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:S7-2024-01 |
Rulemaking:Qualifying Venture Capital Funds Inflation Adjustment
Investment Management
|
Status:
Proposed
Rule
Qualifying Venture Capital Funds Inflation Adjustment
IC-35129
|
| Issue Date: | File Number:S7-18-23 |
Rulemaking:Volume-Based Exchange Transaction Pricing for NMS Stocks
Trading and Markets
|
Status:
Proposed
Rule
Volume-Based Exchange Transaction Pricing for NMS Stocks
34-98766
|
| Issue Date: | File Number:S7-16-23 |
Rulemaking:Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities
Investment Management
|
Status:
Proposed
Rule
Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities
33-11250,
34-98624,
IC-35028
|
| Issue Date: | File Number:S7-15-23 |
Rulemaking:EDGAR Filer Access and Account Management
Edgar Business Office
|
Status:
Proposed
Rule
EDGAR Filer Access and Account Management
33-11232,
34-98368,
39-2551,
IC-34996
|
| Issue Date: | File Number:S7-04-23 |
Rulemaking:Safeguarding Advisory Client Assets
Investment Management
|
Status:
Proposed
Rule
Safeguarding Advisory Client Assets; Reopening of Comment Period
IA-6384
|
| Issue Date: | File Number:S7-13-23 |
Rulemaking:Exemption for Certain Investment Advisers Operating Through the Internet
Investment Management
|
Status:
Proposed
Rule
Exemption for Certain Investment Advisers Operating Through the Internet
IA-6354
|
| Issue Date: | File Number:S7-12-23 |
Rulemaking:Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers
Trading and Markets, Investment Management
|
Status:
Proposed
Rule
Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers
34-97990
|
| Issue Date: | File Number: |
Rulemaking:Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule
Trading and Markets
|
Status:
Proposed
Rule
Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule
34-97877
|
| Issue Date: | File Number:S7-32-10 |
Rulemaking:Reopening of Comment Period for Position Reporting of Large Security-Based Swap
Trading and Markets
|
Status:
Proposed
Rule
Reopening of Comment Period for Position Reporting of Large Security-Based Swap Positions
34-97762
|
| Issue Date: | File Number: |
Rulemaking:Covered Clearing Agency Resilience and Recovery and Wind-Down Plans
Trading and Markets
|
Status:
Proposed
Rule
Covered Clearing Agency Resilience and Recovery and Wind-Down Plans
34-97516
|
| Issue Date: | File Number:S7-06-22 |
Rulemaking:Modernization of Beneficial Ownership Reporting
Corporation Finance
|
Status:
Proposed
Rule
Reopening of Comment Period for Modernization of Beneficial Ownership Reporting
33-11180
|
| Issue Date: | File Number:S7-02-22 |
Rulemaking:Supplemental Information and Reopening of Comment Period for Amendments to Exchange Act Rule 3b-16 Regarding the Definition of “Exchange”
Trading and Markets
|
Status:
Proposed
Rule
Supplemental Information and Reopening of Comment Period for Amendments Regarding the Definition of “Exchange”
34-97309
|
| Issue Date: | File Number:S7-08-23 |
Rulemaking:Electronic Submission of Certain Material Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report Other Rel. Nos.: 34-97182; IC-34864
Trading and Markets
|
Status:
Proposed
Rule
Electronic Submission of Certain Material Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report Other Rel. Nos.: 34-97182; IC-34864
33-11176,
34-97182,
IC-34864
|
| Issue Date: | File Number:S7-07-23 |
Rulemaking:Regulation Systems Compliance and Integrity
Trading and Markets
|
Status:
Proposed
Rule
Regulation Systems Compliance and Integrity
34-97143
|
| Issue Date: | File Number:S7-06-23 |
Rulemaking:Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, the Municipal Securities Rulemaking Board, National Securities Associations, National Securities Exchanges, Security-Based Swap Data Repositories, Security-Based Swap Dealers, and Transfer Agents
Trading and Markets
|
Status:
Proposed
Rule
Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, the Municipal Securities Rulemaking Board, National Securities Associations, National Securities Exchanges, Security-Based Swap Data Reposito
34-97142
|
| Issue Date: | File Number:S7-05-23 |
Rulemaking:Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information
Investment Management, Trading and Markets
|
Status:
Proposed
Rule
Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information
34-97141,
IA-6262,
IC-34854
|
| Issue Date: | File Number:S7-04-23 |
Rulemaking:Safeguarding Advisory Client Assets
Investment Management
|
Status:
Proposed
Rule
Safeguarding Advisory Client Assets
IA-6240
|
| Issue Date: | File Number:S7-03-23 |
Rulemaking:The Commission's Privacy Act Regulations
FOIA Services
|
Status:
Proposed
Rule
The Commission's Privacy Act Regulations
34-96906,
PA-59
|
| Issue Date: | File Number:S7-02-23 |
Rulemaking:Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
Ethics Counsel
|
Status:
Proposed
Rule
Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
34-96768
|
| Issue Date: | File Number:S7-01-23 |
Rulemaking:Prohibition Against Conflicts of Interest in Certain Securitizations
Corporation Finance
|
Status:
Proposed
Rule
Prohibition Against Conflicts of Interest in Certain Securitizations
33-11151
|
| Issue Date: | File Number:S7-32-22 |
Rulemaking:Regulation Best Execution
Trading and Markets
|
Status:
Proposed
Rule
Regulation Best Execution
34-96496
|
| Issue Date: | File Number:S7-31-22 |
Rulemaking:Order Competition Rule
Trading and Markets
|
Status:
Proposed
Rule
Order Competition Rule
34-96495
|
| Issue Date: | File Number:S7-30-22 |
Rulemaking:Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders
Trading and Markets
|
Status:
Proposed
Rule
Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders
34-96494
|
| Issue Date: | File Number:S7-29-22 |
Rulemaking:Disclosure of Order Execution Information
Trading and Markets
|
Status:
Proposed
Rule
Disclosure of Order Execution Information
34-96493
|
| Issue Date: | File Number:S7-21-21 |
Rulemaking:Share Repurchase Disclosure Modernization
Corporation Finance, Investment Management
|
Status:
Proposed
Rule
Reopening of Comment Period for Share Repurchase Disclosure Modernization
34-96458,
IC-34768
|
| Issue Date: | File Number:S7-26-22 |
Rulemaking:Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting
Investment Management
|
Status:
Proposed
Rule
Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting
33-11130
|
| Issue Date: | File Number:S7-25-22 |
Rulemaking:Outsourcing by Investment Advisers
Investment Management
|
Status:
Proposed
Rule
Outsourcing by Investment Advisers
IA-6176
|
| Issue Date: | File Number:S7-32-10, S7-18-21, S7-21-21, S7-22-21, S7-03-22, S7-08-22, S7-09-22, S7-10-22, S7-13-22, S7-16-22, S7-17-22, S7-18-22 |
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:
Proposed
Rule
Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments
33-11117,
34-96005,
IA-6162,
IC-34724
|
| Issue Date: | File Number:S7-23-22 |
Rulemaking:Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities
Trading and Markets
|
Status:
Proposed
Rule
Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities
34-95763
|
| Issue Date: | File Number:S7-22-22 |
Rulemaking:Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
Investment Management
|
Status:
Proposed
Rule
Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
IA-6083
|
| Issue Date: | File Number:S7-21-22 |
Rulemaking:Clearing Agency Governance and Conflicts of Interest
Trading and Markets
|
Status:
Proposed
Rule
Clearing Agency Governance and Conflicts of Interest
34-95431
|
| Issue Date: | File Number:S7-05-15 |
Rulemaking:Exemption for Certain Exchange Members
Trading and Markets
|
Status:
Proposed
Rule
Exemption for Certain Exchange Members
34-95388
|
| Issue Date: | File Number:S7-20-22 |
Rulemaking:Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8
Corporation Finance
|
Status:
Proposed
Rule
Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8
34-95267,
IC-34647
|
| Issue Date: | File Number:S7-12-15 |
Rulemaking:Listing Standards for Recovery of Erroneously Awarded Compensation
Corporation Finance
|
Status:
Proposed
Rule
Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation
33-11071,
34-95057,
IC-34610
|
| Issue Date: | File Number:S7-17-22 |
Rulemaking:Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment Practices
Investment Management
|
Status:
Proposed
Rule
Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment Practices
33-11068,
34-94985,
IA-6034,
IC-34594
|
| Issue Date: | File Number:S7-16-22 |
Rulemaking:Investment Company Names
Investment Management
|
Status:
Proposed
Rule
Investment Company Names
33-11067,
34-94981,
IC-34593
|
Displaying 1 - 100 of 926
Modified: Feb. 20, 2024