Rulemaking Index

This page lists rulemaking activity since 2008 grouped by file number, which allows you to view the proposed rules, final rules and other actions related to a particular rulemaking. You can sort this list by most recent action, file number, or the informal short name of the rulemaking. By using the "Status" filter, you can view rulemakings that have been completed, or rulemakings that have been proposed but not yet completed. You can also filter to display rulemakings related to a specific SEC division or office. This index omits certain technical rulemakings, including updates to the EDGAR filing manual.

The Regulatory Flexibility Act (“RFA”) requires each federal agency in April and October of each year to publish in the Federal Register an agenda identifying rules that the agency expects to consider in the next twelve months that are likely to have a significant economic impact on a substantial number of small entities. The RFA specifically provides that publication of the agenda does not preclude an agency from considering or acting on any matter not included in the agenda, and that an agency is not required to consider or act on any matter that is included in the agenda. The current Unified Agenda of Federal Regulatory and Deregulatory Actions can be found at www.reginfo.gov.

• Last Action
  File. No
  Rulemaking
  Actions
• Last Action
  File No.
  Rulemaking
  Actions
• 12/22/15
  S7-01-13
  Regulation SCI Trading and Markets
  Final Rule Regulation Systems Compliance and Integrity; Correction 12/22/15 34-73639A Final Rule Regulation Systems Compliance and Integrity 11/19/14 34-73639 Proposed Rule Regulation Systems Compliance and Integrity (Extension of Comment Period) 5/20/13 34-69606 Proposed Rule Regulation Systems Compliance and Integrity (Proposed Rule and Form; Proposed Rule Amendment) 3/8/13 34-69077
• 1/17/14
  S7-01-14
  Treatment of CDOs under the Volcker Rule Investment Management, Trading and Markets
  Interim Final Rule Treatment of Certain Collateralized Debt Obligations Backed Primarily by Trust Preferred Securities with Regard To Prohibitions and Restrictions on Certain Interests in, And Relationships with, Hedge Funds and Private Equity Funds 1/17/14 BHCA-2
• 12/20/18
  S7-01-15
  Disclosure of Hedging of Compensation Corporation Finance
  Final Rule Disclosure of Hedging by Employees, Officers and Directors 12/20/18 33-10593 Proposed Rule Disclosure of Hedging by Employees, Officers and Directors 2/9/15 33-9723
• 4/24/08
  S7-02-08
  Sudan Divestment Disclosure Investment Management
  Final Rule Disclosure of Divestment by Registered Investment Companies in Accordance With Sudan Accountability and Divestment Act of 2007 4/24/08 34-57711 Proposed Rule Disclosure of Divestment by Registered Investment Companies in Accordance With Sudan Accountability and Divestment Act of 2007 2/11/08 34-57306
• 7/1/11
  S7-02-09
  Exemptions for Credit Default Swaps Trading and Markets
  Interim Final Rule Extension of Temporary Exemptions for Eligible Credit Default Swaps to Facilitate Operation of Central Counterparties to Clear and Settle Credit Default Swaps 7/1/11 33-9232 Interim Final Rule Extension of Temporary Exemptions for Eligible Credit Default Swaps to Facilitate Operation of Central Counterparties to Clear and Settle Credit Default Swaps 11/19/10 33-9158 Final Rule Extension of Temporary Exemptions for Eligible Credit Default Swaps to Facilitate Operation of Central Counterparties to Clear and Settle Credit Default Swaps (Interim Final Temporary Rules; Extension) 9/14/09 33-9063 Final Rule Temporary Exemptions for Eligible Credit Default Swaps to Facilitate Operation of Central Counterparties to Clear and Settle Credit Default Swaps (Interim Final Temporary Rule) 1/14/09 33-8999
• 1/14/10
  S7-02-10
  Equity Market Structure Trading and Markets
  Concept Release Concept Release on Equity Market Structure 1/14/10 34-61358
• 8/17/11
  S7-02-11
  Duty to File Reports for Classes of Asset-Backed Securities Corporation Finance
  Final Rule Suspension of the Duty to File Reports for Classes of Asset-Backed Securities Under Section 15(d) of the Securities Exchange Act of 1934 8/17/11 34-65148 Proposed Rule Suspension of the Duty to File Reports for Classes of Asset-Backed Securities Under Section 15(d) of the Securities Exchange Act of 1934 1/6/11 34-63652
• 4/10/13
  S7-02-12
  Identity Theft Red Flags Investment Management, Trading and Markets
  Final Rule Identity Theft Red Flags Rules (Joint Final Rules and Guidelines) 4/10/13 34-69359 Proposed Rule Identity Theft Red Flags Rules (Joint Proposed Rules; Guidelines) 2/27/12 IC-29969
• 11/13/14
  S7-02-13
  Cross-Border Application of Security-Based Swap Rules Trading and Markets
  Final Rule Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities 11/13/14 33-9681 Proposed Rule Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and Forms Relating to the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants 5/1/13 34-69490
• 6/27/11
  S7-03-10
  Risk Management Controls for Market Access Trading and Markets
  Final Rule Risk Management Controls for Brokers or Dealers with Market Access 6/27/11 34-64748 Final Rule Risk Management Controls for Brokers or Dealers with Market Access 11/3/10 34-63241 Proposed Rule Risk Management Controls for Brokers or Dealers with Market Access 1/19/10 34-61379
• 6/8/16
  S7-03-11
  Security-Based Swap Trade Acknowledgments Trading and Markets
  Final Rule Trade Acknowledgment and Verification of Security-Based Swap Transactions 6/8/16 34-78011 Proposed Rule Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act 5/1/13 34-69491 Proposed Rule Trade Acknowledgment and Verification of Security-Based Swap Transactions 1/14/11 34-63727
• 7/23/14
  S7-03-13
  Money Market Fund Reform Investment Management
  Final Rule Money Market Fund Reform; Amendments to Form PF 7/23/14 33-9616 Proposed Rule Money Market Fund Reform; Amendments to Form PF 6/5/13 33-9408
• 9/28/16
  S7-03-14
  Clearing Agency Standards Trading and Markets
  Final Rule Standards for Covered Clearing Agencies 9/28/16 34-78961 Proposed Rule Standards for Covered Clearing Agencies 3/12/14 34-71699
• 2/11/15
  S7-03-15
  Security-Based Swap Reporting and Dissemination — Further Amendments Trading and Markets
  Final Rule Regulation SBSR—Reporting and Dissemination of Security-Based Swap Information 7/14/16 34-78321 Proposed Rule Regulation SBSR—Reporting and Dissemination of Security-Based Swap Information 2/11/15 34-74245
• 9/5/08
  S7-04-08
  Foreign Issuer Exemption from Section 12(g) Corporation Finance
  Final Rule Exemption From Registration Under Section 12(g) of the Securities Exchange Act of 1934 for Foreign Private Issuers 9/5/08 34-58465 Proposed Rule Exemption from Registration Under Section 12(g) of the Securities Exchange Act of 1934 for Foreign Private Issuers 2/19/08 34-57350
• 11/23/09
  S7-04-09
  Credit Rating Agency Reform Trading and Markets
  Final Rule Amendments to Rules for Nationally Recognized Statistical Rating Organizations 11/23/09 34-61050 Proposed Rule Re-proposed Rules for Nationally Recognized Statistical Rating Organizations 2/2/09 34-59343
• 1/26/10
  S7-04-10
  Issuer Stock Repurchases Trading and Markets
  Proposed Rule Purchases of Certain Equity Securities by the Issuer and Others 1/26/10 34-61414
• 3/23/12
  S7-04-11
  Net Worth Standard for Accredited Investors Investment Management
  Final Rule Technical Amendment to Net Worth Standard for Accredited Investors 3/23/12 33-9287A Final Rule Net Worth Standard for Accredited Investors 12/21/11 33-9287 Proposed Rule Net Worth Standard for Accredited Investors 1/25/11 33-9177
• 9/23/08
  S7-05-08
  Foreign Issuer Reporting Enhancements Corporation Finance
  Final Rule Foreign Issuer Reporting Enhancements 9/23/08 33-8959 Proposed Rule Foreign Issuer Reporting Enhancements 2/29/08 33-8900
• 10/31/2011
  S7-05-11
  Private Fund Reporting (Form PF) Investment Management
  Final Rule Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF; Joint Final Rule 10/31/2011 IA-3308 Proposed Rule Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF 1/26/11 IA-3145
• 9/19/19
  S7-05-14
  Security-Based Swap Recordkeeping and Reporting Trading and Markets
  Final Rule Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers 9/19/19 34-87005 Proposed Rule Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Capital Rule for Certain Security-Based Swap Dealers 4/17/14 34-71958
• 07/29/22
  S7-05-15
  Broker-Dealer Membership in Securities Associations Trading and Markets
  Proposed Rule Exemption for Certain Exchange Members 07/29/22 34-95388 Proposed Rule Exemption for Certain Exchange Members 3/25/15 34-74581
• 3/4/08
  S7-06-08
  Privacy of Consumer Financial Information Investment Management, Trading and Markets
  Proposed Rule Part 248 - Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Personal Information (Corrected) 3/4/08 34-57427
• 5/1/13
  S7-06-11
  Security-Based Swap Execution Facilities Trading and Markets
  Proposed Rule Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act 5/1/13 34-69491 Proposed Rule Registration and Regulation of Security-Based Swap Execution Facilities (Proposed Interpretation) 2/2/11 34-63825
• 7/17/12
  S7-06-12
  Mortgage Related and Small Business Related Security Definitions Trading and Markets
  Interpretive Release Commission Guidance Regarding Definitions of Mortgage Related Security and Small Business Related Security 7/17/12 34-67448
• 9/27/13
  S7-06-13
  Regulation D Amendments Corporation Finance
  Proposed Rule Re-opening of Comment Period for Amendments to Regulation D, Form D and Rule 156 9/27/13 33-9458 Proposed Rule Amendments to Regulation D, Form D and Rule 156 under the Securities Act 7/10/13 33-9416
• 2/10/16
  S7-06-15
  U.S. Personnel in Security-Based Swap Activity Trading and Markets
  Final Rule Security-Based Swap Transactions Connected with a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed By Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent; Security-Based Swap Dealer De Minimis Exception 2/10/16 34-77104 Proposed Rule Application of Certain Title VII Requirements to Security-Based Swap Transactions Connected with a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed By Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent 4/29/15 34-74834
• 3/11/08
  S7-07-08
  Exchange-Traded Funds Investment Management
  Proposed Rule Exchange-Traded Funds 3/11/08 33-8901
• 9/16/2015
  S7-07-11
  Credit Rating Reference Removal Investment Management
  Final Rule Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule 9/16/2015 IC-31828 Proposed Rule Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule 7/23/14 IC-31184 Final Rule Removal of Certain References to Credit Ratings Under the Investment Company Act 12/27/2013 33-9506 Final Rule Purchase of Certain Debt Securities by Business and Industrial Development Companies Relying on an Investment Company Act Exemption 11/19/12 IC-30268 Proposed Rule References to Credit Ratings in Certain Investment Company Act Rules and Forms 3/3/11 33-9193
• 7/10/2013
  S7-07-12
  General Solicitation Corporation Finance
  Final Rule Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings 7/10/2013 33-9415 Proposed Rule Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings 8/29/12 33-9354
• 9/21/17
  S7-07-13
  Pay Ratio Corporation Finance
  Interpretive Releases Commission Guidance on Pay Ratio Disclosure 9/21/17 33-10415 Final Rule Pay Ratio Disclosure 8/5/15 33-9877 Proposed Rule Pay Ratio Disclosure 9/18/13 33-9452
• 7/8/15
  S7-07-14
  FOIA Rule Amendments Office of FOIA Services
  Final Rule Freedom of Information Act Regulations: Fee Schedule, Addition of Appeals Time Frame, and Miscellaneous Administrative Changes 7/8/15 34-75388 Proposed Rule Freedom of Information Act Regulations: Fee Schedule, Addition of Appeal Time Frame, and Miscellaneous Administrative Changes 6/20/14 34-72440
• 08/25/22
  S7-07-15
  Pay Versus Performance Corporation Finance
  Final Rule Pay Versus Performance 08/25/22 34-95607 Proposed Rule Reopening of Comment Period for Pay Versus Performance 01/27/22 34-94074 Proposed Rule Pay Versus Performance 4/29/15 34-74835
• 10/14/08
  S7-08-08
  "Naked" Short Selling Anti-Fraud Trading and Markets
  Final Rule "Naked" Short Selling Antifraud Rule 10/14/08 34-58774 Proposed Rule "Naked" Short Selling Anti-Fraud Rule 3/17/08 34-57511
• 11/4/10
  S7-08-09
  Short Sale Rule Amendments Trading and Markets
  Final Rule Regulation SHO (Extension of Compliance Date) 11/4/10 34-63247 Final Rule Amendments to Regulation SHO 2/26/10 34-61595 Proposed Rule Amendments to Regulation SHO 8/17/09 34-60509 Proposed Rule Amendments to Regulation SHO 4/10/09 34-59748
• 06/16/16
  S7-08-10
  Asset-Backed Securities Corporation Finance
  Final Rule Asset-Backed Securities Disclosure and Registration (Technical Amendment) 06/16/16 33-10099 Final Rule Asset-Backed Securities Disclosure and Registration (Technical Amendment) 2/3/15 33-9720 Final Rule Asset-Backed Securities Disclosure and Registration 9/4/14 33-9638 Proposed Rule Extension of Comment Period for Asset-Backed Securities Release 3/28/14 33-9568 Proposed Rule Re-Opening of Comment Period for Asset-Backed Securities Release 2/25/14 33-9552 Proposed Rule Re-proposal of Shelf Eligibility Conditions for Asset-Backed Securities and Other Additional Requests for Comment 7/26/11 33-9244 Proposed Rule Asset-Backed Securities 4/7/10 33-9117
• 12/16/20
  S7-08-11
  Clearing Agency Standards Trading and Markets
  Final Rule Exemption from the Definition of "Clearing Agency" for Certain Activities of Security-Based Swap Dealers and Security-Based Swap Execution Facilities 12/16/20 34-90667 Final Rule Clearing Agency Standards 10/22/12 34-68080 Final Rule Clearing Agency Standards 10/22/12 34-68080 Proposed Rule Clearing Agency Standards for Operation and Governance 3/3/11 34-64017
• 06/21/19
  S7-08-12
  Security-Based Swap Capital, Margin, and Segregation Trading and Markets
  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 06/21/19 34-86175 Proposed Rule Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers 10/11/18 34-84409 Proposed Rule Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act 5/1/13 34-69491 Proposed Rule Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers 1/15/13 34-68660 Proposed Rule Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers 10/18/12 34-68071
• 11/29/18
  S7-08-15
  Investment Company Data Enhancements Investment Management
  Final Rule Form N-1A; Correction 11/29/18 33-10577 Final Rule Optional Internet Availability of Investment Company Shareholder Reports 06/05/18 33-10506 Final Rule Investment Company Reporting Modernization 12/08/17 33-10442 Final Rule Investment Company Reporting Modernization 10/13/16 33-10231 Proposed Rule Investment Company Reporting Modernization 5/20/15 33-9776
• 12/30/09
  S7-09-09
  Custody by Investment Advisers Investment Management
  Final Rule Custody of Funds or Securities of Clients by Investment Advisers 12/30/09 IA-2968 Proposed Rule Custody of Funds or Securities of Clients by Investment Advisers 5/20/09 IA-2876
• 4/14/10
  S7-09-10
  Access Fees for Listed Options Trading and Markets
  Proposed Rule Proposed Amendments to Rule 610 of Regulation NMS 4/14/10 34-61902
• 10/30/15
  S7-09-13
  Crowdfunding Corporation Finance, Trading and Markets
  Final Rule Crowdfunding 10/30/15 33-9974 Proposed Rule Crowdfunding 10/23/13 33-9470
• 1/5/18
  S7-09-14
  Security-Based Swap Communications Corporation Finance
  Final Rule Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only By Eligible Contract Participants 1/5/18 33-10450 Proposed Rule Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only By Eligible Contract Participant 9/8/14 33-9643
• 8/25/16
  S7-09-15
  Investment Adviser Data Enhancements Investment Management
  Final Rule Form ADV and Investment Advisers Act Rules 8/25/16 IA-4509 Proposed Rule Amendments to Form ADV and Investment Advisers Act Rules 5/20/15 IA-4091
• 9/19/08
  S7-10-08
  Cross-Border Business Combinations Corporation Finance
  Final Rule 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 9/19/08 33-8957 Proposed Rule Revisions to the Cross-Border Tender Offer, Exchange Offer, and Business Combination Rules and Beneficial Ownership Reporting Rules for Certain Foreign Institutions 5/6/08 33-8917
• 9/15/11
  S7-10-09
  Shareholder Director Nominations Corporation Finance
  Final Rule Facilitating Shareholder Director Nominations (Notice of Effective Date) 9/15/11 33-9259 Final Rule Facilitating Shareholder Director Nominations 8/25/10 33-9136 Proposed Rule Facilitating Shareholder Director Nominations 12/14/09 33-9086 Proposed Rule Facilitating Shareholder Director Nominations 6/10/09 33-9046
• 7/27/11
  S7-10-10
  Large Trader Reporting Trading and Markets
  Final Rule Large Trader Reporting 7/27/11 34-64976 Proposed Rule Large Trader Reporting System 4/14/10 34-61908
• 6/8/11
  S7-10-11
  Security-Based Swap Beneficial Ownership Corporation Finance
  Final Rule Beneficial Ownership Reporting Requirements and Security-Based Swaps (Confirmation) 6/8/11 34-64628 Proposed Rule Beneficial Ownership Reporting Requirements and Security-Based Swaps 3/17/11 34-64087
• 4/1/09
  S7-11-08
  XBRL for Financial Reporting Corporation Finance
  Final Rule Interactive Data to Improve Financial Reporting (Correction) 4/1/09 33-9002A Final Rule Interactive Data to Improve Financial Reporting 1/30/09 33-9002 Proposed Rule Interactive Data to Improve Financial Reporting 5/30/08 33-8924
• 2/23/10
  S7-11-09
  Money Market Fund Reform Investment Management
  Final Rule Money Market Fund Reform 2/23/10 IC-29132 Proposed Rule Money Market Fund Reform 6/30/09 IC-28807
• 7/18/12
  S7-11-10
  Consolidated Audit Trail Trading and Markets
  Final Rule Consolidated Audit Trail 7/18/12 34-67457 Proposed Rule Consolidated Audit Trail 5/26/10 34-62174
• 1/16/2013
  S7-11-11
  Lost Securityholders Trading and Markets
  Final Rule Lost Securityholders and Unresponsive Payees 1/16/2013 34-68668 Proposed Rule Proposed amendments to Rule 17Ad-17; Transfer agents', brokers', and dealers' obligation to search for lost securityholders; paying agents' obligation to search for securityholders 3/18/11 34-64099
• 3/25/15
  S7-11-13
  Regulation A+ Corporation Finance
  Final Rule Amendments to Regulation A 3/25/15 33-9741 Proposed Rule Proposed Rule Amendments for Small and Additional Issues Exemptions Under Section 3(b) of the Securities Act 12/18/13 33-9497
• 5/1/09
  S7-12-08
  XBRL for Mutual Fund Risk/Return Summary Investment Management
  Final Rule Interactive Data For Mutual Fund Risk/Return Summary; Correction 5/1/09 33-9006A Final Rule Interactive Data for Mutual Fund Risk/Return Summary 2/11/09 33-9006 Proposed Rule Interactive Data For Mutual Fund Risk/Return Summary 6/10/08 33-8929
• 1/12/10
  S7-12-09
  Executive Compensation of TARP Recipients Corporation Finance
  Final Rule Shareholder Approval of Executive Compensation of TARP Recipients 1/12/10 34-61335 Proposed Rule Shareholder Approval of Executive Compensation of TARP Recipients 7/1/09 34-60218
• 4/3/14
  S7-12-10
  Target Date Fund Names and Marketing Investment Management
  Proposed Rule Investment Company Advertising: Target Date Retirement Fund Names and Marketing 4/3/14 33-9570 Proposed Rule Investment Company Advertising: Target Date Retirement Fund Names and Marketing (Reopening of Comment Period) 4/3/12 33-9309 Proposed Rule Investment Company Advertising: Target Date Retirement Fund Names and Marketing 6/16/10 33-9126
• 3/29/11
  S7-12-11
  Incentive-Based Compensation Investment Management, Trading and Markets
  Proposed Rule Incentive-Based Compensation Arrangements 3/29/11 34-64140
• 12/21/16
  S7-12-14
  Exchange Act Registration Requirements Corporation Finance
  Final Rule Technical Correction: Changes to Exchange Act Registration Requirements to Implement Title V and Title VI of the JOBS Act 12/21/16 33-10075A Final Rule Changes to Exchange Act Registration Requirements to Implement Title V and Title VI of the JOBS Act 05/03/16 33-10075 Proposed Rule Changes to Exchange Act Registration Requirements to Implement Title V and Title VI of the JOBS Act 12/18/14 33-9693
• 10/26/22
  S7-12-15
  Compensation Clawbacks Corporation Finance
  Final Rule Listing Standards for Recovery of Erroneously Awarded Compensation 10/26/22 33-11126 Proposed Rule Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation 06/08/22 33-11071 Proposed Rule Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation 10/14/21 33-10998 Proposed Rule Listing Standards for Recovery of Erroneously Awarded Compensation 7/1/15 33-9861
• 2/2/09
  S7-13-08
  Credit Rating Agency Reform Trading and Markets
  Final Rule Amendments to Rules for Nationally Recognized Statistical Rating Organizations 2/2/09 34-59342 Proposed Rule Proposed Rules for Nationally Recognized Statistical Rating Organizations 6/16/08 34-57967
• 2/23/10
  S7-13-09
  Proxy Disclosure Enhancements Corporation Finance
  Final Rule Proxy Disclosure Enhancements (Correction) 2/23/10 33-9089A Final Rule Proxy Disclosure Enhancements 12/16/09 33-9089 Proposed Rule Proxy Disclosure and Solicitation Enhancements 6/10/09 33-9052
• 6/20/12
  S7-13-11
  Listing Standards for Compensation Committees Corporation Finance
  Final Rule Listing Standards for Compensation Committees (Updated to include Effective and Compliance Dates) 6/20/12 33-9330 Proposed Rule Listing Standards for Compensation Committees (Extension of Comment Period) 4/29/11 33-9203 Proposed Rule Listing Standards for Compensation Committees 3/30/11 33-9199
• 7/1/15
  S7-13-15
  Audit Committee Disclosures Office of the Chief Accountant
  Concept Release Possible Revisions to Audit Committee Disclosures 7/1/15 33-9862
• 10/14/10
  S7-14-08
  Indexed Annuities Investment Management
  Final Rule Indexed Annuities (Final Rule; Withdrawal; Request for Comment on Paperwork Reduction Act Burden Estimate) 10/14/10 33-9152 Final Rule Indexed Annuities and Certain Other Insurance Contracts 1/8/09 33-8996 Proposed Rule Indexed Annuities and Certain Other Insurance Contracts 10/10/08 33-8976 Proposed Rule Indexed Annuities and Certain Other Insurance Contracts 6/25/08 33-8933
• 7/14/10
  S7-14-10
  U.S. Proxy System Corporation Finance
  Concept Release Concept Release on the U.S. Proxy System 7/14/10 34-62495
• 10/22/14
  S7-14-11
  Credit Risk Retention Corporation Finance
  Final Rule Credit Risk Retention 10/22/14 34-73407 Proposed Rule Credit Risk Retention 8/28/13 34-70277 Proposed Rule Credit Risk Retention (Extension of Comment Period) 6/6/11 34-64603 Proposed Rule Credit Risk Retention 3/30/11 34-64148
• 12/19/18
  S7-14-15
  Applications by Security-Based Swap Entities for Statutorily Disqualified Associated Persons Trading and Markets
  Proposed 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 8/5/15 34-75612 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 12/19/18 34-84858
• 12/31/08
  S7-15-08
  Oil and Gas Reporting Corporation Finance
  Final Rule Modernization of Oil and Gas Reporting (Conforming Version) 12/31/08 33-8995 Proposed Rule Modernization of the Oil and Gas Reporting Requirements 6/26/08 33-8935
• 5/27/10
  S7-15-09
  Municipal Securities Disclosure Trading and Markets
  Final Rule Amendment to Municipal Securities Disclosure (Final Rule; Interpretation) 5/27/10 34-62184A Proposed Rule Proposed Amendment to Municipal Securities Disclosure 7/17/09 34-60332
• 7/21/10
  S7-15-10
  Mutual Fund Distribution Fees Investment Management
  Proposed Rule Mutual Fund Distribution Fees; Confirmations 7/21/10 33-9128
• 7/2/14
  S7-15-11
  Credit Rating Reference Removal Trading and Markets
  Final Rule Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 (Correction) 7/2/14 34-71194A Final Rule Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 12/27/13 34-71194 Proposed Rule Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 4/27/11 34-64352
• 6/27/08
  S7-16-08
  Foreign Broker-Dealer Exemption Trading and Markets
  Proposed Rule Exemption of Certain Foreign Brokers or Dealers (Corrected) 6/27/08 34-58047
• 8/13/10
  S7-16-10
  Security-Based Swap Definitions Trading and Markets
  Concept Release Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act 8/13/10 34-62717
• 5/12/15
  S7-16-11
  Swap Product Definitions Trading and Markets
  Interpretive Release Forward Contracts with Embedded Volumetric Optionality 5/12/15 34-74936 Interpretive Release Forward Contracts with Embedded Volumetric Optionality 11/13/14 33-9681 Final Rule Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping 7/18/12 33-9338 Proposed Rule Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping (Joint Proposed Rules; Proposed Interpretation; Correction) 6/1/11 33-9204A Proposed Rule Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping (Proposed Interpretations) 4/29/11 33-9204
• 10/5/09
  S7-17-08
  Credit Rating Reference Removal Trading and Markets
  Final Rule References to Ratings of Nationally Recognized Statistical Rating Organizations 10/5/09 34-60789 Proposed Rule References to Ratings of Nationally Recognized Statistical Rating Organizations 10/5/09 33-9069 Proposed Rule References to Ratings Of Nationally Recognized Statistical Rating Organizations 7/1/08 34-58070
• 2/15/12
  S7-17-11
  Investment Adviser Performance Compensation Investment Management
  Final Rule Investment Adviser Performance Compensation 2/15/12 IA-3372 Proposed Rule Investment Adviser Performance Compensation (Notice of Intent to Issue Order) 5/10/11 IA-3198
• 7/27/11
  S7-18-08
  Credit Rating Reference Removal Corporation Finance
  Final Rule Security Ratings 7/27/11 33-9245 Proposed Rule Security Ratings 2/9/11 33-9186 Proposed Rule Security Ratings 7/1/08 33-8940
• 6/8/12
  S7-18-09
  Political Contributions by Investment Advisers Investment Management
  Final Rule Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation (Extension of Compliance Date) 6/8/12 IA-3418 Final Rule Political Contributions by Certain Investment Advisers 7/1/10 IA-3043 Proposed Rule Political Contributions by Certain Investment Advisers 8/3/09 IA-2910
• 12/16/10
  S7-18-10
  Filing Accommodation for Static Pool Information Corporation Finance
  Final Rule Extension of Filing Accommodation for Static Pool Information in Filings with Respect to Asset-Backed Securities 12/16/10 33-9165 Proposed Rule Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities 8/30/10 33-9137
• 8/27/14
  S7-18-11
  Credit Rating Agency Reform Trading and Markets
  Final Rule Nationally Recognized Statistical Rating Organizations 8/27/14 34-72936 Proposed Rule Proposed Rules for Nationally Recognized Statistical Rating Organizations 5/18/11 34-64514
• 10/5/09
  S7-19-08
  Credit Rating Reference Removal Investment Management
  Proposed Rule References to Ratings of Nationally Recognized Statistical Rating Organizations 10/5/09 33-9069 Final Rule References to Ratings of Nationally Recognized Statistical Rating Organizations 10/5/09 34-60789 Proposed Rule References to Ratings of Nationally Recognized Statistical Rating Organizations (Corrected) 7/1/08 IC-28327
• 9/23/13
  S7-19-10
  Temporary Registration of Municipal Advisors Office of Municipal Securities
  Interim Final Rule Extension of Temporary Registration of Municipal Advisors 9/23/13 34-70468 Interim Final Rule Extension of Temporary Registration of Municipal Advisors 9/21/12 34-67901 Interim Final Rule Extension of Temporary Registration of Municipal Advisors 12/21/11 34-66020 Interim Final Rule Temporary Registration of Municipal Advisors (Interim final temporary rule; Request for comments) 9/1/10 34-62824
• 9/12/11
  S7-19-11
  Privacy Act Exemptions Office of Information Technology
  Final Rule Privacy Act of 1974: Implementation and Amendment of Exemptions 9/12/11 PA-47 Proposed Rule Privacy Act of 1974: Implementation and Amendment of Exemptions 5/18/11 PA-45
• 9/18/09
  S7-20-09
  Disclosure of Money Market Fund Portfolios Investment Management
  Final Rule Disclosure of Certain Money Market Fund Portfolio Holdings (Interim Final Temporary Rule; Request for Comment) 9/18/09 IC-28903
• 12/5/08
  S7-21-08
  Municipal Securities Disclosure Trading and Markets
  Final Rule Amendment to Municipal Securities Disclosure 12/5/08 34-59062 Proposed Rule Proposed Amendment to Municipal Securities Disclosure 7/30/08 34-58255
• 7/2/10
  S7-21-09
  Elimination of Flash Order Exception Trading and Markets
  Proposed Rule Elimination of Flash Order Exception from Rule 602 of Regulation NMS (Proposed Rule; Reopening of Comment Period) 7/2/10 34-62445 Proposed Rule Elimination of Flash Order Exception From Rule 602 of Regulation NMS 9/18/09 34-60684
• 7/10/13
  S7-21-11
  Bad Actors in Rule 506 Offerings Corporation Finance
  Final Rule Disqualification of Felons and Other "Bad Actors" from Rule 506 Offerings 7/10/13 33-9414 Proposed Rule Disqualification of Felons and Other "Bad Actors" From Rule 506 Offerings 5/25/11 33-9211
• 7/30/08
  S7-22-08
  Investment Company Board Independence Investment Management
  Proposed Rule Commission Guidance Regarding the Duties and Responsibilities of Investment Company Boards of Directors with Respect to Investment Adviser Portfolio Trading Practices 7/30/08 34-58264
• 2/22/10
  S7-22-09
  Internet Availability of Proxy Materials Corporation Finance
  Final Rule Amendments to Rules Requiring Internet Availability of Proxy Materials 2/22/10 33-9108 Proposed Rule Amendments to Rules Requiring Internet Availability of Proxy Materials 10/14/09 33-9073
• 9/17/10
  S7-22-10
  Short-Term Borrowings Disclosure Corporation Finance
  Proposed Rule Short-Term Borrowings Disclosure 9/17/10 33-9143
• 3/30/12
  S7-22-11
  Exemptions for Security-Based Swaps Corporation Finance
  Final Rule Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies 3/30/12 33-9308 Proposed Rule Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies 6/9/11 33-9222
• 8/1/08
  S7-23-08
  Company Web Sites Corporation Finance
  Interpretive Release Commission Guidance on the Use of Company Web Sites 8/1/08 34-58288
• 12/15/09
  S7-23-09
  Filing Accommodation for Static Pool Information Corporation Finance
  Final Rule Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities 12/15/09 33-9087 Proposed Rule Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities 10/19/09 33-9074
• 9/29/10
  S7-23-10
  Regulation FD Exemption for Credit Rating Agencies Corporation Finance
  Final Rule Removal From Regulation FD of the Exemption for Credit Rating Agencies 9/29/10 33-9146
• 7/30/13
  S7-23-11
  Broker-Dealer Reports Trading and Markets
  Final Rule Broker-Dealer Reports 7/30/13 34-70073 Proposed Rule Broker-Dealer Reports 6/15/11 34-64676
• 10/22/09
  S7-24-09
  Credit Ratings Disclosure Corporation Finance, Investment Management
  Proposed Rule Credit Ratings Disclosure (Corrected) 10/22/09 33-9070A Proposed Rule Credit Ratings Disclosure 10/7/09 33-9070
• 8/25/11
  S7-24-10
  Disclosure for Asset-Backed Securities Corporation Finance
  Final Rule Correcting Amendment: Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act 8/25/11 33-9175A Final Rule Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act 1/20/11 33-9175 Proposed Rule Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act 10/4/10 33-9148
• 10/22/09
  S7-25-09
  Possible Rescission of Rule 436(g) Corporation Finance
  Concept Release Concept Release on Possible Rescission of Rule 436(g) Under the Securities Act of 1933 10/22/09 33-9071A Concept Release Concept Release on Possible Rescission of Rule 436(g) Under the Securities Act of 1933 (Corrected) 10/7/09 33-9071
• 6/22/11
  S7-25-10
  Family Offices Investment Management
  Final Rule Family Offices 6/22/11 IA-3220 Proposed Rule Family Offices 10/12/10 IA-3098
• 4/14/16
  S7-25-11
  Security-Based Swap Business Conduct Standards Trading and Markets
  Final Rule Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants 4/14/16 34-77617 Proposed Rule Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act 5/1/13 34-69491 Proposed Rule Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants 6/29/11 34-64766
• 1/20/11
  S7-26-10
  Issuer Review of Assets in Offerings of Asset-Backed Securities Corporation Finance
  Final Rule Issuer Review of Assets in Offerings of Asset-Backed Securities 1/20/11 33-9176 Proposed Rule Issuer Review of Assets in Offerings of Asset-Backed Securities 10/13/10 33-9150
• 2/10/17
  S7-26-11
  Exemptions for Security-Based Swaps Corporation Finance
  Interim Final Rule Exemptions for Security-Based Swaps 2/10/17 33-10305 Interim Final Rule Extension of Exemptions for Security-Based Swaps 2/5/14 33-9545 Interim Final Rule Extension of Exemptions for Security-Based Swaps 1/29/13 33-9383 Interim Final Rule Exemptions for Security-based Swaps (Request for Comments) 7/1/11 33-9231
• 2/3/09
  S7-27-08
  IFRS Roadmap Corporation Finance
  Proposed Rule Roadmap for the Potential Use of Financial Statements Prepared in Accordance With International Financial Reporting Standards by U.S. Issuers 2/3/09 33-9005 Proposed Rule Roadmap for the Potential Use of Financial Statements Prepared in Accordance with International Financial Reporting Standards by U.S. Issuers 11/14/08 33-8982
• 11/13/09
  S7-27-09
  Non-Public Trading Interest Trading and Markets
  Proposed Rule Regulation of Non-Public Trading Interest (Corrected) 11/13/09 34-60997
• 5/1/13
  S7-27-10
  Security-Based Swaps — Regulation MC Trading and Markets
  Proposed Rule Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act 5/1/13 34-69491 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 (Reopening of Comment Period) 3/3/11 34-64018 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 10/14/10 34-63107
• 11/23/09
  S7-28-09
  Credit Rating Agency Reform Trading and Markets
  Proposed Rule Proposed Rules for Nationally Recognized Statistical Rating Organizations 11/23/09 34-61051
• 10/13/10
  S7-28-10
  Reporting of Security-Based Swap Transaction Data Trading and Markets
  Interim Final Rule Reporting of Security-Based Swap Transaction Data (Interim Final Temporary Rule; Request for Comments) 10/13/10 34-63094
• 4/3/13
  S7-29-11
  Dually-Registered Clearing Agencies Trading and Markets
  Final Rule Amendment to Rule Filing Requirements for Dually-Registered Clearing Agencies 4/3/13 34-69284 Interim Final Rule Amendment to Rule Filing Requirements for Dually-Registered Clearing Agencies (Request for Comments) 7/7/11 34-64832
• 7/27/09
  S7-30-08
  Short Sale Rule Amendments Trading and Markets
  Final Rule Amendments to Regulation SHO 7/27/09 34-60388 Final Rule Amendments to Regulation SHO 10/14/08 34-58773
• 12/18/09
  S7-30-09
  Well-Known Seasoned Issuer Amendments Corporation Finance
  Proposed Rule Revisions to Rule 163 12/18/09 33-9098
• 10/18/10
  S7-30-10
  Reporting of Proxy Votes on Executive Compensation Investment Management
  Proposed Rule Reporting of Proxy Votes on Executive Compensation and Other Matters 10/18/10 34-63123
• 7/11/12
  S7-30-11
  Retail Foreign Exchange Transactions Trading and Markets
  Final Rule Retail Foreign Exchange Transactions 7/11/13 34-69964 Interim Final Rule Extension of Interim Final Temporary Rule on Retail Foreign Exchange Transactions 7/11/12 34-67405 Interim Final Rule Retail Foreign Exchange Transactions (Request for Comments) 7/13/11 34-64874
• 10/15/08
  S7-31-08
  Short Sale Disclosures Corporation Finance, Investment Management, Trading and Markets
  Final Rule Disclosure of Short Sales and Short Positions by Institutional Investment Managers 10/15/08 34-58785
• 1/25/11
  S7-31-10
  Shareholder Approval of Executive Compensation Corporation Finance
  Final Rule Shareholder Approval of Executive Compensation and Golden Parachute Compensation 1/25/11 33-9178 Proposed Rule Shareholder Approval of Executive Compensation and Golden Parachute Compensation 10/18/10 33-9153
• 1/20/12
  S7-31-11
  Covered Securities of BATS Exchange Trading and Markets
  Final Rule Covered Securities of BATS Exchange, Inc (Corrected) 1/20/12 33-9295 Proposed Rule Covered Securities Pursuant to Section 18 of the Securities Act of 1933 8/8/11 33-9251
• 11/20/08
  S7-32-08
  Money Market Fund Liquidation Investment Management
  Final Rule Temporary Exemption for Liquidation of Certain Money Market Funds 11/20/08 IC-28487
• 12/15/21
  S7-32-10
  Security-Based Swap Antifraud Trading and Markets
  Proposed Rule Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions 12/15/21 34-93784 Proposed Rule Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act 5/1/13 34-69491 Proposed Rule Prohibition Against Fraud, Manipulation, and Deception in Connection with Security-Based Swaps 11/3/10 34-63236
• 12/23/08
  S7-33-08
  Regulation Concerning Records Services Office of General Counsel
  Proposed Rule Proposed Amendment to Existing Regulation Concerning Records Services, Fee Schedule 12/23/08 34-59150
• 5/25/11
  S7-33-10
  Whistleblowers
  Final Rule Implementation of the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934 5/25/11 34-64545 Proposed Rule Proposed Rules for Implementing the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934 11/3/10 34-63237
• 8/31/11
  S7-33-11
  Investment Company Derivatives Investment Management
  Concept Release Use of Derivatives by Investment Companies under the Investment Company Act of 1940 8/31/11 IC-29776
• 2/11/15
  S7-34-10
  Security-Based Swap Reporting and Dissemination Trading and Markets
  Final Rule Regulation SBSR—Reporting and Dissemination of Security-Based Swap Information 2/11/15 34-74244 Proposed Rule Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and Forms Relating to the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants 5/1/13 34-69490 Proposed Rule Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act 5/1/13 34-69491 Proposed Rule Regulation SBSR—Reporting and Dissemination of Security-Based Swap Information 11/19/10 34-63346
• 8/31/11
  S7-34-11
  Mortgage-Related Pools as Investment Companies Investment Management
  Concept Release Companies Engaged in the Business of Acquiring Mortgages and Mortgage-Related Instruments 8/31/11 IC-29778
• 2/11/15
  S7-35-10
  Security-Based Swap Data Repositories Trading and Markets
  Final Rule Security-Based Swap Data Repository Registration, Duties, and Core Principles 2/11/15 34-74246 Proposed Rule Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act 5/1/13 34-69491 Proposed Rule Security-Based Swap Data Repository Registration, Duties, and Core Principles 11/19/10 34-63347
• 8/31/11
  S7-35-11
  Asset-Backed Issuers as Investment Companies Investment Management
  Concept Release Treatment of Asset-Backed Issuers under the Investment Company Act (Advance Notice of Proposed Rulemaking) 8/31/11 IC-29779
• 5/8/12
  S7-36-10
  Rules Implementing Amendments to the Advisers Act Investment Management
  Final Rule Technical Amendment to Rule 206(4)-5: Political Contributions by Certain Investment Advisers 5/8/12 IA-3403 Final Rule Rules Implementing Amendments to the Investment Advisers Act of 1940 (Corrected) 6/22/11 IA-3221 Proposed Rule Rules Implementing Amendments to the Investment Advisers Act of 1940 11/19/10 IA-3110
• 6/22/11
  S7-37-10
  Venture Capital Adviser Exemption Investment Management
  Final Rule Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers 6/22/11 IA-3222 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 11/19/10 IA-3111
• 12/23/11
  S7-38-11
  Conflicts of Interest in Securitization Trading and Markets
  Proposed Rule Prohibition Against Conflicts of Interest in Certain Securitizations (Extension of Comment Period) 12/23/11 34-66058 Proposed Rule Prohibition Against Conflicts of Interest in Certain Securitizations (Extension of Comment Period) 12/13/11 34-65942 Proposed Rule Prohibition against Conflicts of Interest in Certain Securitizations 9/19/11 34-65355
• 4/27/12
  S7-39-10
  Security-Based Swap Entity Definitions Trading and Markets
  Final Rule Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant" (Joint Final Rule; Joint Interim Final Rule; Interpretation) 4/27/12 34-66868 Proposed Rule Further Definition of "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant"(Proposed Interpretations) 12/7/10 34-63452
• 8/22/12
  S7-40-10
  Conflict Minerals Corporation Finance
  Final Rule Conflict Minerals 8/22/12 34-67716 Proposed Rule Conflict Minerals (Extension of Comment Period) 1/28/11 34-63793 Proposed Rule Conflict Minerals 12/15/10 34-63547
• 8/5/15
  S7-40-11
  Security-Based Swap Entity Registration Trading and Markets
  Final Rule Registration Process for Security-Based Swap Dealers and Major Security-Based Swap Participants 8/5/15 34-75611 Proposed Rule Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act 5/1/13 34-69491 Proposed Rule Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and Forms Relating to the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants 5/1/13 34-69490 Proposed Rule Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants 10/12/11 34-65543
• 12/21/11
  S7-41-10
  Mine Safety Disclosure Corporation Finance
  Final Rule Mine Safety Disclosure 12/21/11 33-9286 Proposed Rule Mine Safety Disclosure (Extension of Comment Period) 1/28/11 33-9179 Proposed Rule Mine Safety Disclosure 12/15/10 33-9164
• 12/10/13
  S7-41-11
  Volcker Rule Investment Management, Trading and Markets
  Final Rule Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds 12/10/13 BHCA-1 Proposed Rule Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds (Extension of Comment Period) 12/23/11 34-66057 Proposed Rule Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds (Notice of Proposed Rulemaking) 10/12/11 34-65545
• 8/22/12
  S7-42-10
  Disclosure of Payments by Resource Extraction Issuers Corporation Finance
  Final Rule Disclosure of Payments by Resource Extraction Issuers 8/22/12 34-67717 Proposed Rule Disclosure of Payments by Resource Extraction Issuers 12/15/10 34-63549
• 5/1/13
  S7-43-10
  End-User Exception to Mandatory Clearing of Security-Based Swaps Trading and Markets
  Proposed Rule Reopening of Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act 5/1/13 34-69491 Proposed Rule End-User Exception to Mandatory Clearing of Security-Based Swaps 12/15/10 34-63556
• 12/5/12
  S7-44-10
  Notice Filing Requirements for Clearing Agencies Trading and Markets
  Final Rule Extension of Dates for Certain Requirements of Rule 19b-4(n)(1) and Rule 19b-4(o)(2) and Amendment of Form 19b-4 12/5/12 34-68357 Final Rule 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 6/28/12 34-67286 Proposed Rule 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 12/15/10 34-63557
• 1/13/14
  S7-45-10
  Registration of Municipal Advisors Office of Municipal Securities
  Final Rule Temporary Stay of Final Rule on Registration of Municipal Advisors 1/13/14 34-71288 Final Rule Registration of Municipal Advisors 9/20/13 34-70462 Proposed Rule Registration of Municipal Advisors 12/20/10 34-63576
• 10/13/16
  S7-16-15
  Open-End Fund Liquidity Risk Management Programs and Swing Pricing Investment Management
  Final Rule Investment Company Swing Pricing 10/13/16 33-10234 Final Rule Investment Company Liquidity Risk Management Programs 10/13/16 33-10233 Proposed Rule Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release 9/22/15 33-9922
• 7/13/16
  S7-18-15
  Amendments to the Commission's Rules of Practice Office of General Counsel
  Final Rule Amendments to the Commission’s Rules of Practice 7/13/16 34-78319 Proposed Rule Amendments to the Commission's Rules of Practice 9/24/15 34-75976
• 11/17/20
  S7-19-15
  Amendments to the Commission's Rules of Practice Office of General Counsel
  Final Rule Amendments to the Commission’s Rules of Practice 11/17/20 34-90442 Proposed Rule Amendments to the Commission's Rules of Practice 9/24/15 34-75977
• 10/26/16
  S7-22-15
  Securities Act Rule 147 and 504 Corporation Finance
  Final Rule Exemptions to Facilitate Intrastate and Regional Securities Offerings 10/26/16 33-10238 Proposed Rule Proposed Rule Amendments to Facilitate Intrastate and Regional Securities Offerings 10/30/15 33-9973
• 7/18/18
  S7-23-15
  Exchange Act 3a1-1 and Regulation ATS Trading and Markets
  Final Rule Regulation of NMS Stock Alternative Trading Systems 7/18/18 34-83663 Proposed Rule Regulation of NMS Stock Alternative Trading Systems 11/18/15 34-76474 Final Rule Regulation of NMS Stock Alternative Trading Systems (Technical Correction) 11/06/18 34-84541
• 06/27/16
  S7-25-15
  Disclosure of Payments by Resource Extraction Issuers Corporation Finance
  Final Rule Disclosure of Payments by Resource Extraction Issuers 06/27/16 34-78167 Proposed Rule Extension of Comment Period for Disclosure of Payments by Resource Extraction Issuers 01/21/16 34-76958 Proposed Rule Disclosure of Payments by Resource Extraction Issuers 12/11/15 34-76620
• 11/2/20
  S7-24-15
  Use of Derivatives by Registered Investment Companies and Business Development Companies Investment Management
  Final Rule Use of Derivatives by Registered Investment Companies and Business Development Companies 11/2/20 IC-34084 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 11/25/19 34-87607 Proposed Rule Use of Derivatives by Registered Investment Companies and Business Development Companies 12/11/15 IC-31933
• 08/29/16
  S7-15-15
  Access to Data Obtained by Security-Based Swap Data Repositories and Exemption from Indemnification Requirement Trading and Markets
  Final Rule Access to Data Obtained by Security-Based Swap Data Repositories 08/29/16 34-78716 Proposed Rule Access to Data Obtained by Security-Based Swap Data Repositories and Exemption from Indemnification Requirement 01/15/16 34-76922
• 07/24/20
  S7-02-16
  Covered Broker-Dealer Provisions under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act Trading and Markets
  Final Rule Covered Broker-Dealer Provisions under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act 07/24/20 34-89394 Proposed Rule Covered Broker-Dealer Provisions under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act 02/17/16 34-77157
• 12/22/15
  S7-27-15
  Transfer Agent Regulations (Advance Notice of Proposed Rulemaking) Trading and Markets
  Concept Release Transfer Agent Regulations (Advance Notice of Proposed Rulemaking) 12/22/15 34-76743
• 04/13/16
  S7-06-16
  Business and Financial Disclosure Required by Regulation S-K Corporation Finance
  Concept Release Business and Financial Disclosure Required by Regulation S-K 04/13/16 33-10064
• 05/06/16
  S7-07-16
  Incentive-based Compensation Arrangements Trading and Markets, Investment Management
  Proposed Rule Incentive-based Compensation Arrangements 05/06/16 34-77776
• 01/13/16
  S7-01-16
  Amendments to Forms S-1 and F-1 Corporation Finance
  Interim Final Temporary Rule Simplification of Disclosure Requirements for Emerging Growth Companies and Forward Incorporation by Reference on Form S-1 for Smaller Reporting Companies 01/13/16 33-10003
• 3/31/17
  S7-09-16
  Titles I and III of the JOBS Act Corporation Finance
  Final Rule Inflation Adjustments and Other Technical Amendments under Titles I and III of the JOBS Act 03/31/17 33-10332 Interim Final Temporary Rule Form 10-K Summary 06/01/16 34-77969
• 10/31/18
  S7-10-16
  Modernization of Property Disclosures for Mining Registrants Corporation Finance
  Final Rule Modernization of Property Disclosures for Mining Registrants 10/31/18 33-10570 Proposed Rule Extension of Comment Period for Modernization of Property Disclosures for Mining Registrants 08/23/16 33-10127 Proposed Rule Modernization of Property Disclosures for Mining Registrants 06/16/16 33-10098
• 6/17/16
  S7-03-16
  Automated Quotations Under Regulation NMS Trading and Markets
  Interpretive Release Commission Interpretation Regarding Automated Quotations Under Regulation NMS 6/17/16 34-78102 Interpretive Release Notice of Proposed Commission Interpretation Regarding Automated Quotations Under Regulation NMS 3/18/16 34-77407
• 6/27/16
  S7-11-16
  Adjustments to Civil Monetary Penalty Amounts Office of General Counsel
  Interim Final Rule Adjustments to Civil Monetary Penalty Amounts 6/27/16 33-10104
• 6/28/18
  S7-12-16
  Amendments to Smaller Reporting Company Definition Corporation Finance
  Proposed Rule Amendments to Smaller Reporting Company Definition 6/27/16 33-10107 Final Rule Amendments to Smaller Reporting Company Definition 6/28/18 33-10513
• 6/28/16
  S7-13-16
  Adviser Business Continuity and Transition Plans Investment Management
  Proposed Rule Adviser Business Continuity and Transition Plans 6/28/16 IA-4439
• 04/24/19
  S7-14-16
  Disclosure of Order Handling Information Trading and Markets
  Proposed Rule Disclosure of Order Handling Information 7/13/16 34-78309 Final Rule Disclosure of Order Handling Information 11/02/18 34-84528 Final Rule Disclosure of Order Handling Information 04/24/19 34-85714
• 8/17/18
  S7-15-16
  Disclosure Update and Simplification Corporation Finance
  Final Rule Disclosure Update and Simplification 8/17/18 33-10532 Proposed Rule Extension of Comment Period for Disclosure Update and Simplification 9/23/16 33-10220 Proposed Rule Disclosure Update and Simplification 7/13/16 33-10110
• 3/1/17
  S7-19-16
  Exhibit Hyperlinks and HTML Format Corporation Finance
  Final Rule Exhibit Hyperlinks and HTML Format 3/1/17 33-10322 Proposed Rule Exhibit Hyperlinks and HTML Format 8/31/16 33-10201
• 3/22/17
  S7-22-16
  Amendment to Securities Transaction Settlement Cycle Trading and Markets
  Final Rule Amendment to Securities Transaction Settlement Cycle 3/22/17 34-80295 Proposed Rule Amendment to Securities Transaction Settlement Cycle 9/28/16 34-78962
• 4/9/20
  S7-23-16
  Definition of "Covered Clearing Agency" Trading and Markets
  Final Rule Definition of "Covered Clearing Agency" 4/9/20 34-88616 Proposed Rule Definition of "Covered Clearing Agency" 9/28/16 34-78963
• 11/17/21
  S7-24-16
  Universal Proxy Corporation Finance
  Final Rule Universal Proxy 11/17/21 34-93596 Proposed Rule Reopening of Comment Period for Universal Proxy 04/16/21 34-91603 Proposed Rule Universal Proxy 10/26/16 34-79164
• 11/3/16
  Consolidated Audit Trail Division of Trading and Markets
  Interim Final Rule Interim Final Temporary Rule Regarding the Consolidated Audit Trail 11/3/16 34-79237
• 8/20/18
  S7-01-17
  Amendments to Municipal Securities Disclosure Office of Municipal Securities
  Final Rule Amendments to Municipal Securities Disclosure 08/20/18 34-83885 Proposed Rule Proposed Amendments to Exchange Act Rule 15c2-12 03/01/17 34-80130
• 6/28/18
  S7-03-17
  Inline XBRL Filing of Tagged Data Corporation Finance
  Final Rule Inline XBRL Filing of Tagged Data 6/28/18 33-10514 Proposed Rule Inline XBRL Filing of Tagged Data 3/1/17 33-10323
• 1/5/18
  S7-05-17
  Amendments to Investment Advisers Act Rules to Reflect Changes Made by the Fast Act Investment Management
  Proposed Rule Amendments to Investment Advisers Act Rules to Reflect Changes Made by the Fast Act 5/3/17 IA-4697 Final Rule Amendments to Investment Advisers Act Rules to Reflect Changes Made by the Fast Act 1/5/18 IA-4839
• 10/24/17
  S7-06-17
  Covered Securities Pursuant to Section 18 of the Securities Act of 1933 Trading and Markets
  Final Rule Covered Securities Pursuant to Section 18 of the Securities Act of 1933 10/24/17 33-10428 Proposed Rule Covered Securities Pursuant to Section 18 of the Securities Act of 1933 7/14/17 33-10390
• 08/06/19
  S7-08-17
  FAST Act Modernization and Simplification of Regulation S-K Corporation Finance Investment Management
  Proposed Rule FAST Act Modernization and Simplification of Regulation S-K 10/11/17 33-10425 Final Rule FAST Act Modernization and Simplification of Regulation S-K 03/20/19 33-10618 Final Rule FAST Act Modernization and Simplification of Regulation S-K (Technical Correction) 08/06/19 33-10618A
• 9/17/19
  S7-09-17
  Amendments to the Commission’s Freedom of Information Act Regulations Office of General Counsel
  Final Rule Technical Amendments to Update Cross-References to Commission’s FOIA Regulations 9/17/19 34-86982 Final Rule Amendments to the Commission's Freedom of Information Act Regulations 6/25/18 34-83506 Proposed Rule Amendments to the Commission’s Freedom of Information Act Regulations 12/21/17 34-82373
• 06/05/19
  S7-07-18
  Regulation Best Interest Trading and Markets, Investment Management
  Final Rule The Broker-Dealer Standard of Conduct 05/06/19 34-86031 Interpretive Release Commission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer 05/06/19 IA-5249 Interpretive Release Commission Interpretation Regarding Standard of Conduct for Investment Advisers 05/06/19 IA-5248 Proposed Rule Regulation Best Interest 04/18/18 34-83062
• 04/18/18
  S7-09-18
  Standard of Conduct for Investment Advisers Investment Management
  Proposed Rule Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation 04/18/18 IA-4889
• 06/05/19
  S7-08-18
  Form CRS Relationship Investment Management
  Final Rule Amendments to Form ADV 06/05/19 34-86032, IA-5247 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 04/18/18 34-83063
• 6/18/19
  S7-10-18
  Auditor Independence Office of the Chief Accountant
  Final Rule Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships 6/18/19 33-10648 Proposed Rule Auditor Independence with Respect to Certain Loans or Debtor-Creditor Relationships 05/02/18 33-10491
• 11/30/18
  S7-11-18
  Covered Investment Fund Research Reports Corporation Finance, Investment Management, Trading and Markets
  Final Rule Covered Investment Fund Research Reports 11/30/18 33-10580 Proposed Rule Covered Investment Fund Research Reports 05/23/18 33-10498
• 11/29/18
  S7-04-18
  Investment Company Liquidity Disclosure Investment Management
  Final Rule Form N-1A; Correction 11/29/18 33-10577 Final Rule Investment Company Liquidity Disclosure 06/28/18 IC-33142 Proposed Rule Investment Company Liquidity Disclosure 03/14/18 IC-33046
• 12/19/18
  S7-05-18
  Transaction Fee Pilot for NMS Stocks Trading and Markets
  Final Rule Transaction Fee Pilot for NMS Stocks 12/19/18 34-84875 Proposed Rule Transaction Fee Pilot for NMS Stocks 03/14/18 34-82873
• 09/25/19
  S7-15-18
  Exchange-Traded Funds Investment Management
  Final Rule Exchange-Traded Funds 09/25/19 33-10695 Proposed Rule Exchange-Traded Funds 06/28/18 33-10515
• 7/18/18
  S7-17-18
  Rule 701 - Exempt Offerings Pursuant to Compensatory Arrangements Division of Corporation Finance
  Final Rule Rule 701 - Exempt Offerings Pursuant to Compensatory Arrangements 7/18/18 33-10520
• 7/18/18
  S7-18-18
  Concept Release on Compensatory Securities Offerings and Sales Corporation Finance
  Concept Release Concept Release on Compensatory Securities Offerings and Sales 07/18/18 33-10521
• 3/2/20
  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 7/24/18 33-10526 Final Rule Financial Disclosures about Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant’s Securities 3/2/20 33-10762
• 9/18/19
  S7-14-18
  Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds Trading and Markets Investment Management
  Final Rule Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds 9/18/19 BHCA-7 Proposed Rule Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds (Extension of Comment Period) 9/4/18 BHCA-4 Proposed Rule Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds 6/5/18 BHCA-3
• 6/10/19
  S7-21-18
  Amendment to Single Issuer Exemption for Broker-Dealers Trading and Markets
  Final Rule Amendment to Single Issuer Exemption for Broker-Dealers 6/10/19 34-84225 Proposed Rule Amendment to Single Issuer Exemption for Broker-Dealers 9/20/18 34-84225
• 8/7/19
  S7-22-18
  Credit Rating Agency Reform Office of Credit Ratings
  Proposed Rule Amendments to Rules for Nationally Recognized Statistical Rating Organizations 9/26/18 34-84289 Final Rule Amendments to Rules for Nationally Recognized Statistical Rating Organizations 8/7/19 34-86590
• 03/11/20
  S7-23-18
  Variable Annuity Summary Prospectus Trading and Markets
  Final Rule Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts 03/11/20 33-10765 Proposed Rule Reopening of Comment Period for Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts 02/14/19 33-10605 Proposed Rule Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts 10/30/18 33-10569
• 10/07/20
  S7-27-18
  Fund of Funds Arrangements Investment Management
  Final Rule Fund of Funds Arrangements 10/07/20 33-10871 Proposed Rule Fund of Funds Arrangements 12/19/18 33-10590
• 12/19/18
  S7-29-18
  Amendments to Regulation A Corporation Finance
  Final Rule Amendments to Regulation A 12/19/18 33-10591
• 12/18/19
  S7-28-18
  Risk Mitigation Techniques for Uncleared Security-Based Swaps Trading and Markets
  Final Rule Risk Mitigation Techniques for Uncleared Security-Based Swaps 12/18/19 34-87782 Proposed Rule Risk Mitigation Techniques for Uncleared Security-Based Swaps 12/19/18 34-84861
• 07/05/19
  S7-30-18
  Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
  Final Rule Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds 07/05/19 BHCA-6 Proposed Rule Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds 12/21/18 BHCA-5
• 09/25/19
  S7-01-19
  Solicitations of Interest Prior to a Registered Public Offering Corporation Finance Investment Management
  Final Rule Solicitations of Interest Prior to a Registered Public Offering 09/25/19 33-10699 Proposed Rule Solicitations of Interest Prior to a Registered Public Offering 02/19/19 33-10607
• 2/27/19
  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 2/27/19 IC-33384
• 4/8/20
  S7-03-19
  Securities Offering Reform for Closed-End Investment Companies Investment Management
  Final Rule Securities Offering Reform for Closed-End Investment Companies 4/8/20 33-10771 Proposed Rule Securities Offering Reform for Closed-End Investment Companies 3/20/19 33-10619
• 5/20/20
  S7-05-19
  Amendments to Financial Disclosures about Acquired and Disposed Businesses Office of the Chief Accountant Corporation Finance Investment Management
  Final Rule Amendments to Financial Disclosures about Acquired and Disposed Businesses 5/20/20 33-10786 Proposed Rule Amendments to Financial Disclosures about Acquired and Disposed Businesses 5/03/19 33-10635
• 3/12/20
  S7-06-19
  Amendments to the Accelerated Filer and Large Accelerated Filer Definitions Corporation Finance
  Final Rule Amendments to the Accelerated Filer and Large Accelerated Filer Definitions 3/12/20 34-88365 Proposed Rule Amendments to the Accelerated Filer and Large Accelerated Filer Definitions 5/09/19 34-85814
• 12/18/19
  S7-07-19
  Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements Trading and Markets
  Final Rule Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements 12/18/19 34-87780 Proposed Rule Proposed Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements 5/10/19 34-85823
• 6/18/19
  S7-08-19
  Concept Release on Harmonization of Securities Offering Exemptions Corporate Finance, Trading and Markets, Investment Management
  Concept Release Concept Release on Harmonization of Securities Offering Exemptions 6/18/19 33-10649
• 10/22/20
  S7-09-19
  Customer Margin Rules Relating to Security Futures Trading and Markets
  Final Rule Customer Margin Rules Relating to Security Futures 10/22/20 34-90244 Proposed Rule Customer Margin Rules Relating to Security Futures 7/03/19 34-86304
• 8/26/20
  S7-11-19
  Modernization of Regulation S-K Items 101, 103, and 105 Corporate Finance
  Final Rule Modernization of Regulation S-K Items 101, 103, and 105 8/26/20 33-10825 Proposed Rule Modernization of Regulation S-K Items 101, 103, and 105 8/8/19 33-10668
• 5/15/20
  S7-13-19
  National Market System Plan Governing the Consolidated Audit Trail Trading and Markets
  Final Rule Amendments to the National Market System Plan Governing the Consolidated Audit Trail 5/15/20 34-88890 Proposed Rule Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail 9/9/19 34-86901
• 9/11/20
  S7-02-17
  Update of Statistical Disclosures for Bank and Savings and Loan Registrants Corporate Finance
  Final Rule Update of Statistical Disclosures for Bank and Savings and Loan Registrants 9/11/20 33-10835 Proposed Rule Update of Statistical Disclosures for Bank and Savings and Loan Registrants 9/17/19 33-10688
• 9/16/20
  S7-14-19
  Publication or Submission of Quotations Without Specified Information Trading and Markets
  Final Rule Publication or Submission of Quotations Without Specified Information 9/16/20 33-10842 Proposed Rule Publication or Submission of Quotations Without Specified Information 9/25/19 34-87115
• 08/19/20
  S7-15-19
  Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments Trading and Markets
  Final Rule Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments and Modified Procedures for Proposed NMS Plans and Plan Amendments 08/19/20 34-89618 Proposed Rule Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments 10/01/19 34-87193
• 07/06/20
  S7-19-19
  Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940 Investment Management
  Final Rule Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940 07/06/20 IC-33921 Proposed Rule Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940 10/19/19 IC-33658
• 10/13/21
  S7-20-19
  Filing Fee Disclosure and Payment Methods Modernization Corporation Finance Economic and Risk Analysis
  Final Rule Filing Fee Disclosure and Payment Methods Modernization 10/13/21 33-10997 Proposed Rule Filing Fee Disclosure and Payment Methods Modernization 10/24/19 33-10720
• 12/22/20
  S7-21-19
  Investment Adviser Advertisements; Compensation for Solicitations Investment Management
  Final Rule Investment Adviser Marketing 12/22/20 IA-5653 Proposed Rule Investment Adviser Advertisements; Compensation for Solicitations 11/4/19 IA-5407
• 7/22/20
  S7-22-19
  Amendments to Exemptions from the Proxy Rules for Proxy Voting Advice Corporation Finance
  Final Rule Exemptions from the Proxy Rules for Proxy Voting Advice 7/22/20 34-89372 Proposed Rule Amendments to Exemptions from the Proxy Rules for Proxy Voting Advice 11/5/19 34-87457
• 9/23/20
  S7-23-19
  Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8 Corporation Finance
  Final Rule Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8 09/23/20 34-89964 Proposed Rule Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8 11/5/19 34-87458
• 12/16/20
  S7-24-19
  Disclosure of Payments by Resource Extraction Issuers Corporation Finance
  Final Rule Disclosure of Payments by Resource Extraction Issuers 12/16/20 34-90679 Proposed Rule Disclosure of Payments by Resource Extraction Issuers 12/18/19 34-87783
• 08/26/20
  S7-25-19
  Amending the “Accredited Investor” Definition Corporation Finance
  Final Rule Amending the “Accredited Investor” Definition 08/26/20 33-10824 Proposed Rule Amending the “Accredited Investor” Definition 12/18/19 33-10734
• 12/30/19
  S7-26-19
  Amendments to Rule 2-01, Qualifications of Accountants Investment Management
  Proposed Rule Amendments to Rule 2-01, Qualifications of Accountants 12/30/19 33-10738
• 11/19/20
  S7-01-20
  Regulation S-K Corporation Finance
  Final Rule Management’s Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information 11/19/20 33-10890 Proposed Rule Management’s Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information 1/30/20 33-10750
• 6/25/20
  S7-02-20
  Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds Trading and Markets Investment Management
  Final Rule Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds 6/25/20 BHCA-9 Proposed Rule Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds 1/30/20 BHCA-8
• 12/09/20
  S7-03-20
  Market Data Infrastructure Trading and Markets
  Final Rule Market Data Infrastructure 12/09/20 34-90610 Proposed Rule Market Data Infrastructure 2/14/20 34-88216
• 11/2/20
  S7-05-20
  Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets Corporation Finance
  Final Rule Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets 11/2/20 33-10884 Proposed Rule Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets 3/4/20 33-10763
• 12/3/20
  S7-07-20
  Good Faith Determinations of Fair Value Investment Management
  Final Rule Good Faith Determinations of Fair Value 12/3/20 IC-34128 Proposed Rule Good Faith Determinations of Fair Value 4/21/20 IC-33845
• 7/10/20
  S7-08-20
  Reporting Threshold for Institutional Investment Managers Investment Management
  Proposed Rule Reporting Threshold for Institutional Investment Managers 7/10/20 34-89290
• 10/26/22
  S7-09-20
  Tailored Shareholder Reports, Treatment of Annual Prospectus Updates for Existing Investors, and Improved Fee and Risk Disclosure for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements Investment Management
  Final Rule Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements 10/26/22 33-11125 Proposed Rule Tailored Shareholder Reports, Treatment of Annual Prospectus Updates for Existing Investors, and Improved Fee and Risk Disclosure for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements 8/5/20 33-10814
• 8/21/20
  S7-10-20
  Amendments to the National Market System Plan Governing the Consolidated Audit Trail to Enhance Data Security Trading and Markets
  Proposed Rule Amendments to the National Market System Plan Governing the Consolidated Audit Trail to Enhance Data Security 8/21/20 34-89632
• 12/11/20
  S7-11-20
  Administration of the Electronic Data Gathering, Analysis, and Retrieval System Corporation Finance
  Final Rule Administration of the Electronic Data Gathering, Analysis, and Retrieval System 12/11/20 33-10901 Proposed Rule Administration of the Electronic Data Gathering, Analysis, and Retrieval System 8/21/20 33-10821
• 9/23/20
  S7-16-18
  Amendments to the Commission’s Whistleblower Program Rules Corporation Finance
  Final Rule Whistleblower Program Rules 09/23/20 34-89963 Proposed Rule Amendments to the Commission’s Whistleblower Program Rules 6/29/18 34-83557
• 9/28/20
  S7-12-20
  Regulation ATS for ATSs that Trade U.S. Government Securities, NMS Stock, and Other Securities; Regulation SCI for ATSs that Trade U.S. Treasury Securities and Agency Securities; and Electronic Corporate Bond and Municipal Securities Markets Trading and Markets
  Proposed Rule Regulation ATS for ATSs that Trade U.S. Government Securities, NMS Stock, and Other Securities; Regulation SCI for ATSs that Trade U.S. Treasury Securities and Agency Securities; and Electronic Corporate Bond and Municipal Securities Markets 9/28/20 34-90019
• 11/24/20
  S7-18-20
  Modernization of Rules and Forms for Compensatory Securities Offerings and Sales Corporation Finance
  Proposed Rule Modernization of Rules and Forms for Compensatory Securities Offerings and Sales 11/24/20 33-10891
• 11/24/20
  S7-19-20
  Temporary Rules to Include Certain “Platform Workers” in Compensatory Offerings under Rule 701 and Form S-8 Corporation Finance
  Proposed Rule Temporary Rules to Include Certain “Platform Workers” in Compensatory Offerings under Rule 701 and Form S-8 11/24/20 33-10892
• 6/2/22
  S7-24-20
  Rule 144 Holding Period and Form 144 Filings Corporation Finance
  Final Rule Updating EDGAR Filing Requirements and Form 144 Filings 06/02/22 33-11070 Proposed Rule Rule 144 Holding Period and Form 144 Filings 12/22/20 33-10911
• 03/18/21
  S7-03-21
  Holding Foreign Companies Accountable Act Disclosure Corporation Finance
  Interim Final Rule Holding Foreign Companies Accountable Act Disclosure 03/18/21 34-91364
• 11/02/2022
  S7-11-21
  Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers Investment Management
  Final Rule Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers 11/02/22 33-11131 Proposed Rule Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers 9/29/21 34-93169
• 06/23/22
  S7-15-21
  Electronic Submission of Applications for Orders under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F Investment Management
  Final Rule Electronic Submission of Applications for Orders under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F 06/23/22 34-95148 Proposed Rule Electronic Submission of Applications for Orders under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F 11/4/21 34-93518
• 06/02/22
  S7-16-21
  Updating EDGAR Filing Requirements Corporation Finance
  Final Rule Updating EDGAR Filing Requirements and Form 144 Filings 06/02/22 33-11070 Proposed Rule Updating EDGAR Filing Requirements 11/4/21 33-11005
• 07/13/22
  S7-17-21
  Proxy Voting Advice Corporation Finance
  Final Rule Proxy Voting Advice 07/13/22 34-95266 Proposed Rule Proxy Voting Advice 11/17/21 34-93595
• 11/18/21
  S7-18-21
  Reporting of Securities Loans Trading and Markets
  Proposed Rule Reporting of Securities Loans 11/18/21 34-93613
• 10/12/22
  S7-19-21
  Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants Trading and Markets
  Final Rule Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants 10/12/22 34-96034 Proposed Rule Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants 11/18/21 34-93614
• 12/2/21
  S7-03-21
  Holding Foreign Companies Accountable Act Disclosure Corporation Finance
  Final Rule Holding Foreign Companies Accountable Act Disclosure 12/2/21 34-93701 Interim Final Rule Holding Foreign Companies Accountable Act Disclosure 5/5/21 34-91364
• 12/14/22
  S7-20-21
  Rule 10b5-1 and Insider Trading Corporation Finance
  Final Rule Insider Trading Arrangements and Related Disclosures 12/14/22 33-11138 Proposed Rule Rule 10b5-1 and Insider Trading 01/13/22 33-11013
• 05/03/23
  S7-21-21
  Share Repurchase Disclosure Modernization Corporation Finance Investment Management
  Final Rule Share Repurchase Disclosure Modernization 05/03/23 34-97424 Proposed Rule Share Repurchase Disclosure Modernization 12/07/22 34-96458 Proposed Rule Share Repurchase Disclosure Modernization 12/15/21 34-93783
• 12/15/21
  S7-22-21
  Money Market Fund Reforms Modernization Investment Management
  Proposed Rule Money Market Fund Reforms Modernization 12/15/21 IC-34441
• 05/03/23
  S7-01-22
  Amendments to Form PF to Require Current Reporting and Amend Reporting Requirements for Large Private Equity Advisers and Large Liquidity Fund Advisers Investment Management
  Final Rule Amendments to Form PF to Require Event Reporting for Large Hedge Fund Advisers and Private Equity Fund Advisers and to Amend Reporting Requirements for Large Private Equity Fund Advisers 05/03/23 IA-6297 Proposed Rule Amendments to Form PF 01/26/22 IA-5950
• 05/09/22
  S7-02-22
  Amendments to Exchange Act Rule 3b-16 Regarding the Definition of “Exchange”; Regulation ATS for ATSs That Trade U.S. Government Securities, NMS Stocks, and Other Securities; Regulation SCI for ATSs That Trade U.S. Treasury Securities and Agency Securities Trading and Markets
  Proposed Rule Reopening of Comment Periods for “Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews” and “Amendments Regarding the Definition of ‘Exchange’ and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency Securities, National Market System (NMS) Stocks, and Other Securities” 05/09/22 34-94868 Proposed Rule Amendments to Regulation ATS 01/26/22 34-94062
• 05/09/22
  S7-03-22
  Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews Investment Management
  Proposed Rule Reopening of Comment Periods for “Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews” and “Amendments Regarding the Definition of ‘Exchange’ and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency Securities, National Market System (NMS) Stocks, and Other Securities” 05/09/22 34-94868 Proposed Rule Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews 02/09/22 IA-5955
• 03/15/23
  S7-04-22
  Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies Investment Management
  Proposed Rule Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies 02/09/22 33-11028 Proposed Rule Reopening of Comment Period for “Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies” 03/15/22 33-11167
• 02/15/23
  S7-05-22
  Shortening the Securities Transaction Settlement Cycle Trading and Markets
  Final Rule Shortening the Securities Transaction Settlement Cycle 02/15/23 34-96930 Proposed Rule Shortening the Securities Transaction Settlement Cycle 02/09/22 34-94196
• 04/28/23
  S7-06-22
  Modernization of Beneficial Ownership Reporting Corporation Finance
  Proposed Rule Reopening of Comment Period for Modernization of Beneficial Ownership Reporting 04/28/23 33-11080 Proposed Rule Modernization of Beneficial Ownership Reporting 02/10/22 33-11030
• 08/26/22
  S7-07-22
  Whistleblower Program Rules Office of the General Counsel
  Final Rule The Commission’s Whistleblower Program Rules 08/26/22 34-95620 Proposed Rule The Commission’s Whistleblower Program Rules 02/10/22 34-94212
• 02/25/22
  S7-08-22
  Short Position and Short Activity Reporting by Institutional Investment Manager Trading and Markets
  Proposed Rule Short Position and Short Activity Reporting by Institutional Investment Manager 02/25/22 34-94313
• 02/25/22
  S7-08-22
  Notice of the Text of the Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail for Purposes of Short Sale-related Data Collection Investment Management
  Proposed Rule Notice of the Text of the Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail for Purposes of Short Sale-related Data Collection 02/25/22 34-94314
• 02/25/22
  S7-18-21
  Reopening of Comment Period for Reporting of Securities Loans Investment Management
  Proposed Rule Reopening of Comment Period for Reporting of Securities Loans 02/25/22 34-94315
• 03/09/22
  S7-09-22
  Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure Corporation Finance
  Proposed Rule Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure 03/09/22 33-11038
• 05/09/22
  S7-10-22
  The Enhancement and Standardization of Climate-Related Disclosures for Investors Corporation Finance
  Proposed Rule The Enhancement and Standardization of Climate-Related Disclosures for Investors 05/09/22 33-11061 Proposed Rule The Enhancement and Standardization of Climate-Related Disclosures for Investors 03/21/22 33-11042
• 03/23/22
  S7-11-22
  Removal of References to Credit Ratings From Regulation M Trading and Markets
  Proposed Rule Removal of References to Credit Ratings From Regulation M 03/23/22 34-94499
• 03/28/22
  S7-12-22
  Further Definition of "As a Part of a Regular Business" in the Definition of Dealer and Government Securities Dealer Trading and Markets
  Proposed Rule Further Definition of "As a Part of a Regular Business" in the Definition of Dealer and Government Securities Dealer 03/28/22 34-94524
• 04/06/22
  S7-14-22
  Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities Trading and Markets
  Proposed Rule Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities 04/06/22 34-94615
• 03/30/22
  S7-13-22
  Special Purpose Acquisition Companies, Shell Companies, and Projections Corporation Finance
  Proposed Rule Special Purpose Acquisition Companies, Shell Companies, and Projections 03/30/22 33-11048
• 05/25/22
  S7-16-22
  Investment Company Names Investment Management
  Proposed Rule Investment Company Names 05/25/22 33-11067
• 05/25/22
  S7-17-22
  Environmental, Social, and Governance Disclosures for Investment Advisers and Investment Companies Investment Management
  Proposed Rule Environmental, Social, and Governance Disclosures for Investment Advisers and Investment Companies 05/25/22 33-11068
• 07/13/22
  S7-20-22
  Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8 Corporation Finance
  Proposed Rule Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8 07/13/22 34-95267
• 08/08/22
  S7-21-22
  Clearing Agency Governance and Conflicts of Interest Trading and Markets
  Proposed Rule Clearing Agency Governance and Conflicts of Interest 08/08/22 34-95431
• 08/10/22
  S7-22-22
  Amendments to Form PF to Amend Reporting Requirements for All Filers and Large Hedge Investment Management
  Proposed Rule Amendments to Form PF to Amend Reporting Requirements for All Filers and Large Hedge 08/10/22 IA-6083
• 09/14/22
  S7-23-22
  Treasury Clearing Rule Trading and Markets
  Proposed Rule Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities Fund Advisers 09/14/22 34-95763
• 10/26/22
  S7-25-22
  Outsourcing by Investment Advisers Investment Management
  Proposed Rule Outsourcing by Investment Advisers 10/26/22 IA-6176
• 11/02/22
  S7-26-22
  Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Investment Management
  Proposed Rule Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT 11/02/22 33-11130
• 12/14/22
  S7-29-22
  Disclosure of Order Execution Information Trading and Markets
  Proposed Rule Disclosure of Order Execution Information 12/14/22 34-96493
• 12/14/22
  S7-30-22
  Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders Trading and Markets
  Proposed Rule Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders 12/14/22 34-96494
• 12/14/22
  S7-31-22
  Order Competition Rule Trading and Markets
  Proposed Rule Order Competition Rule 12/14/22 34-96495
• 12/14/22
  S7-32-22
  Regulation Best Execution Trading and Markets
  Proposed Rule Regulation Best Execution 12/14/22 34-96496
• 01/06/23
  Adjustments to Civil Monetary Penalty Amounts Office of General Counsel
  Final Rule Adjustments to Civil Monetary Penalty Amounts 01/06/23 33-11143
• 01/25/23
  S7-01-23
  Prohibition Against Conflicts of Interest in Certain Securitizations Corporate Finance
  Proposed Rule Prohibition Against Conflicts of Interest in Certain Securitizations 01/25/23 33-11151
• 01/30/23
  S7-02-23
  SEC Supplemental Ethics Rule Office of the Ethics Counsel
  Proposed Rule Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission 01/30/23 34-96768
• 02/14/23
  S7-03-23
  The Commission’s Privacy Act Regulations Office of FOIA Services
  Proposed Rule The Commission’s Privacy Act Regulations 02/14/23 34-96906
• 02/15/23
  S7-04-23
  Safeguarding Advisory Client Assets Investment Management
  Proposed Rule Safeguarding Advisory Client Assets 02/15/23 IA-6240
• 03/15/23
  S7-05-23
  Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information Investment Management
  Proposed Rule Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information 03/15/23 34-97141
• 03/15/23
  S7-06-23
  Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, the Municipal Securities Rulemaking Board, National Securities Associations, National Securities Exchanges, Security-Based Swap Data Repositories, Security-Based Swap Dealers, and Transfer Agents Trading and Markets
  Proposed Rule Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, the Municipal Securities Rulemaking Board, National Securities Associations, National Securities Exchanges, Security-Based Swap Data Repositories, Security-Based Swap Dealers, and Transfer AgentsInformation 03/15/23 34-97142
• 03/15/23
  S7-07-23
  Regulation Systems Compliance and Integrity Trading and Markets
  Proposed Rule Regulation Systems Compliance and Integrity 03/15/23 34-97143
• 03/22/23
  S7-08-23
  Electronic Filing of Certain Forms and Other Filings Under the Securities Exchange Act of 1934 Trading and Markets
  Proposed Rule Electronic Submission of Certain Material Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report 03/22/23 33-11176
• 04/14/23
  S7-02-22
  Supplemental Information and Reopening of Comment Period for Amendments to Exchange Act Rule 3b-16 Regarding the Definition of “Exchange” Trading and Markets
  Proposed Rule Rule 3b-16 Reopening of Comment Period 04/14/23 34-97309
• 05/17/23
  S7-10-23
  Covered Clearing Agency Resilience and Recovery and Wind-Down Plans Trading and Markets
  Proposed Rule Covered Clearing Agency Resilience and Recovery and Wind-Down Plans 05/17/23 34-97516