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:S7-23-07 | Rulemaking:Principal Trades with Certain Advisory Clients |
Status:
Proposed
Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
IA-3118
|
Issue Date: | File Number:S7-35-10 |
Rulemaking:Security-Based Swap Data Repository Registration, Duties, and Core Principles
Trading and Markets
|
Status:
Proposed
Rule
Security-Based Swap Data Repository Registration, Duties, and Core Principles; Correction
34-63347
|
Issue Date: | File Number:S7-34-10 |
Rulemaking:Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Trading and Markets
|
Status:
Proposed
Rule
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
34-63346
|
Issue Date: | File Number:S7-37-10 |
Rulemaking: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
|
Status:
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
IA-3111
|
Issue Date: | File Number:S7-33-10 | Rulemaking:Securities Whistleblower Incentives and Protections |
Status:
Proposed
Rule
Proposed Rules for Implementing the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934
34-63237
|
Issue Date: | File Number:S7-32-10 |
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
Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps
34-63236,
34-93784
|
Issue Date: | File Number:S7-24-10 |
Rulemaking:Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Corporation Finance
|
Status:
Proposed
Rule
33-9148a correction
33-9148a
|
Issue Date: | File Number:S7-30-10 |
Rulemaking:Reporting of Proxy Votes on Executive Compensation and Other Matters
Investment Management
|
Status:
Proposed
Rule
Reporting of Proxy Votes on Executive Compensation and Other Matters
34-63123,
IC-29463
|
Issue Date: | File Number:S7-31-10 |
Rulemaking:Shareholder Approval of Executive Compensation and Golden Parachute Compensation
Corporation Finance
|
Status:
Proposed
Rule
Shareholder Approval of Executive Compensation and Golden Parachute Compensation
33-9153,
34-63124
|
Issue Date: | File Number:S7-27-10 |
Rulemaking: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
|
Status:
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
34-63107
|
Issue Date: | File Number:S7-26-10 |
Rulemaking:Issuer Review of Assets in Offerings of Asset-Backed Securities
Corporation Finance
|
Status:
Proposed
Rule
Issuer Review of Assets in Offerings of Asset-Backed Securities
33-9150,
34-63091
|
Issue Date: | File Number:S7-25-10 |
Rulemaking:Family Offices
Investment Management
|
Status:
Proposed
Rule
Family Offices
IA-3098
|
Issue Date: | File Number:S7-24-10 |
Rulemaking:Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Corporation Finance
|
Status:
Proposed
Rule
Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
33-9148,
34-63029
|
Issue Date: | File Number:S7-22-10 |
Rulemaking:Short-Term Borrowings Disclosure
Corporation Finance
|
Status:
Proposed
Rule
Short-Term Borrowings Disclosure
33-9143,
34-62932
|
Issue Date: | File Number:S7-18-10 |
Rulemaking:Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
Corporation Finance
|
Status:
Proposed
Rule
Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
33-9137
|
Issue Date: | File Number:S7-15-10 |
Rulemaking:Mutual Fund Distribution Fees; Confirmations
Investment Management
|
Status:
Proposed
Rule
Mutual Fund Distribution Fees; Confirmations
33-9128,
34-62544,
IC-29367
|
Issue Date: | File Number:S7-21-09 |
Rulemaking:Elimination of Flash Order Exception From Rule 602 of Regulation NMS
Trading and Markets
|
Status:
Proposed
Rule
Elimination of Flash Order Exception From Rule 602 of Regulation NMS
34-62445
|
Issue Date: | File Number:S7-12-10 |
Rulemaking:Investment Company Advertising: Target Date Retirement Fund Names and Marketing
Investment Management
|
Status:
Proposed
Rule
Investment Company Advertising: Target Date Retirement Fund Names and Marketing
33-9126,
34-62300,
IC-29301,
33-9570
|
Issue Date: | File Number:S7-11-10 |
Rulemaking:Consolidated Audit Trail
Trading and Markets
|
Status:
Proposed
Rule
Consolidated Audit Trail
34-62174
|
Issue Date: | File Number:S7-10-10 |
Rulemaking:Large Trader Reporting
Trading and Markets
|
Status:
Proposed
Rule
Large Trader Reporting System
34-61908
|
Issue Date: | File Number:S7-09-10 |
Rulemaking:Proposed Amendments to Rule 610 of Regulation NMS
Trading and Markets
|
Status:
Proposed
Rule
Proposed Amendments to Rule 610 of Regulation NMS
34-61902
|
Issue Date: | File Number:S7-08-10 |
Rulemaking:Asset-Backed Securities Disclosure and Registration
Corporation Finance
|
Status:
Proposed
Rule
Asset-Backed Securities
33-9117,
34-61858
|
Issue Date: | File Number:S7-04-10 |
Rulemaking:Purchases of Certain Equity Securities by the Issuer and Others
Trading and Markets
|
Status:
Proposed
Rule
Purchases of Certain Equity Securities by the Issuer and Others
34-61414
|
Issue Date: | File Number:S7-03-10 |
Rulemaking:Risk Management Controls for Brokers or Dealers With Market Access
Trading and Markets
|
Status:
Proposed
Rule
Risk Management Controls for Brokers or Dealers With Market Access
34-61379
|
Issue Date: | File Number:S7-30-09 |
Rulemaking:Revisions To Rule 163
Corporation Finance
|
Status:
Proposed
Rule
Revisions To Rule 163
33-9098
|
Issue Date: | File Number:S7-10-09 |
Rulemaking:Facilitating Shareholder Director Nominations
Corporation Finance
|
Status:
Proposed
Rule
Facilitating Shareholder Director Nominations
33-9086,
34-61161,
IC-29069
|
Issue Date: | File Number:S7-28-09 |
Rulemaking:Proposed Rules for Nationally Recognized Statistical Rating Organizations
Trading and Markets
|
Status:
Proposed
Rule
Proposed Rules for Nationally Recognized Statistical Rating Organizations
34-61051
|
Issue Date: | File Number:S7-27-09 |
Rulemaking:Regulation of Non-Public Trading Interest
Trading and Markets
|
Status:
Proposed
Rule
Regulation of Non-Public Trading Interest
34-60997
|
Issue Date: | File Number:S7-24-09 |
Rulemaking:Credit Ratings Disclosure
Investment Management
|
Status:
Proposed
Rule
Credit Ratings Disclosure
33-9070A,
34-60797A,
IC-28942A
|
Issue Date: | File Number:S7-23-09 |
Rulemaking:Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
Corporation Finance
|
Status:
Proposed
Rule
Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
33-9074
|
Issue Date: | File Number:S7-22-09 |
Rulemaking:Amendments to Rules Requiring Internet Availability of Proxy Materials
Corporation Finance
|
Status:
Proposed
Rule
Amendments to Rules Requiring Internet Availability of Proxy Materials
33-9073,
34-60825,
IC-28946
|
Issue Date: | File Number:S7-20-09 |
Rulemaking:Credit Ratings Disclosure
Investment Management
|
Status:
Proposed
Rule
Credit Ratings Disclosure
33-9070,
34-60797,
IC-28942
|
Issue Date: | File Number:S7-19-08 |
Rulemaking:Security Ratings
Corporation Finance, Investment Management, Trading and Markets
|
Status:
Proposed
Rule
References to Ratings of Nationally Recognized Statistical Rating Organizations
33-9069
|
Issue Date: | File Number:S7-21-09 |
Rulemaking:Elimination of Flash Order Exception From Rule 602 of Regulation NMS
Trading and Markets
|
Status:
Proposed
Rule
Elimination of Flash Order Exception From Rule 602 of Regulation NMS
34-60684
|
Issue Date: | File Number:S7-08-09 |
Rulemaking:Amendments to Regulation SHO
Trading and Markets
|
Status:
Proposed
Rule
Amendments to Regulation SHO
34-60509
|
Issue Date: | File Number:S7-18-09 |
Rulemaking:Political Contributions by Certain Investment Advisers
Investment Management
|
Status:
Proposed
Rule
Political Contributions by Certain Investment Advisers
IA-2910
|
Issue Date: | File Number:S7-15-09 |
Rulemaking:Amendment to Municipal Securities Disclosure
Trading and Markets
|
Status:
Proposed
Rule
Proposed Amendment to Municipal Securities Disclosure
34-60332
|
Issue Date: | File Number:S7-13-09 |
Rulemaking:Proxy Disclosure Enhancements
Corporation Finance
|
Status:
Proposed
Rule
Proxy Disclosure and Solicitation Enhancements
33-9052
|
Issue Date: | File Number:S7-12-09 |
Rulemaking:Shareholder Approval of Executive Compensation of TARP Recipients
Corporation Finance
|
Status:
Proposed
Rule
Shareholder Approval of Executive Compensation of TARP Recipients
34-60218
|
Issue Date: | File Number:S7-11-09 |
Rulemaking:Money Market Fund Reform
Investment Management
|
Status:
Proposed
Rule
Money Market Fund Reform
IC-28807
|
Issue Date: | File Number:S7-10-09 |
Rulemaking:Facilitating Shareholder Director Nominations
Corporation Finance
|
Status:
Proposed
Rule
Facilitating Shareholder Director Nominations
33-9046,
34-60089,
IC-28765
|
Issue Date: | File Number:S7-09-09 |
Rulemaking:Custody of Funds or Securities of Clients by Investment Advisers
Investment Management
|
Status:
Proposed
Rule
Custody of Funds or Securities of Clients by Investment Advisers
IA-2876
|
Issue Date: | File Number:S7-09-07 | Rulemaking:Final Model Privacy Form Under the Gramm-Leach-Bliley Act |
Status:
Proposed
Rule
Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act
34-59769,
IA-2866,
IC-28697
|
Issue Date: | File Number:S7-08-09 |
Rulemaking:Amendments to Regulation SHO
Trading and Markets
|
Status:
Proposed
Rule
Amendments to Regulation SHO
34-59748
|
Issue Date: | File Number:S7-27-08 |
Rulemaking:Roadmap for the Potential Use of Financial Statements Prepared in Accordance With International Financial Reporting Standards by U.S. Issuers
Corporation Finance
|
Status:
Proposed
Rule
Roadmap for the Potential Use of Financial Statements Prepared in Accordance With International Financial Reporting Standards by U.S. Issuers
33-9005,
34-59350
|
Issue Date: | File Number:S7-04-09 |
Rulemaking:Amendments to Rules for Nationally Recognized Statistical Rating Organizations
Trading and Markets
|
Status:
Proposed
Rule
Re-Proposed Rules for Nationally Recognized Statistical Rating Organizations
34-59343
|
Issue Date: | File Number:S7-33-08 |
Rulemaking:Records Services, Fee Schedule
General Counsel
|
Status:
Proposed
Rule
Records Services, Fee Schedule
34-59150
|
Issue Date: | File Number:S7-27-08 |
Rulemaking:Roadmap for the Potential Use of Financial Statements Prepared in Accordance With International Financial Reporting Standards by U.S. Issuers
Corporation Finance
|
Status:
Proposed
Rule
Roadmap for the Potential Use of Financial Statements Prepared in Accordance With International Financial Reporting Standards by U.S. Issuers
33-8982,
34-58960
|
Issue Date: | File Number:S7-14-08 |
Rulemaking:Indexed Annuities And Certain Other Insurance Contracts
Investment Management
|
Status:
Proposed
Rule
Indexed Annuities and Certain Other Insurance Contracts
33-8976,
34-58769
|
Issue Date: | File Number:S7-28-07 | Rulemaking:Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies |
Status:
Proposed
Rule
Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies
33-8949,
IC-28346
|
Issue Date: | File Number:S7-21-08 |
Rulemaking:Amendment to Municipal Securities Disclosure
Trading and Markets
|
Status:
Proposed
Rule
Proposed Amendment to Municipal Securities Disclosure
34-58255
|
Issue Date: | File Number:S7-22-08 |
Rulemaking:Commission Guidance Regarding the Duties and Responsibilities of Investment Company Boards of Directors With Respect to Investment Adviser Portfolio Trading Practices
Investment Management
|
Status:
Proposed
Rule
Commission Guidance Regarding the Duties and Responsibilities of Investment Company Boards of Directors With Respect to Investment Adviser Portfolio Trading Practices
34-58264,
IC-28345,
IA-2763
|
Issue Date: | File Number:S7-19-07 | Rulemaking:Amendments to Regulation SHO |
Status:
Proposed
Rule
Amendment to Regulation SHO
34-58107
|
Issue Date: | File Number:S7-18-08 |
Rulemaking:Security Ratings
Corporation Finance, Investment Management, Trading and Markets
|
Status:
Proposed
Rule
Security Ratings
33-8940,
34-58071
|
Issue Date: | File Number:S7-19-08 |
Rulemaking:References to Ratings of Nationally Recognized Statistical Rating Organizations
Trading and Markets
|
Status:
Proposed
Rule
References to Ratings of Nationally Recognized Statistical Rating Organizations
IC-28327,
IA-2751
|
Issue Date: | File Number:S7-17-08 |
Rulemaking:References to Ratings of Nationally Recognized Statistical Rating Organizations
Trading and Markets
|
Status:
Proposed
Rule
References to Ratings of Nationally Recognized Statistical Rating Organizations
34-58070
|
Issue Date: | File Number:S7-16-08 |
Rulemaking:Exemption of Certain Foreign Brokers or Dealers
Trading and Markets
|
Status:
Proposed
Rule
Exemption of Certain Foreign Brokers or Dealers
34-58047
|
Issue Date: | File Number:S7-15-08 |
Rulemaking:Modernization of Oil and Gas Reporting
Corporation Finance
|
Status:
Proposed
Rule
Modernization of the Oil and Gas Reporting Requirements
33-8935,
34-58030
|
Issue Date: | File Number:S7-14-08 |
Rulemaking:Indexed Annuities And Certain Other Insurance Contracts
Investment Management
|
Status:
Proposed
Rule
Indexed Annuities and Certain Other Insurance Contracts
33-8933,
34-58022
|
Issue Date: | File Number:S7-13-08 |
Rulemaking:Amendments to Rules for Nationally Recognized Statistical Rating Organizations
Trading and Markets
|
Status:
Proposed
Rule
Proposed Rules for Nationally Recognized Statistical Rating Organizations
34-57967
|
Issue Date: | File Number:S7-12-08 |
Rulemaking:Interactive Data for Mutual Fund Risk/Return Summary
Investment Management
|
Status:
Proposed
Rule
Interactive Data for Mutual Fund Risk/Return Summary
33-8929,
34-57942,
39-2457,
IC-28298
|
Issue Date: | File Number:S7-11-08 |
Rulemaking:Interactive Data To Improve Financial Reporting
Corporation Finance
|
Status:
Proposed
Rule
Interactive Data To Improve Financial Reporting
33-8924
|
Issue Date: | File Number:S7-10-08 |
Rulemaking:Commission Guidance and Revisions to the Cross-Border Tender Offer, Exchange Offer, Rights Offerings, and Business Combination Rules and Beneficial Ownership Reporting Rules for Certain Foreign Institutions
Corporation Finance
|
Status:
Proposed
Rule
Revisions to the Cross-Border Tender Offer, Exchange Offer, and Business Combination Rules and Beneficial Ownership Reporting Rules for Certain Foreign Institutions
33-8917,
34-57781
|
Displaying 401 - 500 of 927
Modified: Feb. 20, 2024