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: | Rulemaking:Delegation of Authority to the General Counsel of the Commission |
Status:
Final
Rule
Delegation of Authority to the General Counsel of the Commission
33-10757,
34-88245,
IA-5446,
IC-33802
|
Issue Date: | File Number:S7-03-20 |
Rulemaking:Market Data Infrastructure
Trading and Markets
|
Status:
Proposed
Rule
Market Data Infrastructure
34-88216
|
Issue Date: | File Number: |
Rulemaking:Commission Guidance on Management's Discussion and Analysis of Financial Condition and Results of Operations
Corporation Finance
|
Status:
Interpretive
Release
Commission Guidance on Management's Discussion and Analysis of Financial Condition and Results of Operations
33-10751,
34-88094
|
Issue Date: | File Number:S7-01-20 |
Rulemaking:Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information
Corporation Finance
|
Status:
Proposed
Rule
Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information
33-10750,
34-88093,
IC-33795
|
Issue Date: | File Number:S7-02-20 |
Rulemaking:Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Trading and Markets, Investment Management
|
Status:
Proposed
Rule
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
BHCA-8
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10749,
34-88040,
39-2530,
IC-33792
|
Issue Date: | File Number:S7-26-19 |
Rulemaking:Qualifications of Accountants
Investment Management
|
Status:
Proposed
Rule
Amendments to Rule 2-01, Qualifications of Accountants
33-10738,
34-87864,
FR-86,
IA-5422,
IC-33737
|
Issue Date: | File Number:S7-25-19 |
Rulemaking:Accredited Investor Definition
Corporation Finance
|
Status:
Proposed
Rule
Amending the "Accredited Investor" Definition
33-10734,
34-87784
|
Issue Date: | File Number:S7-24-19 |
Rulemaking:Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
|
Status:
Proposed
Rule
Disclosure of Payments by Resource Extraction Issuers
34-87783
|
Issue Date: | File Number:S7-07-19 |
Rulemaking:Cross-Border Application of Certain Security-Based Swap Requirements
Trading and Markets
|
Status:
Final
Rule
Cross-Border Application of Certain Security-Based Swap Requirements
34-87780
|
Issue Date: | File Number:S7-28-18 |
Rulemaking:Risk Mitigation Techniques for Uncleared Security-Based Swaps
Trading and Markets
|
Status:
Final
Rule
Risk Mitigation Techniques for Uncleared Security-Based Swaps
34-87782
|
Issue Date: | File Number:S7-24-15 |
Rulemaking:Use of Derivatives by Registered Investment Companies and Business Development Companies
Investment Management
|
Status:
Proposed
Rule
Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence by Broker-Dealers and Registered Investment Advisers Regarding Retail Customers' Transactions in Certain Leveraged/Inverse Investment Vehicles
34-87607,
IA-5413,
IC-33704
|
Issue Date: | File Number:S7-22-19 |
Rulemaking:Exemptions From the Proxy Rules for Proxy Voting Advice
Corporation Finance
|
Status:
Proposed
Rule
Amendments to Exemptions From the Proxy Rules for Proxy Voting Advice
34-87457
|
Issue Date: | File Number:S7-23-19 |
Rulemaking:Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8
Corporation Finance
|
Status:
Proposed
Rule
Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8
34-87458
|
Issue Date: | File Number:S7-21-19 |
Rulemaking:Investment Adviser Marketing
Investment Management
|
Status:
Proposed
Rule
Investment Adviser Advertisements; Compensation for Solicitations
IA-5407
|
Issue Date: | File Number:S7-20-19 |
Rulemaking:Filing Fee Disclosure and Payment Methods Modernization
Corporation Finance, Economic and Risk Analysis
|
Status:
Proposed
Rule
Filing Fee Disclosure and Payment Methods Modernization
33-10720
|
Issue Date: | File Number:S7-19-19 |
Rulemaking:Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940
Investment Management
|
Status:
Proposed
Rule
Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940
IC-33658
|
Issue Date: | File Number:S7-15-19 |
Rulemaking:Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments and Modified Procedures for Proposed NMS Plans and Plan Amendments
Trading and Markets
|
Status:
Proposed
Rule
Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments
34-87193
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10709,
34-87148,
39-2529,
IC-33650
|
Issue Date: | File Number:S7-14-19 |
Rulemaking:Publication or Submission of Quotations Without Specified Information
Trading and Markets
|
Status:
Concept
Release
Publication or Submission of Quotations Without Specified Information
34-87115,
33-10842
|
Issue Date: | File Number:S7-14-19 |
Rulemaking:Publication or Submission of Quotations Without Specified Information
Trading and Markets
|
Status:
Proposed
Rule
Publication or Submission of Quotations Without Specified Information
34-87115,
33-10842
|
Issue Date: | File Number:S7-15-18 |
Rulemaking:Exchange-Traded Funds
Investment Management
|
Status:
Final
Rule
Exchange-Traded Funds
33-10695,
: IC-33646
|
Issue Date: | File Number:S7-01-19 |
Rulemaking:Solicitations of Interest Prior to a Registered Public Offering
Corporation Finance, Investment Management
|
Status:
Final
Rule
Solicitations of Interest Prior to a Registered Public Offering
33-10699
|
Issue Date: | File Number:S7-05-14 |
Rulemaking:Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers
Trading and Markets
|
Status:
Final
Rule
Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers
34-87005
|
Issue Date: | File Number:S7-14-18 |
Rulemaking:Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Trading and Markets, Investment Management
|
Status:
Final
Rule
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
BHCA-7
|
Issue Date: | File Number:S7-02-17 |
Rulemaking:Update of Statistical Disclosures for Bank and Savings and Loan Registrants
Corporation Finance
|
Status:
Proposed
Rule
Update of Statistical Disclosures for Bank and Savings and Loan Registrants
33-10688,
34-86984
|
Issue Date: | File Number:S7-09-17 |
Rulemaking:Amendments to the Commission's Freedom of Information Act Regulations
General Counsel
|
Status:
Final
Rule
Technical Amendments To Update Cross-References to Commission's FOIA Regulations
34-86982
|
Issue Date: | File Number: |
Rulemaking:Commission Interpretation and Guidance Regarding the Applicability of the Proxy Rules to Proxy Voting Advice
Corporation Finance
|
Status:
Interpretive
Release
Commission Interpretation and Guidance Regarding the Applicability of the Proxy Rules to Proxy Voting Advice
34-86721
|
Issue Date: | File Number:S7-11-19 |
Rulemaking:Modernization of Regulation S-K Items 101, 103, and 105
Corporation Finance
|
Status:
Proposed
Rule
Modernization of Regulation S-K Items 101, 103, and 105
33-10668,
34-86614
|
Issue Date: | File Number:S7-22-18 |
Rulemaking:Amendments to Rules for Nationally Recognized Statistical Rating Organizations
Credit Ratings
|
Status:
Final
Rule
Amendments to Rules for Nationally Recognized Statistical Rating Organizations
34-86590
|
Issue Date: | File Number:S7-08-17 |
Rulemaking:FAST Act Modernization and Simplification of Regulation S-K
Corporation Finance, Investment Management
|
Status:
Final
Rule
FAST Act Modernization and Simplification of Regulation S-K; Correction
33-10618A,
34-85381A,
IA-5206A,
IC-33426A
|
Issue Date: | File Number:S7-30-18 | Rulemaking:Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds |
Status:
Final
Rule
Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
BHCA-6
|
Issue Date: | File Number:S7-09-19 |
Rulemaking:Customer Margin Rules Relating to Security Futures
Trading and Markets
|
Status:
Proposed
Rule
Customer Margin Rules Relating to Security Futures
34-86304
|
Issue Date: | File Number:S7-08-12 |
Rulemaking: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
|
Status:
Final
Rule
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers
34-86175
|
Issue Date: | File Number:S7-08-19 |
Rulemaking:Concept Release on Harmonization of Securities Offering Exemptions
Corporation Finance, Trading and Markets, Investment Management
|
Status:
Concept
Release
Concept Release on Harmonization of Securities Offering Exemptions
33-10649,
34-86129,
IA-5256,
IC-33512
|
Issue Date: | File Number:S7-10-18 |
Rulemaking:Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships
Chief Accountant
|
Status:
Final
Rule
Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships
33-10648,
34-86127,
FR-85,
IA-5255,
IC-33511
|
Issue Date: | File Number:S7-21-18 |
Rulemaking:Amendment to Single Issuer Exemption for Broker-Dealers
Trading and Markets
|
Status:
Final
Rule
Amendment to Single Issuer Exemption for Broker-Dealers
34-86073
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10645,
34-86070,
39-2526, IC-33504
|
Issue Date: | File Number: |
Rulemaking:Regulation Best Interest: The Broker-Dealer Standard of Conduct
Trading and Markets, Investment Management
|
Status:
Interpretive
Release
Commission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion From the Definition of Investment Adviser
IA-5249
|
Issue Date: | File Number:S7-07-18 |
Rulemaking:Commission Interpretation Regarding Standard of Conduct for Investment Advisers
Investment Management
|
Status:
Interpretive
Release
Commission Interpretation Regarding Standard of Conduct for Investment Advisers
IA-5248
|
Issue Date: | File Number:S7-07-18 |
Rulemaking:Regulation Best Interest: The Broker-Dealer Standard of Conduct
Trading and Markets, Investment Management
|
Status:
Final
Rule
Regulation Best Interest: The Broker-Dealer Standard of Conduct
34-86031
|
Issue Date: | File Number:S7-08-18 |
Rulemaking:Form CRS Relationship Summary; Amendments to Form ADV
Investment Management
|
Status:
Final
Rule
Form CRS Relationship Summary; Amendments to Form ADV
34-86032,
IA-5247
|
Issue Date: | File Number:S7-07-19 |
Rulemaking:Cross-Border Application of Certain Security-Based Swap Requirements
Trading and Markets
|
Status:
Proposed
Rule
Proposed Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements
34-85823
|
Issue Date: | File Number:S7-06-19 |
Rulemaking:Accelerated Filer and Large Accelerated Filer Definitions
Corporation Finance
|
Status:
Proposed
Rule
Amendments to the Accelerated Filer and Large Accelerated Filer Definitions
34-85814
|
Issue Date: | File Number:S7-05-19 |
Rulemaking:Amendments to Financial Disclosures About Acquired and Disposed Businesses
Chief Accountant, Corporation Finance, Investment Management
|
Status:
Proposed
Rule
Amendments to Financial Disclosures About Acquired and Disposed Businesses
33-10635,
34-85765,
IC-33465
|
Issue Date: | File Number:S7-14-16 |
Rulemaking:Disclosure of Order Handling Information
Trading and Markets
|
Status:
Final
Rule
Disclosure of Order Handling Information
34-85714
|
Issue Date: | File Number: | Rulemaking:Public Company Accounting Oversight Board Hearing Officers |
Status:
Final
Rule
Public Company Accounting Oversight Board Hearing Officers
34-85437
|
Issue Date: | File Number:S7-03-19 |
Rulemaking:Securities Offering Reform for Closed-End Investment Companies
Investment Management
|
Status:
Proposed
Rule
Securities Offering Reform for Closed-End Investment Companies
33-10619,
34-85382,
IC-33427
|
Issue Date: | File Number:S7-08-17 |
Rulemaking:FAST Act Modernization and Simplification of Regulation S-K
Corporation Finance, Investment Management
|
Status:
Final
Rule
FAST Act Modernization and Simplification of Regulation S-K
33-10618,
34-85381,
IA-5206,
IC-33426
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-10615,
34-85296,
39-2525,
IC-33398
|
Issue Date: | File Number:S7-02-19 |
Rulemaking:Amendments to the Timing Requirements for Filing Reports on Form N-Port
Investment Management
|
Status:
Interim Final
Rule
Amendments to the Timing Requirements for Filing Reports on Form N-Port
IC-33384
|
Issue Date: | File Number:S7-01-19 |
Rulemaking:Solicitations of Interest Prior to a Registered Public Offering
Corporation Finance, Investment Management
|
Status:
Proposed
Rule
Solicitations of Interest Prior to a Registered Public Offering
33-10607
|
Issue Date: | File Number:S7-23-18 |
Rulemaking:Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
Investment Management
|
Status:
Proposed
Rule
Reopening of Comment Period for Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
33-10605
|
Issue Date: | File Number:S7-30-18 | Rulemaking:Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds |
Status:
Proposed
Rule
Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds
BHCA-5
|
Issue Date: | File Number:S7-01-15 |
Rulemaking:Disclosure of Hedging by Employees, Officers and Directors
Corporation Finance
|
Status:
Final
Rule
Disclosure of Hedging by Employees, Officers and Directors
33-10593
|
Issue Date: | File Number:S7-27-18 |
Rulemaking:Fund of Funds Arrangements
Investment Management
|
Status:
Proposed
Rule
Fund of Funds Arrangements
33-10590,
IC-33329
|
Displaying 401 - 500 of 2714
Modified: Feb. 20, 2024