule
Covered Investment Fund Research Reports
|
| Last Action Date:11/29/2018 | File Number:S7-08-15 |
Rulemaking:
Investment Company Reporting Modernization
Investment Management
|
Status:
Final Rule
Investment Company Reporting Modernization
Final Rule
Investment Company Reporting Modernization
Final Rule
Form N-1A; Correction
|
| 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
Investment Company Reporting Modernization
Final Rule
Investment Company Reporting Modernization
Final Rule
Optional Internet Availability of Investment Company Shareholder Reports
Final Rule
Form N-1A; Correction
|
| Last Action Date:11/29/2018 | File Number:S7-04-18 |
Rulemaking:
Investment Company Liquidity Disclosure
Investment Management
|
Status:
Final Rule
Investment Company Liquidity Disclosure
Final Rule
Form N-1A; Correction
|
| Last Action Date:11/29/2018 | File Number:S7-08-15 |
Rulemaking:
Form N-1A; Correction
Investment Management
|
Status:
Final Rule
Investment Company Reporting Modernization
Final Rule
Optional Internet Availability of Investment Company Shareholder Reports
Final Rule
Investment Company Liquidity Disclosure
Final Rule
Form N-1A; Correction
|
| Last Action Date:11/06/2018 | File Number:S7-23-15 |
Rulemaking:
Regulation of NMS Stock Alternative Trading Systems
Trading and Markets
|
Status:
Final Rule
Regulation of NMS Stock Alternative Trading Systems
Final Rule
Regulation of NMS Stock Alternative Trading Systems
|
| 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
|
| 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
|
| Last Action Date:10/01/2018 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual; Correction
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual; Correction
|
| Last Action Date:08/22/2018 | File Number: |
Rulemaking:
Delegation of Authority to General Counsel of the Commission
|
Status:
Final Rule
Delegation of Authority to General Counsel of the Commission
|
| Last Action Date:08/20/2018 | File Number:S7-01-17 |
Rulemaking:
Amendments to Municipal Securities Disclosure
Municipal Securities
|
Status:
Final Rule
Amendments to Municipal Securities Disclosure
|
| 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
|
| Last Action Date:07/18/2018 | File Number:S7-17-18 |
Rulemaking:
Exempt Offerings Pursuant to Compensatory Arrangements
Corporation Finance
|
Status:
Final Rule
Exempt Offerings Pursuant to Compensatory Arrangements
|
| Last Action Date:07/10/2018 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:06/28/2018 | File Number:S7-12-16 |
Rulemaking:
Smaller Reporting Company Definition
Corporation Finance
|
Status:
Final Rule
Smaller Reporting Company Definition
|
| 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
|
| Last Action Date:05/24/2018 | File Number: |
Rulemaking:
Technical Amendments to Rules of Practice and Rules of Organization; Conduct and Ethics; and Information and Requests
|
Status:
Final Rule
Technical Amendments to Rules of Practice and Rules of Organization; Conduct and Ethics; and Information and Requests
|
| Last Action Date:04/25/2018 | File Number: |
Rulemaking:
Amendments to Forms and Schedules To Remove Provision of Certain Personally Identifiable Information
|
Status:
Final Rule
Amendments to Forms and Schedules To Remove Provision of Certain Personally Identifiable Information
|
| Last Action Date:03/08/2018 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:01/24/2018 | File Number: |
Rulemaking:
Amendments to Forms and Schedules To Remove Voluntary Provision of Social Security Numbers
|
Status:
Final Rule
Technical Revisions to the Rules and Forms Regulating Money Market Funds
Final Rule
Amendments to Forms and Schedules To Remove Voluntary Provision of Social Security Numbers
|
| Last Action Date:01/05/2018 | File Number:S7-05-17 |
Rulemaking:
Exemptions From Investment Adviser Registration for Advisers to Small Business Investment Companies
Investment Management
|
Status:
Final Rule
Exemptions From Investment Adviser Registration for Advisers to Small Business Investment Companies
|
| 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
|
| Last Action Date:12/08/2017 | File Number:S7-08-15 |
Rulemaking:
Investment Company Reporting Modernization
Investment Management
|
Status:
Final Rule
Investment Company Reporting Modernization
Final Rule
Investment Company Reporting Modernization
|
| Last Action Date:12/08/2017 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:10/24/2017 | File Number:S7-06-17 |
Rulemaking:
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
Trading and Markets
|
Status:
Final Rule
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
|
| Last Action Date:09/21/2017 | File Number:S7-07-13 |
Rulemaking:
Pay Ratio Disclosure
Corporation Finance
|
Status:
Final Rule
Pay Ratio Disclosure
|
| Last Action Date:09/13/2017 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:07/06/2017 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:05/04/2017 | File Number: |
Rulemaking:
Technical Amendments to Form ADV and Form ADV-W
|
Status:
Final Rule
Technical Amendments to Form ADV and Form ADV-W
|
| Last Action Date: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
|
| 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
|
| Last Action Date:03/13/2017 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:03/01/2017 | File Number:S7-19-16 |
Rulemaking:
Exhibit Hyperlinks and HTML Format
Corporation Finance
|
Status:
Final Rule
Exhibit Hyperlinks and HTML Format
|
| Last Action Date:02/17/2017 | File Number:S7-22-15 |
Rulemaking:
Exemptions To Facilitate Intrastate and Regional Securities Offerings
Corporation Finance
|
Status:
Final Rule
Exemptions To Facilitate Intrastate and Regional Securities Offerings
Final Rule
Exemptions to Facilitate Intrastate and Regional Securities Offerings, Technical Correction
|
| Last Action Date:01/26/2017 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:01/06/2017 | File Number: |
Rulemaking:
Adjustments to Civil Monetary Penalty Amounts
Enforcement
|
Status:
Final Rule
Adjustments to Civil Monetary Penalty Amounts
|
| Last Action Date:12/21/2016 | File Number:S7-12-14 |
Rulemaking:
Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act
Corporation Finance
|
Status:
Final Rule
Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act
Final Rule
Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act; Correction
|
| 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
|
| Last Action Date:12/09/2016 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date: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
|
| 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
|
| 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
|
| Last Action Date:09/20/2016 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:08/29/2016 | File Number:S7-15-15 |
Rulemaking:
Access to Data Obtained by Security-Based Swap Data Repositories
Trading and Markets
|
Status:
Final Rule
Access to Data Obtained by Security-Based Swap Data Repositories
|
| 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
|
| 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
|
| 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
|
| 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
|
| Last Action Date:06/16/2016 | File Number:S7-08-10 |
Rulemaking:
Asset-Backed Securities Disclosure and Registration
Corporation Finance
|
Status:
Final Rule
Asset-Backed Securities Disclosure and Registration
Final Rule
Asset-Backed Securities Disclosure and Registration
Final Rule
Asset-Backed Securities Disclosure and Registration
|
| Last Action Date:06/13/2016 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:06/08/2016 | File Number:S7-03-11 |
Rulemaking:
Trade Acknowledgment and Verification of Security-Based Swap Transactions
Trading and Markets
|
Status:
Final Rule
Trade Acknowledgment and Verification of Security-Based Swap Transactions
|
| Last Action Date:05/20/2016 | File Number:S7-30-11 |
Rulemaking:
Retail Foreign Exchange Transactions
Trading and Markets
|
Status:
Final Rule
Retail Foreign Exchange Transactions
Final Rule
Retail Foreign Exchange Transactions
|
| Last Action Date:05/20/2016 | File Number:S7-30-11 |
Rulemaking:
Retail Foreign Exchange Transactions
Trading and Markets
|
Status:
Final Rule
Retail Foreign Exchange Transactions
Final Rule
Retail Foreign Exchange Transactions
|
| Last Action Date:04/22/2016 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:04/14/2016 | File Number:S7-25-11 |
Rulemaking:
Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
Trading and Markets
|
Status:
Final Rule
Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
|
| 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
|
| 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
Final Rule
Regulation Systems Compliance and Integrity; Correction
|
| Last Action Date:12/11/2015 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:10/30/2015 | File Number:S7-09-13 |
Rulemaking:
Crowdfunding
Corporation Finance, Trading and Markets
|
Status:
Final Rule
Crowdfunding
|
| Last Action Date:09/16/2015 | File Number:S7-07-11 |
Rulemaking:
Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule
Investment Management
|
Status:
Final Rule
Purchase of Certain Debt Securities by Business and Industrial Development Companies Relying on an Investment Company Act Exemption
Final Rule
Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule
|
| Last Action Date:09/15/2015 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date: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
|
| Last Action Date:08/03/2015 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:07/08/2015 | File Number:S7-07-14 |
Rulemaking:
Freedom of Information Act Regulations: Fee Schedule, Addition of Appeals Time Frame, and Miscellaneous Administrative Changes
FOIA Services
|
Status:
Final Rule
Freedom of Information Act Regulations: Fee Schedule, Addition of Appeals Time Frame, and Miscellaneous Administrative Changes
|
| Last Action Date:06/18/2015 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:05/18/2015 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:05/12/2015 | File Number:S7-16-11 |
Rulemaking:
Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
Trading and Markets
|
Status:
Final Rule
Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
|
| Last Action Date:04/13/2015 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:03/25/2015 | File Number:S7-11-13 |
Rulemaking:
Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A)
Corporation Finance
|
Status:
Final Rule
Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A)
|
| 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
|
| 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
|
| Last Action Date:12/17/2014 | File Number:S7-23-07 |
Rulemaking:
Principal Trades with Certain Advisory Clients
|
Status:
Final Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
Final Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
Final Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
Final Rule
Principal Trades with Certain Advisory Clients
Final Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
Final Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
|
| Last Action Date:12/17/2014 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:10/22/2014 | File Number:S7-14-11 |
Rulemaking:
Credit Risk Retention
Corporation Finance
|
Status:
Final Rule
Credit Risk Retention
|
| Last Action Date:10/20/2014 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:09/26/2014 | File Number: |
Rulemaking:
Delegation of Authority to the Chief Financial Officer
|
Status:
Final Rule
Delegation of Authority to the Chief Financial Officer
|
| Last Action Date: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
|
| 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
|
| 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
|
| Last Action Date:06/20/2014 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:03/04/2014 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:01/13/2014 | 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
|
| Last Action Date:01/06/2014 | File Number: |
Rulemaking:
Responsibilities of the General Counsel
|
Status:
Final Rule
Responsibilities of the General Counsel
|
| Last Action Date:12/27/2013 | File Number:S7-7-11 |
Rulemaking:
Removal of Certain References to Credit Ratings Under the Investment Company Act
|
Status:
Final Rule
Removal of Certain References to Credit Ratings Under the Investment Company Act
|
| 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
|
| Last Action Date:12/24/2013 | File Number: |
Rulemaking:
Securities Exempted; Distribution of Shares by Registered Open-End Management Investment Company; Applications Regarding Joint Enterprises or Arrangements and Certain Profit-Sharing Plans
|
Status:
Final Rule
Securities Exempted; Distribution of Shares by Registered Open-End Management Investment Company; Applications Regarding Joint Enterprises or Arrangements and Certain Profit-Sharing Plans
|
| Last Action Date:12/10/2013 | File Number:S7-41-11 |
Rulemaking:
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Investment Management, Trading and Markets
|
Status:
Final Rule
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
|
| Last Action Date:09/25/2013 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:09/23/2013 | File Number:S7-45-10 |
Rulemaking:
Registration of Municipal Advisors (Corrected to conform to Federal Register version)
Municipal Securities
|
Status:
Final Rule
Registration of Municipal Advisors (Corrected to conform to Federal Register version)
|
| Last Action Date:07/30/2013 | File Number:S7-08-07 |
Rulemaking:
Financial Responsibility Rules for Broker-Dealers
|
Status:
Final Rule
Financial Responsibility Rules for Broker-Dealers
|
| Last Action Date:07/30/2013 | File Number:S7-23-11 |
Rulemaking:
Broker-Dealer Reports
Trading and Markets
|
Status:
Final Rule
Broker-Dealer Reports
|
| Last Action Date:07/26/2013 | File Number: |
Rulemaking:
Delegation of Authority to Director of the Division of Enforcement
|
Status:
Final Rule
Delegation of Authority to Director of the Division of Enforcement
|
| Last Action Date:07/25/2013 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:07/12/2013 | File Number: |
Rulemaking:
Rescission of Supervised Investment Bank Holding Company Rules
|
Status:
Final Rule
Rescission of Supervised Investment Bank Holding Company Rules
|
| Last Action Date:07/10/2013 | File Number:S7-07-12 |
Rulemaking:
Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings
Corporation Finance
|
Status:
Final Rule
Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings
|
| Last Action Date:07/10/2013 | File Number:S7-21-11 |
Rulemaking:
Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings
Corporation Finance
|
Status:
Final Rule
Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings
|
| Last Action Date:05/14/2013 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:04/10/2013 | File Number:S7-02-12 |
Rulemaking:
Identity Theft Red Flags Rules
Investment Management, Trading and Markets
|
Status:
Final Rule
Identity Theft Red Flags Rules
|
| Last Action Date:04/03/2013 | File Number:S7-29-11 |
Rulemaking:
Amendment to Rule Filing Requirements for Dually-Registered Clearing Agencies
Trading and Markets
|
Status:
Final Rule
Amendment to Rule Filing Requirements for Dually-Registered Clearing Agencies
|
| Last Action Date:01/16/2013 | File Number:S7-11-11 |
Rulemaking:
Lost Securityholders and Unresponsive Payees
Trading and Markets
|
Status:
Final Rule
Lost Securityholders and Unresponsive Payees
|
| Last Action Date:01/14/2013 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:12/05/2012 | File Number:S7-44-10 |
Rulemaking:
Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations
Trading and Markets
|
Status:
Final Rule
Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations
Final Rule
Extension of Dates for Certain Requirements and Amendment of Form 19b-4
|
| Last Action Date:12/05/2012 | File Number:S7-44-10 |
Rulemaking:
Extension of Dates for Certain Requirements and Amendment of Form 19b-4
Trading and Markets
|
Status:
Final Rule
Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations
Final Rule
Extension of Dates for Certain Requirements and Amendment of Form 19b-4
|
| Last Action Date:11/19/2012 | File Number:S7-07-11 |
Rulemaking:
Purchase of Certain Debt Securities by Business and Industrial Development Companies Relying on an Investment Company Act Exemption
Investment Management
|
Status:
Final Rule
Purchase of Certain Debt Securities by Business and Industrial Development Companies Relying on an Investment Company Act Exemption
|
| Last Action Date:10/22/2012 | File Number:S7-08-11 |
Rulemaking:
Clearing Agency Standards
Trading and Markets
|
Status:
Final Rule
Clearing Agency Standards
|
| Last Action Date:10/04/2012 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:08/30/2012 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:08/22/2012 | File Number:S7-42-10 |
Rulemaking:
Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
|
Status:
Final Rule
Disclosure of Payments by Resource Extraction Issuers
|
| Last Action Date:08/22/2012 | File Number:S7-40-10 |
Rulemaking:
Conflict Minerals
Corporation Finance
|
Status:
Final Rule
Conflict Minerals
|
| Last Action Date:07/18/2012 | File Number:S7-11-10 |
Rulemaking:
Consolidated Audit Trail
Trading and Markets
|
Status:
Final Rule
Consolidated Audit Trail
|
| Last Action Date:06/20/2012 | File Number:S7-13-11 |
Rulemaking:
Listing Standards for Compensation Committees
Corporation Finance
|
Status:
Final Rule
Listing Standards for Compensation Committees
|
| Last Action Date:06/08/2012 | File Number:S7-18-09 |
Rulemaking:
Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Extension of Compliance Date
Investment Management
|
Status:
Final Rule
Political Contributions by Certain Investment Advisers
Final Rule
Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Extension of Compliance Date
|
| Last Action Date:05/08/2012 | File Number:S7-36-10 |
Rulemaking:
Political Contributions by Certain Investment Advisers
|
Status:
Final Rule
Political Contributions by Certain Investment Advisers
|
| Last Action Date:04/27/2012 | File Number:S7-39-10 |
Rulemaking:
Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant"
Trading and Markets
|
Status:
Final Rule
Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant"
|
| Last Action Date:03/30/2012 | File Number:S7-22-11 |
Rulemaking:
Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies
Corporation Finance
|
Status:
Final Rule
Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies
|
| Last Action Date:03/26/2012 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:03/23/2012 | File Number:S7-04-11 |
Rulemaking:
Net Worth Standard for Accredited Investors
Investment Management
|
Status:
Final Rule
Net Worth Standard for Accredited Investors
Final Rule
Net Worth Standard for Accredited Investors
|
| Last Action Date:03/23/2012 | File Number:S7-04-11 |
Rulemaking:
Net Worth Standard for Accredited Investors
Investment Management
|
Status:
Final Rule
Net Worth Standard for Accredited Investors
Final Rule
Net Worth Standard for Accredited Investors
|
| Last Action Date:03/07/2012 | File Number: |
Rulemaking:
Rules of Organization; Conduct and Ethics; and Information and Requests
|
Status:
Final Rule
Rules of Organization; Conduct and Ethics; and Information and Requests
|
| Last Action Date:02/15/2012 | File Number:S7-17-11 |
Rulemaking:
Investment Adviser Performance Compensation
Investment Management
|
Status:
Final Rule
Investment Adviser Performance Compensation
|
| Last Action Date:02/08/2012 | File Number: |
Rulemaking:
Reporting Line for the Commission's Inspector General
|
Status:
Final Rule
Reporting Line for the Commission's Inspector General
|
| Last Action Date:01/20/2012 | File Number:S7-31-11 |
Rulemaking:
Covered Securities of Bats Exchange, Inc.
Trading and Markets
|
Status:
Final Rule
Covered Securities of Bats Exchange, Inc.
|
| Last Action Date:12/21/2011 | File Number:S7-41-10 |
Rulemaking:
Mine Safety Disclosure
Corporation Finance
|
Status:
Final Rule
Mine Safety Disclosure
|
| Last Action Date:11/22/2011 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:11/14/2011 | File Number: |
Rulemaking:
Reporting Line for the Commission's Ethics Counsel
|
Status:
Final Rule
Reporting Line for the Commission's Ethics Counsel
|
| Last Action Date:11/04/2011 | File Number: |
Rulemaking:
Rescission of Outdated Rules and Forms, and Amendments To Correct References
|
Status:
Final Rule
Rescission of Outdated Rules and Forms, and Amendments To Correct References
|
| Last Action Date:10/31/2011 | File Number:S7-05-11 |
Rulemaking:
Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
Investment Management
|
Status:
Final Rule
Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
|
| Last Action Date:10/26/2011 | File Number: |
Rulemaking:
Technical Amendment to Delegation of Authority to the Director of the Division of Trading and Markets
|
Status:
Final Rule
Technical Amendment to Delegation of Authority to the Director of the Division of Trading and Markets
|
| Last Action Date:09/23/2011 | File Number: |
Rulemaking:
Consolidation of the Office of the Executive Director With the Office of the Chief Operating Officer
|
Status:
Final Rule
Consolidation of the Office of the Executive Director With the Office of the Chief Operating Officer
|
| Last Action Date:09/15/2011 | File Number:S7-10-09 |
Rulemaking:
Facilitating Shareholder Director Nominations
Corporation Finance
|
Status:
Final Rule
Facilitating Shareholder Director Nominations
Final Rule
Facilitating Shareholder Director Nominations
|
| Last Action Date:09/12/2011 | File Number:S7-19-11 |
Rulemaking:
Privacy Act of 1974: Implementation and Amendment of Exemptions
Information Technology
|
Status:
Final Rule
Privacy Act of 1974: Implementation and Amendment of Exemptions
|
| Last Action Date:09/01/2011 | File Number: |
Rulemaking:
Amendments To Include New Applicant Types on Form ID
|
Status:
Final Rule
Amendments To Include New Applicant Types on Form ID
|
| Last Action Date:08/25/2011 | File Number:S7-24-10 |
Rulemaking:
Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Corporation Finance
|
Status:
Final Rule
Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Final Rule
Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
|
| Last Action Date:08/17/2011 | File Number:S7-02-11 |
Rulemaking:
Suspension of the Duty To File Reports for Classes of Asset-Backed Securities Under Section 15(D) of the Securities Exchange Act of 1934
Corporation Finance
|
Status:
Final Rule
Suspension of the Duty To File Reports for Classes of Asset-Backed Securities Under Section 15(D) of the Securities Exchange Act of 1934
|
| Last Action Date:08/08/2011 | File Number: |
Rulemaking:
Commission Rules and Forms Related to the FASB's Accounting Standards Codification
|
Status:
Final Rule
Commission Rules and Forms Related to the FASB's Accounting Standards Codification
|
| Last Action Date:08/01/2011 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:07/27/2011 | File Number:S7-18-08 |
Rulemaking:
Security Ratings
Corporation Finance
|
Status:
Final Rule
Security Ratings
|
| Last Action Date:07/27/2011 | File Number:S7-10-10 |
Rulemaking:
Large Trader Reporting
Trading and Markets
|
Status:
Final Rule
Large Trader Reporting
|
| Last Action Date:07/19/2011 | File Number: |
Rulemaking:
Technical Amendment to Commission Procedures for Filing Applications for Orders for Exemptive Relief Under Section 36 of the Exchange Act
|
Status:
Final Rule
Technical Amendment to Commission Procedures for Filing Applications for Orders for Exemptive Relief Under Section 36 of the Exchange Act
|
| Last Action Date:07/01/2011 | File Number:S7-02-09 |
Rulemaking:
Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps
Trading and Markets
|
Status:
Final Rule
Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps
Final Rule
Extension of Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps
|
| Last Action Date:06/30/2011 | File Number: |
Rulemaking:
Delegation of Authority to the Director of Its Division of Enforcement
|
Status:
Final Rule
Delegation of Authority to the Director of Its Division of Enforcement
|
| Last Action Date:06/27/2011 | File Number:S7-03-10 |
Rulemaking:
Risk Management Controls for Brokers or Dealers With Market Access
Trading and Markets
|
Status:
Final Rule
Risk Management Controls for Brokers or Dealers With Market Access
Final Rule
Risk Management Controls for Brokers or Dealers With Market Access
|
| Last Action Date:06/22/2011 | File Number:S7-25-10 |
Rulemaking:
Family Offices
Investment Management
|
Status:
Final Rule
Family Offices
|
| Last Action Date:06/22/2011 | File Number:S7-37-10 |
Rulemaking:
Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers
Investment Management
|
Status:
Final Rule
Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers
|
| Last Action Date:06/22/2011 | File Number:S7-36-10 |
Rulemaking:
Rules Implementing Amendments to the Investment Advisers Act of 1940
Investment Management
|
Status:
Final Rule
Rules Implementing Amendments to the Investment Advisers Act of 1940
|
| Last Action Date:06/13/2011 | File Number: |
Rulemaking:
Delegation of Authority to the Director of Its Division of Enforcement
|
Status:
Final Rule
Delegation of Authority to the Director of Its Division of Enforcement
|
| Last Action Date:06/08/2011 | File Number:S7-10-11 |
Rulemaking:
Beneficial Ownership Reporting Requirements and Security-Based Swaps
Corporation Finance
|
Status:
Final Rule
Beneficial Ownership Reporting Requirements and Security-Based Swaps
|
| Last Action Date:05/25/2011 | File Number:S7-33-10 |
Rulemaking:
Securities Whistleblower Incentives and Protections
|
Status:
Final Rule
Securities Whistleblower Incentives and Protections
|
| Last Action Date:05/13/2011 | File Number: |
Rulemaking:
Amendment to Procedures for Holding Funds in Dormant Filing Fee Accounts
|
Status:
Final Rule
Amendment to Procedures for Holding Funds in Dormant Filing Fee Accounts
|
| Last Action Date:04/07/2011 | File Number: |
Rulemaking:
Technical Amendment to Rule 19b-4: Filings With Respect to Proposed Rule Changes by Self-Regulatory Organizations
|
Status:
Final Rule
Technical Amendment to Rule 19b-4: Filings With Respect to Proposed Rule Changes by Self-Regulatory Organizations
|
| Last Action Date:04/04/2011 | File Number: |
Rulemaking:
Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
|
Status:
Final Rule
Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
|
| Last Action Date:02/23/2011 | File Number: |
Rulemaking:
Technical Amendments to Rule 17a-8: Financial Recordkeeping and Reporting of Currency and Foreign Transactions
|
Status:
Final Rule
Technical Amendments to Rule 17a-8: Financial Recordkeeping and Reporting of Currency and Foreign Transactions
|
| Last Action Date:01/25/2011 | File Number:S7-31-10 |
Rulemaking:
Shareholder Approval of Executive Compensation and Golden Parachute Compensation
Corporation Finance
|
Status:
Final Rule
Shareholder Approval of Executive Compensation and Golden Parachute Compensation
|
| Last Action Date:01/20/2011 | File Number:S7-26-10 |
Rulemaking:
Issuer Review of Assets in Offerings of Asset-Backed Securities
Corporation Finance
|
Status:
Final Rule
Issuer Review of Assets in Offerings of Asset-Backed Securities
|
| Last Action Date:01/14/2011 | File Number: |
Rulemaking:
Rules of Practice
|
Status:
Final Rule
Rules of Practice
|
| Last Action Date:01/11/2011 | File Number: |
Rulemaking:
Delegation of Authority to the Chief Accountant
|
Status:
Final Rule
Delegation of Authority to the Chief Accountant
|
| Last Action Date:01/05/2011 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:12/28/2010 | File Number:S7-10-00 |
Rulemaking:
Amendments to Form ADV
|
Status:
Final Rule
Electronic Filing by Investment Advisers; Amendments To Form ADV
Final Rule
Electronic Filing by Investment Advisers; Amendments to Form ADV; Technical Amendments
Final Rule
Electronic Filing by Investment Advisers; Amendments To Form ADV; Technical Amendments
Final Rule
Amendments to Form ADV
Final Rule
Amendments To Form ADV; Extension of Compliance Date
|
| Last Action Date:12/28/2010 | File Number:S7-10-00 |
Rulemaking:
Amendments To Form ADV; Extension of Compliance Date
|
Status:
Final Rule
Electronic Filing by Investment Advisers; Amendments To Form ADV
Final Rule
Electronic Filing by Investment Advisers; Amendments to Form ADV; Technical Amendments
Final Rule
Electronic Filing by Investment Advisers; Amendments To Form ADV; Technical Amendments
Final Rule
Amendments to Form ADV
Final Rule
Amendments To Form ADV; Extension of Compliance Date
|
| Last Action Date:12/16/2010 | File Number:S7-18-10 |
Rulemaking:
Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
Corporation Finance
|
Status:
Final Rule
Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
|
| Last Action Date:11/04/2010 | File Number:S7-08-09 |
Rulemaking:
Amendments to Regulation SHO
Trading and Markets
|
Status:
Final Rule
Amendments to Regulation SHO
Final Rule
Regulation SHO
|
| Last Action Date:10/14/2010 | File Number:S7-14-08 |
Rulemaking:
Indexed Annuities And Certain Other Insurance Contracts
Investment Management
|
Status:
Final Rule
Indexed Annuities And Certain Other Insurance Contracts
Final Rule
Indexed Annuities
|
| Last Action Date:10/13/2010 | File Number: |
Rulemaking:
Technical Amendments to Forms N-CSR and N-SAR in Connection With the Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010
|
Status:
Final Rule
Technical Amendments to Forms N-CSR and N-SAR in Connection With the Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010
|
| Last Action Date:10/06/2010 | File Number: |
Rulemaking:
Delegation of Authority to the Director of the Division of Trading and Markets
|
Status:
Final Rule
Delegation of Authority to the Director of the Division of Trading and Markets
|
| Last Action Date:09/29/2010 | File Number:S7-23-10 |
Rulemaking:
Removal From Regulation FD of the Exemption for Credit Rating Agencies
Corporation Finance
|
Status:
Final Rule
Removal From Regulation FD of the Exemption for Credit Rating Agencies
|
| Last Action Date:09/15/2010 | File Number: |
Rulemaking:
Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers
|
Status:
Final Rule
Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers
|
| Last Action Date:09/15/2010 | File Number: |
Rulemaking:
Rescission of Rules Pertaining to the Payment of Bounties for Information Leading to the Recovery of Civil Penalties for Insider Trading
|
Status:
Final Rule
Rescission of Rules Pertaining to the Payment of Bounties for Information Leading to the Recovery of Civil Penalties for Insider Trading
|
| Last Action Date:09/09/2010 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:09/01/2010 | File Number: |
Rulemaking:
Delegation of Authority to the Director of Its Division of Enforcement
|
Status:
Final Rule
Delegation of Authority to the Director of Its Division of Enforcement
Final Rule
Delegation of Authority to the Director of Its Division of Enforcement
|
| Last Action Date:09/01/2010 | File Number: |
Rulemaking:
Delegation of Authority to the Director of Its Division of Enforcement
|
Status:
Final Rule
Delegation of Authority to the Director of Its Division of Enforcement
Final Rule
Delegation of Authority to the Director of Its Division of Enforcement
|
| Last Action Date:07/28/2010 | File Number:S7-10-00 |
Rulemaking:
Electronic Filing by Investment Advisers; Amendments To Form ADV; Technical Amendments
|
Status:
Final Rule
Electronic Filing by Investment Advisers; Amendments To Form ADV
Final Rule
Electronic Filing by Investment Advisers; Amendments To Form ADV; Technical Amendments
Final Rule
Amendments to Form ADV
|
| Last Action Date:07/26/2010 | File Number: |
Rulemaking:
Amendments to the Informal and Other Procedures, Rules of Organization and Program Management, and Rules of Practice; Interim Commission Review of Public Company Accounting Oversight Board Inspection Reports and Regulation P
|
Status:
Final Rule
Amendments to the Informal and Other Procedures, Rules of Organization and Program Management, and Rules of Practice; Interim Commission Review of Public Company Accounting Oversight Board Inspection Reports and Regulation P
|
| Last Action Date:07/16/2010 | File Number: |
Rulemaking:
Technical Amendment to Rules of Organization; Conduct and Ethics; and Information and Requests
|
Status:
Final Rule
Technical Amendment to Rules of Organization; Conduct and Ethics; and Information and Requests
|
| Last Action Date:07/14/2010 | File Number: |
Rulemaking:
Adoption of Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission and Revisions to the Commission's Ethics Rules
|
Status:
Final Rule
Adoption of Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission and Revisions to the Commission's Ethics Rules
|
| Last Action Date:07/01/2010 | File Number:S7-18-09 |
Rulemaking:
Political Contributions by Certain Investment Advisers
Investment Management
|
Status:
Final Rule
Political Contributions by Certain Investment Advisers
|
| Last Action Date:05/27/2010 | File Number:S7-15-09 |
Rulemaking:
Amendment to Municipal Securities Disclosure
Trading and Markets
|
Status:
Final Rule
Amendment to Municipal Securities Disclosure
|
| Last Action Date:04/01/2010 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:02/23/2010 | File Number:S7-13-09 |
Rulemaking:
Proxy Disclosure Enhancements
Corporation Finance
|
Status:
Final Rule
Proxy Disclosure Enhancements
Final Rule
Proxy Disclosure Enhancements; Correction
|
| Last Action Date:02/23/2010 | File Number:S7-13-09 |
Rulemaking:
Proxy Disclosure Enhancements; Correction
Corporation Finance
|
Status:
Final Rule
Proxy Disclosure Enhancements
Final Rule
Proxy Disclosure Enhancements; Correction
|
| Last Action Date:02/23/2010 | File Number:S7-11-09 |
Rulemaking:
Money Market Fund Reform
Investment Management
|
Status:
Final Rule
Money Market Fund Reform
|
| Last Action Date:02/22/2010 | File Number:S7-22-09 |
Rulemaking:
Amendments to Rules Requiring Internet Availability of Proxy Materials
Corporation Finance
|
Status:
Final Rule
Amendments to Rules Requiring Internet Availability of Proxy Materials
|
| Last Action Date:01/13/2010 | File Number: |
Rulemaking:
Delegations of Authority to the Director of Its Division of Enforcement
|
Status:
Final Rule
Delegations of Authority to the Director of Its Division of Enforcement
|
| Last Action Date:01/12/2010 | File Number:S7-12-09 |
Rulemaking:
Shareholder Approval of Executive Compensation of TARP Recipients
Corporation Finance
|
Status:
Final Rule
Shareholder Approval of Executive Compensation of TARP Recipients
|
| Last Action Date:12/31/2009 | File Number:S7-23-07 |
Rulemaking:
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
|
Status:
Final Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
Final Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
Final Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
|
| Last Action Date:12/30/2009 | File Number:S7-09-09 |
Rulemaking:
Custody of Funds or Securities of Clients by Investment Advisers
Investment Management
|
Status:
Final Rule
Custody of Funds or Securities of Clients by Investment Advisers
|
| Last Action Date:12/15/2009 | File Number:S7-23-09 |
Rulemaking:
Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
Corporation Finance
|
Status:
Final Rule
Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
|
| Last Action Date:11/23/2009 | File Number:S7-04-09 |
Rulemaking:
Amendments to Rules for Nationally Recognized Statistical Rating Organizations
Trading and Markets
|
Status:
Final Rule
Amendments to Rules for Nationally Recognized Statistical Rating Organizations
|
| Last Action Date:11/16/2009 | File Number:S7-09-07 |
Rulemaking:
Final Model Privacy Form Under the Gramm-Leach-Bliley Act
|
Status:
Final Rule
Final Model Privacy Form Under the Gramm-Leach-Bliley Act
|
| Last Action Date:11/05/2009 | File Number:S7-29-04 |
Rulemaking:
Regulation S-AM: Limitations on Affiliate Marketing; Extension of Compliance Date
|
Status:
Final Rule
Regulation S-AM: Limitations on Affiliate Marketing
Final Rule
Regulation S-AM: Limitations on Affiliate Marketing; Extension of Compliance Date
|
| Last Action Date:10/26/2009 | File Number: |
Rulemaking:
Adoption of Updated EDGAR Filer Manual
|
Status:
Final Rule
Adoption of Updated EDGAR Filer Manual
|
| Last Action Date:10/13/2009 | File Number:S7-06-03 |
Rulemaking:
Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers
|
Status:
Final Rule
Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports
Final Rule
Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports
Final Rule
Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports of Non-Accelerated Filers and Foreign Private Issuers
Final Rule
Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports of Companies That Are Not Accelerated Filers
Final Rule
Internal Control Over Financial Reporting In Exchange Act Periodic Reports of Foreign Private Issuers That Are Accelerated Filers [Corrected August 11, 2006]
Final Rule
Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers and Newly Public Companies
Final Rule
Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers
Final Rule
Technical Amendment; Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers
Final Rule
Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers
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