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
S7-40-10 Conflict Minerals
Corporation Finance
Proposed Rule
Conflict Minerals
View Related Activity
S7-41-10 Mine Safety Disclosure
Corporation Finance
Proposed Rule
Mine Safety Disclosure
View Related Activity
S7-44-10 Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations
Trading and Markets
Proposed Rule
Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations
View Related Activity
S7-39-10 Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant"
Trading and Markets
Proposed Rule
Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant"
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S7-23-07 Principal Trades with Certain Advisory Clients
Proposed Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
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S7-35-10 Security-Based Swap Data Repository Registration, Duties, and Core Principles
Trading and Markets
Proposed Rule
Security-Based Swap Data Repository Registration, Duties, and Core Principles; Correction
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S7-34-10 Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Trading and Markets
Proposed Rule
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
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S7-37-10 Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers
Investment Management
Proposed Rule
Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers
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S7-33-10 Securities Whistleblower Incentives and Protections
Proposed Rule
Proposed Rules for Implementing the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934
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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
Proposed Rule
Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps
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S7-24-10 Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Corporation Finance
Proposed Rule
33-9148a correction
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S7-30-10 Reporting of Proxy Votes on Executive Compensation and Other Matters
Investment Management
Proposed Rule
Reporting of Proxy Votes on Executive Compensation and Other Matters
S7-31-10 Shareholder Approval of Executive Compensation and Golden Parachute Compensation
Corporation Finance
Proposed Rule
Shareholder Approval of Executive Compensation and Golden Parachute Compensation
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S7-27-10 Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges With Respect to Security-Based Swaps Under Regulation MC
Trading and Markets
Proposed Rule
Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges With Respect to Security-Based Swaps Under Regulation MC
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S7-26-10 Issuer Review of Assets in Offerings of Asset-Backed Securities
Corporation Finance
Proposed Rule
Issuer Review of Assets in Offerings of Asset-Backed Securities
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S7-25-10 Family Offices
Investment Management
Proposed Rule
Family Offices
View Related Activity
S7-24-10 Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Corporation Finance
Proposed Rule
Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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S7-22-10 Short-Term Borrowings Disclosure
Corporation Finance
Proposed Rule
Short-Term Borrowings Disclosure
S7-18-10 Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
Corporation Finance
Proposed Rule
Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
View Related Activity
S7-15-10 Mutual Fund Distribution Fees; Confirmations
Investment Management
Proposed Rule
Mutual Fund Distribution Fees; Confirmations
S7-21-09 Elimination of Flash Order Exception From Rule 602 of Regulation NMS
Trading and Markets
Proposed Rule
Elimination of Flash Order Exception From Rule 602 of Regulation NMS
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S7-12-10 Investment Company Advertising: Target Date Retirement Fund Names and Marketing
Investment Management
Proposed Rule
Investment Company Advertising: Target Date Retirement Fund Names and Marketing
View Related Activity
S7-11-10 Consolidated Audit Trail
Trading and Markets
Proposed Rule
Consolidated Audit Trail
View Related Activity
S7-10-10 Large Trader Reporting
Trading and Markets
Proposed Rule
Large Trader Reporting System
View Related Activity
S7-09-10 Proposed Amendments to Rule 610 of Regulation NMS
Trading and Markets
Proposed Rule
Proposed Amendments to Rule 610 of Regulation NMS
S7-08-10 Asset-Backed Securities Disclosure and Registration
Corporation Finance
Proposed Rule
Asset-Backed Securities
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S7-04-10 Purchases of Certain Equity Securities by the Issuer and Others
Trading and Markets
Proposed Rule
Purchases of Certain Equity Securities by the Issuer and Others
S7-03-10 Risk Management Controls for Brokers or Dealers With Market Access
Trading and Markets
Proposed Rule
Risk Management Controls for Brokers or Dealers With Market Access
View Related Activity
S7-30-09 Revisions To Rule 163
Corporation Finance
Proposed Rule
Revisions To Rule 163
S7-10-09 Facilitating Shareholder Director Nominations
Corporation Finance
Proposed Rule
Facilitating Shareholder Director Nominations
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S7-28-09 Proposed Rules for Nationally Recognized Statistical Rating Organizations
Trading and Markets
Proposed Rule
Proposed Rules for Nationally Recognized Statistical Rating Organizations
S7-27-09 Regulation of Non-Public Trading Interest
Trading and Markets
Proposed Rule
Regulation of Non-Public Trading Interest
S7-24-09 Credit Ratings Disclosure
Investment Management
Proposed Rule
Credit Ratings Disclosure
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S7-23-09 Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
Corporation Finance
Proposed Rule
Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
View Related Activity
S7-22-09 Amendments to Rules Requiring Internet Availability of Proxy Materials
Corporation Finance
Proposed Rule
Amendments to Rules Requiring Internet Availability of Proxy Materials
View Related Activity
S7-20-09 Credit Ratings Disclosure
Investment Management
Proposed Rule
Credit Ratings Disclosure
View Related Activity
S7-19-08 Security Ratings
Corporation Finance, Investment Management, Trading and Markets
Proposed Rule
References to Ratings of Nationally Recognized Statistical Rating Organizations
View Related Activity
S7-21-09 Elimination of Flash Order Exception From Rule 602 of Regulation NMS
Trading and Markets
Proposed Rule
Elimination of Flash Order Exception From Rule 602 of Regulation NMS
View Related Activity
S7-08-09 Amendments to Regulation SHO
Trading and Markets
Proposed Rule
Amendments to Regulation SHO
View Related Activity
S7-18-09 Political Contributions by Certain Investment Advisers
Investment Management
Proposed Rule
Political Contributions by Certain Investment Advisers
View Related Activity
S7-15-09 Amendment to Municipal Securities Disclosure
Trading and Markets
Proposed Rule
Proposed Amendment to Municipal Securities Disclosure
View Related Activity
S7-13-09 Proxy Disclosure Enhancements
Corporation Finance
Proposed Rule
Proxy Disclosure and Solicitation Enhancements
View Related Activity
S7-12-09 Shareholder Approval of Executive Compensation of TARP Recipients
Corporation Finance
Proposed Rule
Shareholder Approval of Executive Compensation of TARP Recipients
View Related Activity
S7-11-09 Money Market Fund Reform
Investment Management
Proposed Rule
Money Market Fund Reform
View Related Activity
S7-10-09 Facilitating Shareholder Director Nominations
Corporation Finance
Proposed Rule
Facilitating Shareholder Director Nominations
View Related Activity
S7-09-09 Custody of Funds or Securities of Clients by Investment Advisers
Investment Management
Proposed Rule
Custody of Funds or Securities of Clients by Investment Advisers
View Related Activity
S7-09-07 Final Model Privacy Form Under the Gramm-Leach-Bliley Act
Proposed Rule
Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act
View Related Activity
S7-08-09 Amendments to Regulation SHO
Trading and Markets
Proposed Rule
Amendments to Regulation SHO
View Related Activity
S7-27-08 Roadmap for the Potential Use of Financial Statements Prepared in Accordance With International Financial Reporting Standards by U.S. Issuers
Corporation Finance
Proposed Rule
Roadmap for the Potential Use of Financial Statements Prepared in Accordance With International Financial Reporting Standards by U.S. Issuers
View Related Activity
S7-04-09 Amendments to Rules for Nationally Recognized Statistical Rating Organizations
Trading and Markets
Proposed Rule
Re-Proposed Rules for Nationally Recognized Statistical Rating Organizations
View Related Activity
S7-33-08 Records Services, Fee Schedule
General Counsel
Proposed Rule
Records Services, Fee Schedule
S7-27-08 Roadmap for the Potential Use of Financial Statements Prepared in Accordance With International Financial Reporting Standards by U.S. Issuers
Corporation Finance
Proposed Rule
Roadmap for the Potential Use of Financial Statements Prepared in Accordance With International Financial Reporting Standards by U.S. Issuers
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S7-14-08 Indexed Annuities And Certain Other Insurance Contracts
Investment Management
Proposed Rule
Indexed Annuities and Certain Other Insurance Contracts
View Related Activity
S7-28-07 Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies
Proposed Rule
Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies
View Related Activity
S7-21-08 Amendment to Municipal Securities Disclosure
Trading and Markets
Proposed Rule
Proposed Amendment to Municipal Securities Disclosure
View Related Activity
S7-22-08 Commission Guidance Regarding the Duties and Responsibilities of Investment Company Boards of Directors With Respect to Investment Adviser Portfolio Trading Practices
Investment Management
Proposed Rule
Commission Guidance Regarding the Duties and Responsibilities of Investment Company Boards of Directors With Respect to Investment Adviser Portfolio Trading Practices
View Related Activity
S7-19-07 Amendments to Regulation SHO
Proposed Rule
Amendment to Regulation SHO
View Related Activity
S7-18-08 Security Ratings
Corporation Finance, Investment Management, Trading and Markets
Proposed Rule
Security Ratings
View Related Activity
S7-19-08 References to Ratings of Nationally Recognized Statistical Rating Organizations
Trading and Markets
Proposed Rule
References to Ratings of Nationally Recognized Statistical Rating Organizations
View Related Activity
S7-17-08 References to Ratings of Nationally Recognized Statistical Rating Organizations
Trading and Markets
Proposed Rule
References to Ratings of Nationally Recognized Statistical Rating Organizations
View Related Activity
S7-16-08 Exemption of Certain Foreign Brokers or Dealers
Trading and Markets
Proposed Rule
Exemption of Certain Foreign Brokers or Dealers
S7-15-08 Modernization of Oil and Gas Reporting
Corporation Finance
Proposed Rule
Modernization of the Oil and Gas Reporting Requirements
View Related Activity
S7-14-08 Indexed Annuities And Certain Other Insurance Contracts
Investment Management
Proposed Rule
Indexed Annuities and Certain Other Insurance Contracts
View Related Activity
S7-13-08 Amendments to Rules for Nationally Recognized Statistical Rating Organizations
Trading and Markets
Proposed Rule
Proposed Rules for Nationally Recognized Statistical Rating Organizations
View Related Activity
S7-12-08 Interactive Data for Mutual Fund Risk/Return Summary
Investment Management
Proposed Rule
Interactive Data for Mutual Fund Risk/Return Summary
View Related Activity

Last Reviewed or Updated: Sept. 13, 2024