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 |
|---|---|---|---|
| S7-08-05 | Revisions to Accelerated Filer Definition and Accelerated Deadlines for Filing Periodic Reports | View Related Activity | |
| S7-05-05 | Adoption of Amendments to the Rules of Practice and Related Provisions and Delegations of Authority of the Commission | View Related Activity | |
| S7-04-05 | Definition of Nationally Recognized Statistical Rating Organization | ||
| S7-06-04 | Confirmation Requirements and Point of Sale Disclosure Requirements for Transactions in Certain Mutual Funds and Other Securities, and Other Confirmation Requirement Amendments, and Amendments to the Registration Form for Mutual Funds | View Related Activity | |
| S7-39-04 | Fair Administration and Governance of Self-Regulatory Organizations; Disclosure and Regulatory Reporting by Self-Regulatory Organizations; Recordkeeping Requirements for Self-Regulatory Organizations; Ownership and Voting Limitations for Members of Self-Regulatory Organizations; Ownership Reporting Requirements for Members of Self-Regulatory Organizations; Listing and Trading of Affiliated Securities by a Self-Regulatory Organization | View Related Activity | |
| S7-25-99 | Certain Broker-Dealers Deemed Not To Be Investment Advisers | View Related Activity | |
| S7-10-04 | Establishing a Docket for the Development of Plasma Standards Public Workshop; Notice | ||
| S7-41-04 | Amendments to Regulation M: Anti-Manipulation Rules Concerning Securities Offerings | ||
| S7-39-04 | Fair Administration and Governance of Self-Regulatory Organizations; Disclosure and Regulatory Reporting by Self-Regulatory Organizations; Recordkeeping Requirements for Self-Regulatory Organizations; Ownership and Voting Limitations for Members of Self-Regulatory Organizations; Ownership Reporting Requirements for Members of Self-Regulatory Organizations; Listing and Trading of Affiliated Securities by a Self-Regulatory Organization | View Related Activity | |
| S7-38-04 | Securities Offering Reform | View Related Activity | |
| S7-37-04 | Definition of Eligible Portfolio Company Under the Investment Company Act of 1940 | View Related Activity | |
| S7-35-04 | XBRL Voluntary Financial Reporting Program on the EDGAR System | View Related Activity | |
| S7-33-04 | Disposal of Consumer Report Information | View Related Activity | |
| S7-32-04 | Temporary Postponement of the Final Phase-In Period for Acceleration of Periodic Report Filing Dates | View Related Activity | |
| S7-25-99 | Certain Broker-Dealers Deemed Not To Be Investment Advisers | View Related Activity | |
| S7-26-04 | Regulation B | View Related Activity | |
| S7-30-04 | Registration Under the Advisers Act of Certain Hedge Fund Advisers | View Related Activity | |
| S7-29-04 | Regulation S-AM: Limitations on Affiliate Marketing | View Related Activity | |
| S7-27-04 | Ownership Reports and Trading by Officers, Directors and Principal Security Holders | View Related Activity | |
| S7-26-04 | Regulation B | View Related Activity | |
| S7-25-04 | Removal From Listing and Registration of Securities Pursuant to Section 12(d) of the Securities Exchange Act of 1934 | View Related Activity | |
| S7-10-04 | Regulation NMS | View Related Activity | |
| S7-20-04 | Certain Thrift Institutions Deemed Not To Be Investment Advisers | View Related Activity | |
| S7-21-04 | Asset-Backed Securities | View Related Activity | |
| S7-19-04 | Use of Form S-8, Form 8-K, and Form 20-F by Shell Companies | View Related Activity | |
| S7-18-04 | Proposed Rule Changes of Self-Regulatory Organizations | View Related Activity | |
| S7-17-04 | Covered Securities Pursuant to Section 18 of the Securities Act of 1933 | ||
| S7-15-04 | First-Time Application of International Financial Reporting Standards | View Related Activity | |
| S7-16-04 | Rulemaking for EDGAR System | View Related Activity | |
| S7-14-04 | Mandated Electronic Filing for Form ID | View Related Activity | |
| S7-15-04 | First-Time Application of International Financial Reporting Standards | View Related Activity | |
| S7-12-04 | Disclosure Regarding Portfolio Managers of Registered Management Investment Companies | View Related Activity | |
| S7-11-04 | Mutual Fund Redemption Fees | View Related Activity | |
| S7-10-04 | Regulation NMS | View Related Activity | |
| S7-09-04 | Prohibition on the Use of Brokerage Commissions To Finance Distribution | View Related Activity | |
| S7-08-04 | Disclosure Regarding Approval of Investment Advisory Contracts by Directors of Investment Companies | View Related Activity | |
| S7-06-04 | Confirmation Requirements and Point of Sale Disclosure Requirements for Transactions in Certain Mutual Funds and Other Securities, and Other Confirmation Requirement Amendments, and Amendments to the Registration Form for Mutual Funds | View Related Activity | |
| S7-05-04 | Collection Practices Under Section 31 of the Exchange Act | View Related Activity | |
| S7-04-04 | Investment Adviser Codes of Ethics | View Related Activity | |
| S7-03-04 | Investment Company Governance | View Related Activity | |
| S7-02-04 | Amendments to the Penny Stock Rules | View Related Activity | |
| S7-28-03 | Disclosure of Breakpoint Discounts by Mutual Funds | View Related Activity | |
| S7-27-03 | Amendments to Rules Governing Pricing of Mutual Fund Shares | ||
| S7-26-03 | Disclosure Regarding Market Timing and Selective Disclosure of Portfolio Holdings | View Related Activity | |
| S7-25-03 | Adoption of Amendments to the Rules of Practice and Delegations of Authority of the Commission | View Related Activity | |
| S7-23-03 | Short Sales | View Related Activity | |
| S7-22-03 | Supervised Investment Bank Holding Companies | View Related Activity | |
| S7-21-03 | Alternative Net Capital Requirements for Broker-Dealers That Are Part of Consolidated Supervised Entities | View Related Activity | |
| S7-20-03 | Exemption From Shareholder Approval for Certain Subadvisory Contracts | ||
| S7-18-03 | Fund of Funds Investments | View Related Activity | |
| S7-15-03 | Foreign Bank Exemption from the Insider Lending Prohibition of Exchange Act Section 13(k) | View Related Activity | |
| S7-16-03 | Additional Form F-6 Eligibility Requirement Related to the Listed Status of Deposited Securities Underlying American Depositary Receipts | ||
| S7-14-03 | Disclosure Regarding Nominating Committee Functions and Communications Between Security Holders and Boards of Directors; Republication | View Related Activity | |
| S7-13-03 | Recordkeeping Requirements for Registered Transfer Agents | View Related Activity | |
| S7-06-03 | Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports | View Related Activity | |
| S7-04-03 | Rules of Practice | View Related Activity | |
| S7-03-03 | Compliance Programs of Investment Companies and Investment Advisers | View Related Activity | |
| S7-45-02 | Implementation of Standards of Professional Conduct for Attorneys | View Related Activity | |
| S7-02-03 | Standards Relating to Listed Company Audit Committees | View Related Activity | |
| S7-52-02 | Mandated Electronic Filing and Web Site Posting for Forms 3, 4 and 5 | View Related Activity | |
| S7-51-02 | Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies | View Related Activity | |
| S7-50-02 | Purchases of Certain Equity Securities by the Issuer and Others | View Related Activity | |
| S7-49-02 | Strengthening the Commission's Requirements Regarding Auditor Independence | View Related Activity | |
| S7-47-02 | Certain Research and Development Companies | View Related Activity | |
| S7-48-02 | Broker-Dealer Exemption From Sending Certain Financial Information to Customers | View Related Activity | |
| S7-46-02 | Retention of Records Relevant to Audits and Reviews | View Related Activity | |
| S7-45-02 | Implementation of Standards of Professional Conduct for Attorneys | View Related Activity | |
| S7-44-02 | Insider Trades During Pension Fund Blackout Periods | View Related Activity | |
| S7-43-02 | Conditions for Use of Non-GAAP Financial Measures | View Related Activity | |
| S7-42-02 | Disclosure in Management's Discussion and Analysis About Off-Balance Sheet Arrangements and Aggregate Contractual Obligations | View Related Activity | |
| S7-41-02 | Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934 | View Related Activity | |
| S7-40-02 | Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002 | View Related Activity |
Last Reviewed or Updated: Sept. 13, 2024