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 |
View Related Activity | |
S7-41-10 | Mine Safety Disclosure
Corporation Finance |
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 |
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 |
View Related Activity | |
S7-23-07 | Principal Trades with Certain Advisory Clients | View Related Activity | |
S7-35-10 | Security-Based Swap Data Repository Registration, Duties, and Core Principles
Trading and Markets |
View Related Activity | |
S7-34-10 | Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Trading and Markets |
View Related Activity | |
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 |
View Related Activity | |
S7-33-10 | Securities Whistleblower Incentives and Protections | 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 | |
S7-24-10 | Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Corporation Finance |
View Related Activity | |
S7-30-10 | Reporting of Proxy Votes on Executive Compensation and Other Matters
Investment Management |
||
S7-31-10 | Shareholder Approval of Executive Compensation and Golden Parachute Compensation
Corporation Finance |
View Related Activity | |
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 |
View Related Activity | |
S7-26-10 | Issuer Review of Assets in Offerings of Asset-Backed Securities
Corporation Finance |
View Related Activity | |
S7-25-10 | Family Offices
Investment Management |
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 |
View Related Activity | |
S7-22-10 | Short-Term Borrowings Disclosure
Corporation Finance |
||
S7-18-10 | Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
Corporation Finance |
View Related Activity | |
S7-15-10 | Mutual Fund Distribution Fees; Confirmations
Investment Management |
||
S7-21-09 | Elimination of Flash Order Exception From Rule 602 of Regulation NMS
Trading and Markets |
View Related Activity | |
S7-12-10 | Investment Company Advertising: Target Date Retirement Fund Names and Marketing
Investment Management |
View Related Activity | |
S7-11-10 | Consolidated Audit Trail
Trading and Markets |
View Related Activity | |
S7-10-10 | Large Trader Reporting
Trading and Markets |
View Related Activity | |
S7-09-10 | Proposed Amendments to Rule 610 of Regulation NMS
Trading and Markets |
||
S7-08-10 | Asset-Backed Securities Disclosure and Registration
Corporation Finance |
View Related Activity | |
S7-04-10 | Purchases of Certain Equity Securities by the Issuer and Others
Trading and Markets |
||
S7-03-10 | Risk Management Controls for Brokers or Dealers With Market Access
Trading and Markets |
View Related Activity | |
S7-30-09 | Revisions To Rule 163
Corporation Finance |
||
S7-10-09 | Facilitating Shareholder Director Nominations
Corporation Finance |
View Related Activity | |
S7-28-09 | Proposed Rules for Nationally Recognized Statistical Rating Organizations
Trading and Markets |
||
S7-27-09 | Regulation of Non-Public Trading Interest
Trading and Markets |
||
S7-24-09 | Credit Ratings Disclosure
Investment Management |
View Related Activity | |
S7-23-09 | Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
Corporation Finance |
View Related Activity | |
S7-22-09 | Amendments to Rules Requiring Internet Availability of Proxy Materials
Corporation Finance |
View Related Activity | |
S7-20-09 | Credit Ratings Disclosure
Investment Management |
View Related Activity | |
S7-19-08 | Security Ratings
Corporation Finance, Investment Management, Trading and Markets |
View Related Activity | |
S7-21-09 | Elimination of Flash Order Exception From Rule 602 of Regulation NMS
Trading and Markets |
View Related Activity | |
S7-08-09 | Amendments to Regulation SHO
Trading and Markets |
View Related Activity | |
S7-18-09 | Political Contributions by Certain Investment Advisers
Investment Management |
View Related Activity | |
S7-15-09 | Amendment to Municipal Securities Disclosure
Trading and Markets |
View Related Activity | |
S7-13-09 | Proxy Disclosure Enhancements
Corporation Finance |
View Related Activity | |
S7-12-09 | Shareholder Approval of Executive Compensation of TARP Recipients
Corporation Finance |
View Related Activity | |
S7-11-09 | Money Market Fund Reform
Investment Management |
View Related Activity | |
S7-10-09 | Facilitating Shareholder Director Nominations
Corporation Finance |
View Related Activity | |
S7-09-09 | Custody of Funds or Securities of Clients by Investment Advisers
Investment Management |
View Related Activity | |
S7-09-07 | Final Model Privacy Form Under the Gramm-Leach-Bliley Act | View Related Activity | |
S7-08-09 | Amendments to Regulation SHO
Trading and Markets |
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 |
View Related Activity | |
S7-04-09 | Amendments to Rules for Nationally Recognized Statistical Rating Organizations
Trading and Markets |
View Related Activity | |
S7-33-08 | Records Services, Fee Schedule
General Counsel |
||
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 |
View Related Activity | |
S7-14-08 | Indexed Annuities And Certain Other Insurance Contracts
Investment Management |
View Related Activity | |
S7-28-07 | 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 |
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 |
View Related Activity | |
S7-19-07 | Amendments to Regulation SHO | View Related Activity | |
S7-18-08 | Security Ratings
Corporation Finance, Investment Management, Trading and Markets |
View Related Activity | |
S7-19-08 | References to Ratings of Nationally Recognized Statistical Rating Organizations
Trading and Markets |
View Related Activity | |
S7-17-08 | References to Ratings of Nationally Recognized Statistical Rating Organizations
Trading and Markets |
View Related Activity | |
S7-16-08 | Exemption of Certain Foreign Brokers or Dealers
Trading and Markets |
||
S7-15-08 | Modernization of Oil and Gas Reporting
Corporation Finance |
View Related Activity | |
S7-14-08 | Indexed Annuities And Certain Other Insurance Contracts
Investment Management |
View Related Activity | |
S7-13-08 | Amendments to Rules for Nationally Recognized Statistical Rating Organizations
Trading and Markets |
View Related Activity | |
S7-12-08 | Interactive Data for Mutual Fund Risk/Return Summary
Investment Management |
View Related Activity |
Last Reviewed or Updated: Sept. 13, 2024