Rulemaking Activity

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
S7-08-17 FAST Act Modernization and Simplification of Regulation S-K
Corporation Finance, Investment Management
Final Rule
FAST Act Modernization and Simplification of Regulation S-K
33-10618, 34-85381, IA-5206, IC-33426
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Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-10615, 34-85296, 39-2525, IC-33398
S7-02-19 Amendments to the Timing Requirements for Filing Reports on Form N-Port
Investment Management
Interim Final Rule
Amendments to the Timing Requirements for Filing Reports on Form N-Port
IC-33384
S7-01-19 Solicitations of Interest Prior to a Registered Public Offering
Corporation Finance, Investment Management
Proposed Rule
Solicitations of Interest Prior to a Registered Public Offering
33-10607
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S7-23-18 Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
Investment Management
Proposed Rule
Reopening of Comment Period for Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
33-10605
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S7-30-18 Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
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
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S7-01-15 Disclosure of Hedging by Employees, Officers and Directors
Corporation Finance
Final Rule
Disclosure of Hedging by Employees, Officers and Directors
33-10593
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S7-27-18 Fund of Funds Arrangements
Investment Management
Proposed Rule
Fund of Funds Arrangements
33-10590, IC-33329
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S7-28-18 Risk Mitigation Techniques for Uncleared Security-Based Swaps
Trading and Markets
Proposed Rule
Risk Mitigation Techniques for Uncleared Security-Based Swaps
34-84861
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S7-29-18 Conditional Small Issues Exemption Under the Securities Act of 1933 (Regulation A)
Corporation Finance
Final Rule
Conditional Small Issues Exemption Under the Securities Act of 1933 (Regulation A)
33-10591
S7-14-15 Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved in Effecting Security-Based Swaps
Trading and Markets
Final Rule
Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved in Effecting Security-Based Swaps
34-84858
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S7-05-18 Transaction Fee Pilot for NMS Stocks
Trading and Markets
Final Rule
Transaction Fee Pilot for NMS Stocks
34-84875
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Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-10585, 34-84825, 39-2524, IC-33324
S7-11-18 Covered Investment Fund Research Reports
Corporation Finance, Investment Management, Trading and Markets
Final Rule
Covered Investment Fund Research Reports
33-10580, 34-84710, IC-33311
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S7-08-15, S7-04-18 Investment Company Reporting Modernization
Investment Management
Final Rule
Form N-1A; Correction
33-10577
S7-23-15 Regulation of NMS Stock Alternative Trading Systems
Trading and Markets
Final Rule
Regulation of NMS Stock Alternative Trading Systems
34-84541
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S7-14-16 Disclosure of Order Handling Information
Trading and Markets
Final Rule
Disclosure of Order Handling Information
34-84528
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S7-10-16 Modernization of Property Disclosures for Mining Registrants
Corporation Finance
Final Rule
Modernization of Property Disclosures for Mining Registrants
33-10570, 34-84509
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S7-23-18 Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
Investment Management
Proposed Rule
Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
33-10569
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Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Michael
Corporation Finance
Interim Final Rule
Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Michael
33-10567
S7-08-12 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
Proposed Rule
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
34-84409
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Adoption of Updated EDGAR Filer Manual; Correction
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual; Correction
33-10566A, 34-84325A, 39-2522A, IC-33261A
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S7-22-18 Amendments to Rules for Nationally Recognized Statistical Rating Organizations
Credit Ratings
Proposed Rule
Amendments to Rules for Nationally Recognized Statistical Rating Organizations
34-84289
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S7-21-18 Amendment to Single Issuer Exemption for Broker-Dealers
Trading and Markets
Proposed Rule
Amendment to Single Issuer Exemption for Broker-Dealers
34-84225
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Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Florence
Corporation Finance
Interim Final Rule
Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Florence
33-10556
S7-14-18 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Trading and Markets, Investment Management
Proposed Rule
Extension of Comment Period for Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
BHCA-4
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Delegation of Authority to General Counsel of the Commission
Final Rule
Delegation of Authority to General Counsel of the Commission
33-10537, 34-83911, IA-4994, IC-33212
S7-01-17 Amendments to Municipal Securities Disclosure
Municipal Securities
Final Rule
Amendments to Municipal Securities Disclosure
34-83885
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S7-15-16 Disclosure Update and Simplification
Corporation Finance
Final Rule
Disclosure Update and Simplification
33-10532
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S7-19-18 Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities
Corporation Finance
Proposed Rule
Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities
33-10526, 34-83701, 33-10762
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S7-18-18 Concept Release on Compensatory Securities Offerings and Sales
Corporation Finance
Concept Release
Concept Release on Compensatory Securities Offerings and Sales
33-10521
S7-17-18 Exempt Offerings Pursuant to Compensatory Arrangements
Corporation Finance
Final Rule
Exempt Offerings Pursuant to Compensatory Arrangements
33-10520
S7-23-15 Regulation of NMS Stock Alternative Trading Systems
Trading and Markets
Final Rule
Regulation of NMS Stock Alternative Trading Systems
34-83663
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Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-10518, 34-83614, 39-2521, IC-33153
S7-16-18 Whistleblower Program Rules
Enforcement, General Counsel
Proposed Rule
Whistleblower Program Rules
34-83557
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S7-15-18 Exchange-Traded Funds
Investment Management
Proposed Rule
Exchange-Traded Funds
33-10515, IC-33140
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S7-12-16 Smaller Reporting Company Definition
Corporation Finance
Final Rule
Smaller Reporting Company Definition
33-10513, 34-83550
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S7-03-17 Inline XBRL Filing of Tagged Data
Corporation Finance
Final Rule
Inline XBRL Filing of Tagged Data
33-10514
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S7-04-18 Investment Company Liquidity Disclosure
Investment Management
Final Rule
Investment Company Liquidity Disclosure
IC-33142
View Related Activity
S7-09-17 Amendments to the Commission's Freedom of Information Act Regulations
General Counsel
Final Rule
Amendments to the Commission's Freedom of Information Act Regulations
34-83506, FOIA-193
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S7-14-18 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Trading and Markets, Investment Management
Proposed Rule
Extension of Comment Period for Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
BHCA-3
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S7-08-15 Optional Internet Availability of Investment Company Shareholder Reports
Investment Management
Final Rule
Optional Internet Availability of Investment Company Shareholder Reports
33-10506
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Technical Amendments to Rules of Practice and Rules of Organization; Conduct and Ethics; and Information and Requests
Final Rule
Technical Amendments to Rules of Practice and Rules of Organization; Conduct and Ethics; and Information and Requests
34-83325
S7-11-18 Covered Investment Fund Research Reports
Corporation Finance, Investment Management, Trading and Markets
Proposed Rule
Covered Investment Fund Research Reports
33-10498, 34 83307, IC 33106
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S7-10-18 Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships
Chief Accountant
Proposed Rule
Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships
33-10491, IC-33091, IA-4904
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Amendments to Forms and Schedules To Remove Provision of Certain Personally Identifiable Information
Final Rule
Amendments to Forms and Schedules To Remove Provision of Certain Personally Identifiable Information
33-10486, 34-83097, IC-33077
S7-09-18 Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation
Investment Management
Interpretive Release
Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation
IA-4889
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S7-07-18 Regulation Best Interest: The Broker-Dealer Standard of Conduct
Trading and Markets, Investment Management
Proposed Rule
Regulation Best Interest
34-83062
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S7-09-18 Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation
Investment Management
Proposed Rule
Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation
IA-4889
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S7-08-18 Form CRS Relationship Summary; Amendments to Form ADV
Investment Management
Proposed Rule
Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures in Retail Communications and Restrictions on the Use of Certain Names or Titles
34-83063, IA-4888
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S7-04-18 Investment Company Liquidity Disclosure
Investment Management
Proposed Rule
Investment Company Liquidity Disclosure
IC-33046
View Related Activity
S7-05-18 Transaction Fee Pilot for NMS Stocks
Trading and Markets
Proposed Rule
Transaction Fee Pilot for NMS Stocks
34-82873
View Related Activity
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-10467, 34-82830, 39-2520, IC-33041
S7-03-18 Investment Company Liquidity Risk Management Programs; Commission Guidance for In-Kind ETFs
Interim Final Rule
Investment Company Liquidity Risk Management Programs; Commission Guidance for In-Kind ETFs
IC-33010
Commission Statement and Guidance on Public Company Cybersecurity Disclosures
Corporation Finance
Interpretive Release
Commission Statement and Guidance on Public Company Cybersecurity Disclosures
33-10459, 34-82746
Amendments to Forms and Schedules To Remove Voluntary Provision of Social Security Numbers
Final Rule
Amendments to Forms and Schedules To Remove Voluntary Provision of Social Security Numbers
33-7424A
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S7-05-17 Exemptions From Investment Adviser Registration for Advisers to Small Business Investment Companies
Investment Management
Final Rule
Exemptions From Investment Adviser Registration for Advisers to Small Business Investment Companies
IA-4839
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S7-09-14 Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
Corporation Finance
Final Rule
Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
33-10450
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S7-09-17 Amendments to the Commission's Freedom of Information Act Regulations
General Counsel
Proposed Rule
Freedom of Information Act Regulations
34-82373, FOIA-192
View Related Activity
S7-08-15 Investment Company Reporting Modernization
Investment Management
Final Rule
Investment Company Reporting Modernization
33-10442, 33-9776, 33-10231, 34-82241, IC-32936
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Last Reviewed or Updated: Sept. 13, 2024