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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S7-17-22 | Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment Practices
Investment Management |
View Related Activity | |
S7-16-22 | Investment Company Names
Investment Management |
View Related Activity | |
S7-11-22 | Removal of References to Credit Ratings From Regulation M
Trading and Markets |
View Related Activity | |
S7-03-22 | Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
Investment Management |
View Related Activity | |
S7-10-22 | The Enhancement and Standardization of Climate-Related Disclosures for Investors
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 | |
S7-14-22 | Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities
Trading and Markets |
View Related Activity | |
S7-13-22 | Special Purpose Acquisition Companies, Shell Companies, and Projections
Corporation Finance |
View Related Activity | |
S7-12-22 | Further Definition of "As a Part of a Regular Business" in the Definition of Dealer and Government Securities Dealer
Trading and Markets |
View Related Activity | |
S7-10-22 | The Enhancement and Standardization of Climate-Related Disclosures for Investors
Corporation Finance |
View Related Activity | |
S7-09-22 | Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure
Corporation Finance |
View Related Activity | |
S7-18-21 | Reporting of Securities Loans
Trading and Markets |
View Related Activity | |
S7-08-22 | Short Position and Short Activity Reporting by Institutional Investment Managers
Investment Management, Trading and Markets |
View Related Activity | |
S7-08-22 | Short Position and Short Activity Reporting by Institutional Investment Managers
Investment Management, Trading and Markets |
View Related Activity | |
S7-06-22 | Modernization of Beneficial Ownership Reporting
Corporation Finance |
View Related Activity | |
S7-07-22 | Whistleblower Program Rules
General Counsel |
View Related Activity | |
S7-05-22 | Shortening the Securities Transaction Settlement Cycle
Investment Management, Trading and Markets |
View Related Activity | |
S7-04-22 | Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies
Investment Management, Investment Management |
View Related Activity | |
S7-03-22 | Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
Investment Management |
View Related Activity | |
S7-07-15 | Pay Versus Performance
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 | |
S7-01-22 | 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 |
View Related Activity | |
S7-20-21 | Insider Trading Arrangements and Related Disclosures
Corporation Finance |
View Related Activity | |
S7-22-21 | Money Market Fund Reforms
Investment Management |
View Related Activity | |
S7-32-10 | Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers
Trading and Markets |
View Related Activity | |
S7-21-21 | Share Repurchase Disclosure Modernization
Corporation Finance, Investment Management |
View Related Activity | |
S7-18-21 | Reporting of Securities Loans
Trading and Markets |
View Related Activity | |
S7-19-21 | Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
Trading and Markets |
View Related Activity | |
S7-17-21 | Proxy Voting Advice
Corporation Finance |
View Related Activity | |
S7-15-21 | 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 |
View Related Activity | |
S7-16-21 | Updating EDGAR Filing Requirements
Corporation Finance |
View Related Activity | |
S7-12-15 | Listing Standards for Recovery of Erroneously Awarded Compensation
Corporation Finance |
View Related Activity | |
S7-14-11 | Credit Risk Retention-Notification of Determination of Review
Corporation Finance |
View Related Activity | |
S7-24-16 | Universal Proxy
Corporation Finance |
View Related Activity | |
S7-24-20 | Updating EDGAR Filing Requirements and Form 144 Filings
Corporation Finance |
View Related Activity | |
S7-19-20 | Temporary Rules to Include Certain "Platform Workers" in Compensatory Offerings Under Rule 701 and Form S-8
Corporation Finance |
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S7-18-20 | Modernization of Rules and Forms for Compensatory Securities Offerings and Sales
Corporation Finance |
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S7-12-20 | Regulation ATS for ATSs That Trade U.S. Government Securities, NMS Stock, and Other Securities; Regulation SCI for ATSs That Trade U.S. Treasury Securities and Agency Securities; and Electronic Corporate Bond and Municipal Securities Markets
Trading and Markets |
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S7-11-20 | Administration of the Electronic Data Gathering, Analysis, and Retrieval System
EDGAR Business Office |
View Related Activity | |
S7-10-20 | Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail To Enhance Data Security
Trading and Markets |
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S7-09-20 | Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements
Investment Management |
View Related Activity | |
S7-08-20 | Reporting Threshold for Institutional Investment Managers
Investment Management |
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S7-07-20 | Good Faith Determinations of Fair Value
Investment Management |
View Related Activity | |
S7-05-20 | Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets
Corporation Finance |
View Related Activity | |
S7-03-20 | Market Data Infrastructure
Trading and Markets |
View Related Activity | |
S7-01-20 | Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information
Corporation Finance |
View Related Activity | |
S7-02-20 | Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Trading and Markets, Investment Management |
View Related Activity | |
S7-26-19 | Qualifications of Accountants
Investment Management |
View Related Activity | |
S7-25-19 | Accredited Investor Definition
Corporation Finance |
View Related Activity | |
S7-24-19 | Disclosure of Payments by Resource Extraction Issuers
Corporation Finance |
View Related Activity | |
S7-24-15 | Use of Derivatives by Registered Investment Companies and Business Development Companies
Investment Management |
View Related Activity | |
S7-22-19 | Exemptions From the Proxy Rules for Proxy Voting Advice
Corporation Finance |
View Related Activity | |
S7-23-19 | Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8
Corporation Finance |
View Related Activity | |
S7-21-19 | Investment Adviser Marketing
Investment Management |
View Related Activity | |
S7-20-19 | Filing Fee Disclosure and Payment Methods Modernization
Corporation Finance, Economic and Risk Analysis |
View Related Activity | |
S7-19-19 | Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940
Investment Management |
View Related Activity | |
S7-15-19 | Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments and Modified Procedures for Proposed NMS Plans and Plan Amendments
Trading and Markets |
View Related Activity | |
S7-14-19 | Publication or Submission of Quotations Without Specified Information
Trading and Markets |
View Related Activity |
Last Reviewed or Updated: Sept. 13, 2024