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.
Issue Date | File Number | Rulemaking | Status |
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S7-2024-05 | Financial Data Transparency Act Joint Data Standards
Corporation Finance |
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S7-2024-02 | Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers
Investment Management |
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S7-2024-01 | Qualifying Venture Capital Funds Inflation Adjustment
Investment Management |
View Related Activity | |
S7-18-23 | Volume-Based Exchange Transaction Pricing for NMS Stocks
Trading and Markets |
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S7-16-23 | Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities
Investment Management |
View Related Activity | |
S7-15-23 | EDGAR Filer Access and Account Management
EDGAR Business Office |
View Related Activity | |
S7-04-23 | Safeguarding Advisory Client Assets
Investment Management |
View Related Activity | |
S7-13-23 | Exemption for Certain Investment Advisers Operating Through the Internet
Investment Management |
View Related Activity | |
S7-12-23 | Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers
Trading and Markets, Investment Management |
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S7-11-23 | Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule
Trading and Markets |
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S7-32-10 | Reopening of Comment Period for Position Reporting of Large Security-Based Swap
Trading and Markets |
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S7-10-23 | Covered Clearing Agency Resilience and Recovery and Wind-Down Plans
Trading and Markets |
View Related Activity | |
S7-06-22 | Modernization of Beneficial Ownership Reporting
Corporation Finance |
View Related Activity | |
S7-02-22 | Supplemental Information and Reopening of Comment Period for Amendments to Exchange Act Rule 3b-16 Regarding the Definition of “Exchange”
Trading and Markets |
View Related Activity | |
S7-08-23 | 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 |
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S7-07-23 | Regulation Systems Compliance and Integrity
Trading and Markets |
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S7-06-23 | 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 |
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S7-05-23 | Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information
Investment Management, Trading and Markets |
View Related Activity | |
S7-04-23 | Safeguarding Advisory Client Assets
Investment Management |
View Related Activity | |
S7-03-23 | The Commission's Privacy Act Regulations
FOIA Services |
View Related Activity | |
S7-02-23 | Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
Ethics Counsel |
View Related Activity | |
S7-01-23 | Prohibition Against Conflicts of Interest in Certain Securitizations
Corporation Finance |
View Related Activity | |
S7-32-22 | Regulation Best Execution
Trading and Markets |
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S7-31-22 | Order Competition Rule
Trading and Markets |
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S7-30-22 | Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders
Trading and Markets |
View Related Activity | |
S7-29-22 | Disclosure of Order Execution Information
Trading and Markets |
View Related Activity | |
S7-21-21 | Share Repurchase Disclosure Modernization
Corporation Finance, Investment Management |
View Related Activity | |
S7-26-22 | Form N-PORT and Form N-CEN Reporting; Guidance on Open-End Fund Liquidity Risk
Investment Management |
View Related Activity | |
S7-25-22 | Outsourcing by Investment Advisers
Investment Management |
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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 | Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers
Trading and Markets |
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S7-23-22 | 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 |
View Related Activity | |
S7-22-22 | Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
Investment Management |
View Related Activity | |
S7-21-22 | Clearing Agency Governance and Conflicts of Interest
Trading and Markets |
View Related Activity | |
S7-05-15 | Exemption for Certain Exchange Members
Trading and Markets |
View Related Activity | |
S7-20-22 | Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8
Corporation Finance |
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S7-12-15 | Listing Standards for Recovery of Erroneously Awarded Compensation
Corporation Finance |
View Related Activity |
Last Reviewed or Updated: Sept. 13, 2024