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:S7-03-21 |
Rulemaking:Holding Foreign Companies Accountable Act Disclosure
Corporation Finance
|
Status:
Interim Final
Rule
Holding Foreign Companies Accountable Act Disclosure
34-91364,
IC-34227
|
| Issue Date: | File Number: |
Rulemaking:Temporary Amendments to Regulation Crowdfunding; Extension
Corporation Finance
|
Status:
Interim Final
Rule
Temporary Amendments to Regulation Crowdfunding; Extension
33-10829
|
| Issue Date: | File Number: |
Rulemaking:Temporary Amendments to Regulation Crowdfunding
Corporation Finance
|
Status:
Interim Final
Rule
Temporary Amendments to Regulation Crowdfunding
33-10781
|
| Issue Date: | File Number: | Rulemaking:Relief for Form ID Filers and Regulation Crowdfunding and Regulation A Issuers Related to Coronavirus Disease 2019 (COVID-19) |
Status:
Interim Final
Rule
Relief for Form ID Filers and Regulation Crowdfunding and Regulation A Issuers Related to Coronavirus Disease 2019 (COVID-19)
33-10768,
34-88492,
39-2531,
IC-33832
|
| Issue Date: | File Number:S7-02-19 |
Rulemaking:Amendments to the Timing Requirements for Filing Reports on Form N-Port
Investment Management
|
Status:
Interim Final
Rule
Amendments to the Timing Requirements for Filing Reports on Form N-Port
IC-33384
|
| Issue Date: | File Number: |
Rulemaking:Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Michael
Corporation Finance
|
Status:
Interim Final
Rule
Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Michael
33-10567
|
| Issue Date: | File Number: |
Rulemaking:Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Florence
Corporation Finance
|
Status:
Interim Final
Rule
Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Florence
33-10556
|
| Issue Date: | File Number:S7-03-18 | Rulemaking:Investment Company Liquidity Risk Management Programs; Commission Guidance for In-Kind ETFs |
Status:
Interim Final
Rule
Investment Company Liquidity Risk Management Programs; Commission Guidance for In-Kind ETFs
IC-33010
|
| Issue Date: | File Number: | Rulemaking:Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Harvey, Hurricane Irma, and Hurricane Maria |
Status:
Interim Final
Rule
Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Harvey, Hurricane Irma, and Hurricane Maria
33-10416
|
| Issue Date: | File Number:S7-26-11 |
Rulemaking:Exemptions for Security-Based Swaps
Corporation Finance
|
Status:
Interim Final
Rule
Exemptions for Security-Based Swaps
33-10305
|
| Issue Date: | File Number: | Rulemaking:Interim Final Temporary Rule Regarding the Consolidated Audit Trail Dates: See Notification regarding expired temporary rule, |
Status:
Interim Final
Rule
Interim Final Temporary Rule Regarding the Consolidated Audit Trail Dates: See Notification regarding expired temporary rule,
34-79237
|
| Issue Date: | File Number:S7-11-16 |
Rulemaking:Adjustments to Civil Monetary Penalty Amounts
General Counsel
|
Status:
Interim Final
Rule
Adjustments to Civil Monetary Penalty Amounts
33-10104
|
| Issue Date: | File Number:S7-09-16 |
Rulemaking:Form 10-K Summary
Corporation Finance
|
Status:
Interim Final
Rule
Form 10-K Summary
34-77969
|
| Issue Date: | File Number:S7-01-16 |
Rulemaking:Simplification of Disclosure Requirements for Emerging Growth Companies and Forward Incorporation by Reference on Form S-1 for Smaller Reporting Companies
Corporation Finance
|
Status:
Interim Final
Rule
Simplification of Disclosure Requirements for Emerging Growth Companies and Forward Incorporation by Reference on Form S-1 for Smaller Reporting Companies
33-10003
|
| Issue Date: | File Number:S7-26-11 |
Rulemaking:Exemptions for Security-Based Swaps
Corporation Finance
|
Status:
Interim Final
Rule
Extension of Exemptions for Security-Based Swaps
33-9545,
34-71482,
39-2495
|
| Issue Date: | File Number:S7-01-14 |
Rulemaking:Treatment of Certain Collateralized Debt Obligations Backed Primarily by Trust Preferred Securities With Regard to Prohibitions and Restrictions on Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Investment Management, Trading and Markets
|
Status:
Interim Final
Rule
Treatment of Certain Collateralized Debt Obligations Backed Primarily by Trust Preferred Securities With Regard to Prohibitions and Restrictions on Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
BHCA-2
|
| Issue Date: | File Number:S7-19-10 |
Rulemaking:Registration of Municipal Advisors (Corrected to conform to Federal Register version)
Municipal Securities
|
Status:
Interim Final
Rule
Extension of Temporary Registration of Municipal Advisors
34-70468
|
| Issue Date: | File Number:S7-26-11 |
Rulemaking:Exemptions for Security-Based Swaps
Corporation Finance
|
Status:
Interim Final
Rule
Extension of Exemptions for Security-Based Swaps
33-9383,
34-68753,
39-2489
|
| Issue Date: | File Number:S7-19-10 |
Rulemaking:Temporary Registration of Municipal Advisors
Municipal Securities
|
Status:
Interim Final
Rule
Extension of Temporary Registration of Municipal Advisors
34-67901
|
| Issue Date: | File Number:S7-30-11 |
Rulemaking:Retail Foreign Exchange Transactions
Trading and Markets
|
Status:
Interim Final
Rule
Extension of Interim Final Temporary Rule on Retail Foreign Exchange Transactions
34-67405
|
| Issue Date: | File Number:S7-19-10 |
Rulemaking:Temporary Registration of Municipal Advisors
Municipal Securities
|
Status:
Interim Final
Rule
Extension of Temporary Registration of Municipal Advisors
34-66020
|
| Issue Date: | File Number:S7-30-11 |
Rulemaking:Retail Foreign Exchange Transactions
Trading and Markets
|
Status:
Interim Final
Rule
Retail Foreign Exchange Transactions
34-64874
|
| Issue Date: | File Number:S7-29-11 |
Rulemaking:Amendment to Rule Filing Requirements for Dually-Registered Clearing Agencies
Trading and Markets
|
Status:
Interim Final
Rule
Amendment to Rule Filing Requirements for Dually-Registered Clearing Agencies
34-64832
|
| Issue Date: | 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
Corporation Finance
|
Status:
Interim Final
Rule
Extension of Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps
33-9232,
34-64800,
39-2476
|
| Issue Date: | File Number:S7-26-11 |
Rulemaking:Exemptions for Security-Based Swaps
Corporation Finance
|
Status:
Interim Final
Rule
Exemptions for Security-Based Swaps
33-9231,
34-64794,
39-2475
|
| Issue Date: | 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
Corporation Finance
|
Status:
Interim Final
Rule
Extension of Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps
33-9158,
34-63348,
39-2472
|
| Issue Date: | File Number:S7-28-10 |
Rulemaking:Reporting of Security-Based Swap Transaction Data
Trading and Markets
|
Status:
Interim Final
Rule
Reporting of Security-Based Swap Transaction Data
34-63094
|
| Issue Date: | File Number:S7-19-10 |
Rulemaking:Temporary Registration of Municipal Advisors
Municipal Securities
|
Status:
Interim Final
Rule
Temporary Registration of Municipal Advisors
34-62824
|
| Issue Date: | File Number:S7-20-09 |
Rulemaking:Disclosure of Certain Money Market Fund Portfolio Holdings
Investment Management
|
Status:
Interim Final
Rule
Disclosure of Certain Money Market Fund Portfolio Holdings
IC-28903
|
| Issue Date: | File Number:S7-32-08 |
Rulemaking:Temporary Exemption for Liquidation of Certain Money Market Funds
Investment Management
|
Status:
Interim Final
Rule
Temporary Exemption for Liquidation of Certain Money Market Funds
IC-28487
|
| Issue Date: | File Number:S7-31-08 |
Rulemaking:Disclosure of Short Sales and Short Positions by Institutional Investment Managers
Corporation Finance, Investment Management, Trading and Markets
|
Status:
Interim Final
Rule
Disclosure of Short Sales and Short Positions by Institutional Investment Managers
34-58785
|
| Issue Date: | File Number:S7-30-08 |
Rulemaking:Amendments to Regulation SHO
Trading and Markets
|
Status:
Interim Final
Rule
Amendments to Regulation SHO
34-58773
|
| Issue Date: | File Number:S7-23-07 | Rulemaking:Principal Trades with Certain Advisory Clients |
Status:
Interim Final
Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
IA-2653
|
Displaying 1 - 47 of 47
Modified: Feb. 20, 2024