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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S7-02-17 | Update of Statistical Disclosures for Bank and Savings and Loan Registrants
Corporation Finance |
View Related Activity | |
S7-11-19 | Modernization of Regulation S-K Items 101, 103, and 105
Corporation Finance |
View Related Activity | |
S7-09-19 | Customer Margin Rules Relating to Security Futures
Trading and Markets |
View Related Activity | |
S7-07-19 | Cross-Border Application of Certain Security-Based Swap Requirements
Trading and Markets |
View Related Activity | |
S7-06-19 | Accelerated Filer and Large Accelerated Filer Definitions
Corporation Finance |
View Related Activity | |
S7-05-19 | Amendments to Financial Disclosures About Acquired and Disposed Businesses
Chief Accountant, Corporation Finance, Investment Management |
View Related Activity | |
S7-03-19 | Securities Offering Reform for Closed-End Investment Companies
Investment Management |
View Related Activity | |
S7-01-19 | Solicitations of Interest Prior to a Registered Public Offering
Corporation Finance, Investment Management |
View Related Activity | |
S7-23-18 | Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
Investment Management |
View Related Activity | |
S7-30-18 | Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds | View Related Activity | |
S7-27-18 | Fund of Funds Arrangements
Investment Management |
View Related Activity | |
S7-28-18 | Risk Mitigation Techniques for Uncleared Security-Based Swaps
Trading and Markets |
View Related Activity | |
S7-23-18 | Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
Investment Management |
View Related Activity | |
S7-08-12 | Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers
Trading and Markets |
View Related Activity | |
S7-22-18 | Amendments to Rules for Nationally Recognized Statistical Rating Organizations
Credit Ratings |
View Related Activity | |
S7-21-18 | Amendment to Single Issuer Exemption for Broker-Dealers
Trading and Markets |
View Related Activity | |
S7-14-18 | 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 | |
S7-19-18 | Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities
Corporation Finance |
View Related Activity | |
S7-16-18 | Whistleblower Program Rules
Enforcement, General Counsel |
View Related Activity | |
S7-15-18 | Exchange-Traded Funds
Investment Management |
View Related Activity | |
S7-14-18 | 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 | |
S7-11-18 | Covered Investment Fund Research Reports
Corporation Finance, Investment Management, Trading and Markets |
View Related Activity | |
S7-10-18 | Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships
Chief Accountant |
View Related Activity | |
S7-07-18 | Regulation Best Interest: The Broker-Dealer Standard of Conduct
Trading and Markets, Investment Management |
View Related Activity | |
S7-09-18 | Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation
Investment Management |
View Related Activity | |
S7-08-18 | Form CRS Relationship Summary; Amendments to Form ADV
Investment Management |
View Related Activity | |
S7-04-18 | Investment Company Liquidity Disclosure
Investment Management |
View Related Activity | |
S7-05-18 | Transaction Fee Pilot for NMS Stocks
Trading and Markets |
View Related Activity | |
S7-09-17 | Amendments to the Commission's Freedom of Information Act Regulations
General Counsel |
View Related Activity | |
S7-08-17 | FAST Act Modernization and Simplification of Regulation S-K
Corporation Finance, Investment Management |
View Related Activity | |
S7-06-17 | Covered Securities Pursuant to Section 18 of the Securities Act of 1933
Trading and Markets |
View Related Activity | |
S7-05-17 | Exemptions From Investment Adviser Registration for Advisers to Small Business Investment Companies
Investment Management |
View Related Activity | |
S7-03-17 | Inline XBRL Filing of Tagged Data
Corporation Finance |
View Related Activity | |
S7-01-17 | Amendments to Municipal Securities Disclosure
Municipal Securities |
View Related Activity | |
S7-24-16 | Universal Proxy
Corporation Finance |
View Related Activity | |
S7-22-16 | Securities Transaction Settlement Cycle
Trading and Markets |
View Related Activity | |
S7-23-16 | Definition of "Covered Clearing Agency"
Trading and Markets |
View Related Activity | |
S7-15-16 | Disclosure Update and Simplification
Corporation Finance |
View Related Activity | |
S7-19-16 | Exhibit Hyperlinks and HTML Format
Corporation Finance |
View Related Activity | |
S7-10-16 | Modernization of Property Disclosures for Mining Registrants
Corporation Finance |
View Related Activity | |
S7-14-16 | Disclosure of Order Handling Information
Trading and Markets |
View Related Activity | |
S7-15-16 | Disclosure Update and Simplification
Corporation Finance |
View Related Activity | |
S7-13-16 | Adviser Business Continuity and Transition Plans
Investment Management |
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S7-12-16 | Smaller Reporting Company Definition
Corporation Finance |
View Related Activity | |
S7-10-16 | Modernization of Property Disclosures for Mining Registrants
Corporation Finance |
View Related Activity | |
S7-07-16 | Incentive-Based Compensation Arrangements
Trading and Markets, Investment Management |
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S7-27-15 | Transfer Agent Regulations; Extension of Comment Period
Trading and Markets |
View Related Activity | |
S7-02-16 | Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Trading and Markets |
View Related Activity | |
S7-25-15 | Disclosure of Payments by Resource Extraction Issuers
Corporation Finance |
View Related Activity | |
S7-15-15 | Access to Data Obtained by Security-Based Swap Data Repositories
Trading and Markets |
View Related Activity | |
S7-25-15 | Disclosure of Payments by Resource Extraction Issuers
Corporation Finance |
View Related Activity | |
S7-26-15 | Establishing the Form and Manner with which Security-Based Swap Data Repositories Must Make Security-Based Swap Data Available to the Commission | ||
S7-24-15 | Use of Derivatives by Registered Investment Companies and Business Development Companies
Investment Management |
View Related Activity | |
S7-23-15 | Disclosure Update and Simplification
Corporation Finance |
View Related Activity | |
S7-22-15 | Exemptions To Facilitate Intrastate and Regional Securities Offerings
Corporation Finance |
View Related Activity | |
S7-18-15 | Amendments to the Commission's Rules of Practice
General Counsel |
View Related Activity | |
S7-19-15 | Amendments to the Commission's Rules of Practice (Conformed to Federal Register version) Effective Date: The final rules are effective January 29, 2021, except for Instruction 8 which is effective July 12, 2021 Compliance Date: April 12, 2021
General Counsel |
View Related Activity | |
S7-16-15, S7-08-15 | Investment Company Liquidity Risk Management Programs
Investment Management |
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S7-15-15 | Access to Data Obtained by Security-Based Swap Data Repositories
Trading and Markets |
View Related Activity | |
S7-14-15 | Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved in Effecting Security-Based Swaps
Trading and Markets |
View Related Activity | |
S7-08-15 | Investment Company Reporting Modernization
Investment Management |
View Related Activity | |
S7-09-15 | Form ADV and Investment Advisers Act Rules
Investment Management |
View Related Activity | |
S7-06-15 | Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent; Security-Based Swap Dealer De Minimis Exception
Trading and Markets |
View Related Activity | |
S7-07-15 | Pay Versus Performance
Corporation Finance |
View Related Activity | |
S7-05-15 | Exemption for Certain Exchange Members
Trading and Markets |
View Related Activity | |
S7-03-15 | Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Trading and Markets |
View Related Activity | |
S7-01-15 | Disclosure of Hedging by Employees, Officers and Directors
Corporation Finance |
View Related Activity | |
S7-12-14 | Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act
Corporation Finance |
View Related Activity | |
S7-09-14 | Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
Corporation Finance |
View Related Activity | |
S7-23-07 | Principal Trades with Certain Advisory Clients | View Related Activity |
Last Reviewed or Updated: Sept. 13, 2024