Rulemaking Activity

This index of the SEC’s rulemaking activity can be filtered by year, status (proposed or final), or division/office that recommended the rulemaking to the Commission.

Twice a year under the Regulatory Flexibility Act, the SEC is required to publish an agenda identifying rules that the agency estimates it may consider in the next 12 months. View the latest SEC RegFlex agenda.

SEC Proposed Rules RSS Feed

Issue Date File Number Rulemaking Status
S7-26-10 Issuer Review of Assets in Offerings of Asset-Backed Securities
Corporation Finance
Final Rule
Issuer Review of Assets in Offerings of Asset-Backed Securities
33-9176, 34-63742
View Related Activity
Rules of Practice
Final Rule
Rules of Practice
34-63723
Delegation of Authority to the Chief Accountant
Final Rule
Delegation of Authority to the Chief Accountant
34-63699
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-9169, 34-63646, 39-2473, IC-29547
S7-23-07 Principal Trades with Certain Advisory Clients
Final Rule
Principal Trades with Certain Advisory Clients
IA-3128
View Related Activity
S7-10-00 Amendments to Form ADV
Final Rule
Amendments To Form ADV; Extension of Compliance Date
IA-3129
View Related Activity
S7-18-10 Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
Corporation Finance
Final Rule
Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
33-9165
View Related Activity
S7-08-09 Amendments to Regulation SHO
Trading and Markets
Final Rule
Regulation SHO
34-63247
View Related Activity
S7-03-10 Risk Management Controls for Brokers or Dealers With Market Access
Trading and Markets
Final Rule
Risk Management Controls for Brokers or Dealers With Market Access
34-63241
View Related Activity
S7-14-08 Indexed Annuities And Certain Other Insurance Contracts
Investment Management
Final Rule
Indexed Annuities
33-9152
View Related Activity
Technical Amendments to Forms N-CSR and N-SAR in Connection With the Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010
Final Rule
Technical Amendments to Forms N-CSR and N-SAR in Connection With the Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010
34-63087, IC-29461
Delegation of Authority to the Director of the Division of Trading and Markets
Final Rule
Delegation of Authority to the Director of the Division of Trading and Markets
34-63049
S7-23-10 Removal From Regulation FD of the Exemption for Credit Rating Agencies
Corporation Finance
Final Rule
Removal From Regulation FD of the Exemption for Credit Rating Agencies
33-9146, 34-63003, IC-29448
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
33-9142, 34-62914
Rescission of Rules Pertaining to the Payment of Bounties for Information Leading to the Recovery of Civil Penalties for Insider Trading
Final Rule
Rescission of Rules Pertaining to the Payment of Bounties for Information Leading to the Recovery of Civil Penalties for Insider Trading
34-62921
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-9140, 34-62873, 39-2471, IC-29413
Delegation of Authority to the Director of Its Division of Enforcement
Final Rule
Delegation of Authority to the Director of Its Division of Enforcement
34-62821, 34-62690
View Related Activity
S7-10-09 Facilitating Shareholder Director Nominations
Corporation Finance
Final Rule
Facilitating Shareholder Director Nominations
33-9136, 34-62764, IC-29384
View Related Activity
Delegation of Authority to the Director of Its Division of Enforcement
Final Rule
Delegation of Authority to the Director of Its Division of Enforcement
34-62690, 34-62821
View Related Activity
S7-10-00 Electronic Filing by Investment Advisers; Amendments To Form ADV; Technical Amendments
Final Rule
Amendments to Form ADV
IA-3060
View Related Activity
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
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
34-62575
Technical Amendment to Rules of Organization; Conduct and Ethics; and Information and Requests
Final Rule
Technical Amendment to Rules of Organization; Conduct and Ethics; and Information and Requests
34-62520
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
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
34-62501
S7-18-09 Political Contributions by Certain Investment Advisers
Investment Management
Final Rule
Political Contributions by Certain Investment Advisers
IA-3043
View Related Activity
S7-15-09 Amendment to Municipal Securities Disclosure
Trading and Markets
Final Rule
Amendment to Municipal Securities Disclosure
34-62184A
View Related Activity
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-9115, 34-61821, 39-2469, IC-29199
S7-08-09 Amendments to Regulation SHO
Trading and Markets
Final Rule
Amendments to Regulation SHO
34-61595
View Related Activity
S7-13-09 Proxy Disclosure Enhancements
Corporation Finance
Final Rule
Proxy Disclosure Enhancements; Correction
33-9089A
View Related Activity
S7-11-09, S7-20-09 Money Market Fund Reform
Investment Management
Final Rule
Money Market Fund Reform
IC-29132
S7-22-09 Amendments to Rules Requiring Internet Availability of Proxy Materials
Corporation Finance
Final Rule
Amendments to Rules Requiring Internet Availability of Proxy Materials
33-9108, 34-61560, IC-29131
View Related Activity
Delegations of Authority to the Director of Its Division of Enforcement
Final Rule
Delegations of Authority to the Director of Its Division of Enforcement
34-61339
S7-12-09 Shareholder Approval of Executive Compensation of TARP Recipients
Corporation Finance
Final Rule
Shareholder Approval of Executive Compensation of TARP Recipients
34-61335
View Related Activity
S7-23-07 Principal Trades with Certain Advisory Clients
Final Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
IA-2965A
View Related Activity
S7-09-09 Custody of Funds or Securities of Clients by Investment Advisers
Investment Management
Final Rule
Custody of Funds or Securities of Clients by Investment Advisers
IA-2968
View Related Activity
S7-23-07 Principal Trades with Certain Advisory Clients
Final Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
IA-2965
View Related Activity
S7-13-09 Proxy Disclosure Enhancements
Corporation Finance
Final Rule
Proxy Disclosure Enhancements
33-9089
View Related Activity
S7-23-09 Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
Corporation Finance
Final Rule
Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
33-9087
View Related Activity
S7-04-09 Amendments to Rules for Nationally Recognized Statistical Rating Organizations
Trading and Markets
Final Rule
Amendments to Rules for Nationally Recognized Statistical Rating Organizations
34-61050
View Related Activity
S7-09-07 Final Model Privacy Form Under the Gramm-Leach-Bliley Act
Final Rule
Final Model Privacy Form Under the Gramm-Leach-Bliley Act
34-61003, IA-2950, IC-28997, 34-59769
View Related Activity
S7-29-04 Regulation S-AM: Limitations on Affiliate Marketing; Extension of Compliance Date
Final Rule
Regulation S-AM: Limitations on Affiliate Marketing; Extension of Compliance Date
34-60946, IA-2946, IC-28990
View Related Activity
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-9077, 34-60875, 39-2468, IC-28984
S7-06-03 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
33-9072, 34-60813
View Related Activity
S7-19-08 References to Ratings of Nationally Recognized Statistical Rating Organizations
Trading and Markets
Final Rule
References to Ratings of Nationally Recognized Statistical Rating Organizations
34-60789
View Related Activity
S7-20-09 Disclosure of Certain Money Market Fund Portfolio Holdings
Investment Management
Final Rule
Disclosure of Certain Money Market Fund Portfolio Holdings
IC-28903
View Related Activity
S7-02-09 Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps
Corporation Finance
Final Rule
Extension of Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps
33-9063, 34-60663, 39-2467
View Related Activity
Delegation of Authority to Director of Division of Enforcement
Final Rule
Delegation of Authority to Director of Division of Enforcement
34-60448
S7-29-04 Regulation S-AM: Limitations on Affiliate Marketing
Final Rule
Regulation S-AM: Limitations on Affiliate Marketing
34-60423, IC-28842, IA-2911
View Related Activity
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-9058, 34-60390, 39-2466, IC-28838 Dates:
S7-30-08 Amendments to Regulation SHO
Trading and Markets
Final Rule
Amendments to Regulation SHO
34-60388
View Related Activity
S7-06-03 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
33-8934A, 34-58028A, 33-8889
View Related Activity
S7-28-07 Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies
Final Rule
Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies
33-8998A, IC-28584A
View Related Activity
S7-12-08 Interactive Data for Mutual Fund Risk/Return Summary
Investment Management
Final Rule
Interactive Data for Mutual Fund Risk/Return Summary; Correction
33-9006A, 34-59391A, 39-2462A, IC-28617A
View Related Activity
Delegation of Authority to the General Counsel
Final Rule
Delegation of Authority to the General Counsel
34-59829
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-9027, 34-59776, 39-2465, IC-28698
Technical Amendments to Rules, Forms, Schedules, and Codification of Financial Reporting Policies
Final Rule
Technical Amendments to Rules, Forms, Schedules, and Codification of Financial Reporting Policies
33-9026, 34-59775, FR-79
Displaying 601 - 700 of 1541

Last Reviewed or Updated: July 22, 2024