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.
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Last ActionFile. NoRulemakingActions
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Actions
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12/22/15S7-01-13Regulation SCI Trading and MarketsFinal 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
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1/17/14S7-01-14Treatment of CDOs under the Volcker Rule Investment Management, Trading and Markets
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12/20/18S7-01-15Disclosure of Hedging of Compensation Corporation Finance
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4/24/08S7-02-08Sudan Divestment Disclosure Investment ManagementFinal 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
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7/1/11S7-02-09Exemptions for Credit Default Swaps Trading and MarketsInterim 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
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1/14/10S7-02-10Equity Market Structure Trading and Markets
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8/17/11S7-02-11Duty to File Reports for Classes of Asset-Backed Securities Corporation FinanceFinal 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
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4/10/13S7-02-12Identity Theft Red Flags Investment Management, Trading and Markets
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11/13/14S7-02-13Cross-Border Application of Security-Based Swap Rules Trading and MarketsFinal 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
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6/27/11S7-03-10Risk Management Controls for Market Access Trading and Markets
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6/8/16S7-03-11Security-Based Swap Trade Acknowledgments Trading and MarketsFinal 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
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7/23/14S7-03-13Money Market Fund Reform Investment Management
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9/28/16S7-03-14Clearing Agency Standards Trading and Markets
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2/11/15S7-03-15Security-Based Swap Reporting and Dissemination — Further Amendments Trading and Markets
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9/5/08S7-04-08Foreign Issuer Exemption from Section 12(g) Corporation Finance
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11/23/09S7-04-09Credit Rating Agency Reform Trading and Markets
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1/26/10S7-04-10Issuer Stock Repurchases Trading and Markets
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3/23/12S7-04-11Net Worth Standard for Accredited Investors Investment Management
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9/23/08S7-05-08Foreign Issuer Reporting Enhancements Corporation Finance
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10/31/2011S7-05-11Private Fund Reporting (Form PF) Investment ManagementFinal 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
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9/19/19S7-05-14Security-Based Swap Recordkeeping and Reporting Trading and MarketsFinal 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
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07/29/22S7-05-15Broker-Dealer Membership in Securities Associations Trading and Markets
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3/4/08S7-06-08Privacy of Consumer Financial Information Investment Management, Trading and Markets
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5/1/13S7-06-11Security-Based Swap Execution Facilities Trading and MarketsProposed 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
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7/17/12S7-06-12Mortgage Related and Small Business Related Security Definitions Trading and Markets
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9/27/13S7-06-13Regulation D Amendments Corporation Finance
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2/10/16S7-06-15U.S. Personnel in Security-Based Swap Activity Trading and MarketsFinal 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
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3/11/08S7-07-08Exchange-Traded Funds Investment Management
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9/16/2015S7-07-11Credit Rating Reference Removal Investment ManagementFinal 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
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7/10/2013S7-07-12General Solicitation Corporation Finance
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9/21/17S7-07-13Pay Ratio Corporation Finance
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7/8/15S7-07-14FOIA Rule Amendments Office of FOIA ServicesFinal 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
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08/25/22S7-07-15Pay Versus Performance Corporation Finance
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10/14/08S7-08-08"Naked" Short Selling Anti-Fraud Trading and Markets
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11/4/10S7-08-09Short Sale Rule Amendments Trading and Markets
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06/16/16S7-08-10Asset-Backed Securities Corporation FinanceFinal 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
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12/16/20S7-08-11Clearing Agency Standards Trading and MarketsFinal 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
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06/21/19S7-08-12Security-Based Swap Capital, Margin, and Segregation Trading and MarketsFinal 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
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11/29/18S7-08-15Investment Company Data Enhancements Investment ManagementFinal 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
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12/30/09S7-09-09Custody by Investment Advisers Investment Management
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4/14/10S7-09-10Access Fees for Listed Options Trading and Markets
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10/30/15S7-09-13Crowdfunding Corporation Finance, Trading and Markets
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1/5/18S7-09-14Security-Based Swap Communications Corporation FinanceFinal 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
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8/25/16S7-09-15Investment Adviser Data Enhancements Investment Management
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9/19/08S7-10-08Cross-Border Business Combinations Corporation FinanceFinal 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
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9/15/11S7-10-09Shareholder Director Nominations Corporation FinanceFinal 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
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7/27/11S7-10-10Large Trader Reporting Trading and Markets
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6/8/11S7-10-11Security-Based Swap Beneficial Ownership Corporation Finance
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4/1/09S7-11-08XBRL for Financial Reporting Corporation Finance
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2/23/10S7-11-09Money Market Fund Reform Investment Management
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7/18/12S7-11-10Consolidated Audit Trail Trading and Markets
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1/16/2013S7-11-11Lost Securityholders Trading and Markets
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3/25/15S7-11-13Regulation A+ Corporation Finance
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5/1/09S7-12-08XBRL for Mutual Fund Risk/Return Summary Investment Management
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1/12/10S7-12-09Executive Compensation of TARP Recipients Corporation Finance
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4/3/14S7-12-10Target Date Fund Names and Marketing Investment ManagementProposed 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
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3/29/11S7-12-11Incentive-Based Compensation Investment Management, Trading and Markets
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12/21/16S7-12-14Exchange Act Registration Requirements Corporation FinanceFinal 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
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10/26/22S7-12-15Compensation Clawbacks Corporation FinanceFinal 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
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2/2/09S7-13-08Credit Rating Agency Reform Trading and Markets
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2/23/10S7-13-09Proxy Disclosure Enhancements Corporation Finance
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6/20/12S7-13-11Listing Standards for Compensation Committees Corporation FinanceFinal 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
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7/1/15S7-13-15Audit Committee Disclosures Office of the Chief Accountant
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10/14/10S7-14-08Indexed Annuities Investment ManagementFinal 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
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7/14/10S7-14-10U.S. Proxy System Corporation Finance
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10/22/14S7-14-11Credit Risk Retention Corporation Finance
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12/19/18S7-14-15Applications by Security-Based Swap Entities for Statutorily Disqualified Associated Persons Trading and MarketsProposed 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
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12/31/08S7-15-08Oil and Gas Reporting Corporation Finance
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5/27/10S7-15-09Municipal Securities Disclosure Trading and Markets
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7/21/10S7-15-10Mutual Fund Distribution Fees Investment Management
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7/2/14S7-15-11Credit Rating Reference Removal Trading and MarketsFinal 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
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6/27/08S7-16-08Foreign Broker-Dealer Exemption Trading and Markets
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8/13/10S7-16-10Security-Based Swap Definitions Trading and Markets
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5/12/15S7-16-11Swap Product Definitions Trading and MarketsInterpretive 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
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10/5/09S7-17-08Credit Rating Reference Removal Trading and MarketsFinal 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
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2/15/12S7-17-11Investment Adviser Performance Compensation Investment Management
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7/27/11S7-18-08Credit Rating Reference Removal Corporation Finance
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6/8/12S7-18-09Political Contributions by Investment Advisers Investment ManagementFinal 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
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12/16/10S7-18-10Filing Accommodation for Static Pool Information Corporation Finance
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8/27/14S7-18-11Credit Rating Agency Reform Trading and Markets
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10/5/09S7-19-08Credit Rating Reference Removal Investment ManagementProposed 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
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9/23/13S7-19-10Temporary Registration of Municipal Advisors Office of Municipal SecuritiesInterim 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
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9/12/11S7-19-11Privacy Act Exemptions Office of Information Technology
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9/18/09S7-20-09Disclosure of Money Market Fund Portfolios Investment Management
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12/5/08S7-21-08Municipal Securities Disclosure Trading and Markets
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7/2/10S7-21-09Elimination of Flash Order Exception Trading and Markets
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7/10/13S7-21-11Bad Actors in Rule 506 Offerings Corporation Finance
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7/30/08S7-22-08Investment Company Board Independence Investment Management
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2/22/10S7-22-09Internet Availability of Proxy Materials Corporation Finance
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9/17/10S7-22-10Short-Term Borrowings Disclosure Corporation Finance
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3/30/12S7-22-11Exemptions for Security-Based Swaps Corporation Finance
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8/1/08S7-23-08Company Web Sites Corporation Finance
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12/15/09S7-23-09Filing Accommodation for Static Pool Information Corporation Finance
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9/29/10S7-23-10Regulation FD Exemption for Credit Rating Agencies Corporation Finance
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7/30/13S7-23-11Broker-Dealer Reports Trading and Markets
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10/22/09S7-24-09Credit Ratings Disclosure Corporation Finance, Investment Management
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8/25/11S7-24-10Disclosure for Asset-Backed Securities Corporation FinanceFinal 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
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10/22/09S7-25-09Possible Rescission of Rule 436(g) Corporation Finance
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6/22/11S7-25-10Family Offices Investment Management
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4/14/16S7-25-11Security-Based Swap Business Conduct Standards Trading and MarketsFinal 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
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1/20/11S7-26-10Issuer Review of Assets in Offerings of Asset-Backed Securities Corporation Finance
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2/10/17S7-26-11Exemptions for Security-Based Swaps Corporation FinanceInterim 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
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2/3/09S7-27-08IFRS Roadmap Corporation FinanceProposed 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
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11/13/09S7-27-09Non-Public Trading Interest Trading and Markets
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5/1/13S7-27-10Security-Based Swaps — Regulation MC Trading and MarketsProposed 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
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11/23/09S7-28-09Credit Rating Agency Reform Trading and Markets
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10/13/10S7-28-10Reporting of Security-Based Swap Transaction Data Trading and Markets
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4/3/13S7-29-11Dually-Registered Clearing Agencies Trading and Markets
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7/27/09S7-30-08Short Sale Rule Amendments Trading and Markets
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12/18/09S7-30-09Well-Known Seasoned Issuer Amendments Corporation Finance
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10/18/10S7-30-10Reporting of Proxy Votes on Executive Compensation Investment Management
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7/11/12S7-30-11Retail Foreign Exchange Transactions Trading and Markets
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10/15/08S7-31-08Short Sale Disclosures Corporation Finance, Investment Management, Trading and Markets
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1/25/11S7-31-10Shareholder Approval of Executive Compensation Corporation Finance
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1/20/12S7-31-11Covered Securities of BATS Exchange Trading and Markets
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11/20/08S7-32-08Money Market Fund Liquidation Investment Management
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12/15/21S7-32-10Security-Based Swap Antifraud Trading and MarketsProposed 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
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12/23/08S7-33-08Regulation Concerning Records Services Office of General Counsel
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5/25/11S7-33-10Whistleblowers
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8/31/11S7-33-11Investment Company Derivatives Investment Management
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2/11/15S7-34-10Security-Based Swap Reporting and Dissemination Trading and MarketsFinal 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
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8/31/11S7-34-11Mortgage-Related Pools as Investment Companies Investment Management
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2/11/15S7-35-10Security-Based Swap Data Repositories Trading and MarketsFinal 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
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8/31/11S7-35-11Asset-Backed Issuers as Investment Companies Investment Management
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5/8/12S7-36-10Rules Implementing Amendments to the Advisers Act Investment ManagementFinal 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
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6/22/11S7-37-10Venture Capital Adviser Exemption Investment ManagementFinal 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
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12/23/11S7-38-11Conflicts of Interest in Securitization Trading and MarketsProposed 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
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4/27/12S7-39-10Security-Based Swap Entity Definitions Trading and MarketsFinal 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
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8/22/12S7-40-10Conflict Minerals Corporation Finance
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8/5/15S7-40-11Security-Based Swap Entity Registration Trading and MarketsFinal 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
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12/21/11S7-41-10Mine Safety Disclosure Corporation Finance
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12/10/13S7-41-11Volcker Rule Investment Management, Trading and MarketsFinal 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
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8/22/12S7-42-10Disclosure of Payments by Resource Extraction Issuers Corporation Finance
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5/1/13S7-43-10End-User Exception to Mandatory Clearing of Security-Based Swaps Trading and MarketsProposed 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
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12/5/12S7-44-10Notice Filing Requirements for Clearing Agencies Trading and MarketsFinal 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
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1/13/14S7-45-10Registration of Municipal Advisors Office of Municipal Securities
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10/13/16S7-16-15Open-End Fund Liquidity Risk Management Programs and Swing Pricing Investment ManagementFinal 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
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7/13/16S7-18-15Amendments to the Commission's Rules of Practice Office of General Counsel
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11/17/20S7-19-15Amendments to the Commission's Rules of Practice Office of General Counsel
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10/26/16S7-22-15Securities Act Rule 147 and 504 Corporation Finance
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7/18/18S7-23-15Exchange Act 3a1-1 and Regulation ATS Trading and Markets
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06/27/16S7-25-15Disclosure of Payments by Resource Extraction Issuers Corporation Finance
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11/2/20S7-24-15Use of Derivatives by Registered Investment Companies and Business Development Companies Investment ManagementFinal 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
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08/29/16S7-15-15Access to Data Obtained by Security-Based Swap Data Repositories and Exemption from Indemnification Requirement Trading and Markets
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07/24/20S7-02-16Covered Broker-Dealer Provisions under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act Trading and Markets
-
12/22/15S7-27-15Transfer Agent Regulations (Advance Notice of Proposed Rulemaking) Trading and Markets
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04/13/16S7-06-16Business and Financial Disclosure Required by Regulation S-K Corporation Finance
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05/06/16S7-07-16Incentive-based Compensation Arrangements Trading and Markets, Investment Management
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01/13/16S7-01-16Amendments to Forms S-1 and F-1 Corporation Finance
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3/31/17S7-09-16Titles I and III of the JOBS Act Corporation Finance
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10/31/18S7-10-16Modernization of Property Disclosures for Mining Registrants Corporation FinanceFinal 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
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6/17/16S7-03-16Automated Quotations Under Regulation NMS Trading and Markets
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6/27/16S7-11-16Adjustments to Civil Monetary Penalty Amounts Office of General Counsel
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6/28/18S7-12-16Amendments to Smaller Reporting Company Definition Corporation Finance
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6/28/16S7-13-16Adviser Business Continuity and Transition Plans Investment Management
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04/24/19S7-14-16Disclosure of Order Handling Information Trading and Markets
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8/17/18S7-15-16Disclosure Update and Simplification Corporation Finance
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3/1/17S7-19-16Exhibit Hyperlinks and HTML Format Corporation Finance
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3/22/17S7-22-16Amendment to Securities Transaction Settlement Cycle Trading and Markets
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4/9/20S7-23-16Definition of "Covered Clearing Agency" Trading and Markets
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11/17/21S7-24-16Universal Proxy Corporation Finance
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11/3/16Consolidated Audit Trail Division of Trading and Markets
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8/20/18S7-01-17Amendments to Municipal Securities Disclosure Office of Municipal Securities
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6/28/18S7-03-17Inline XBRL Filing of Tagged Data Corporation Finance
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1/5/18S7-05-17Amendments to Investment Advisers Act Rules to Reflect Changes Made by the Fast Act Investment Management
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10/24/17S7-06-17Covered Securities Pursuant to Section 18 of the Securities Act of 1933 Trading and Markets
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08/06/19S7-08-17FAST Act Modernization and Simplification of Regulation S-K Corporation Finance Investment Management
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9/17/19S7-09-17Amendments to the Commission’s Freedom of Information Act Regulations Office of General CounselFinal 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
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06/05/19S7-07-18Regulation Best Interest Trading and Markets, Investment ManagementFinal 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
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04/18/18S7-09-18Standard of Conduct for Investment Advisers Investment Management
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06/05/19S7-08-18Form CRS Relationship Investment Management
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6/18/19S7-10-18Auditor Independence Office of the Chief Accountant
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11/30/18S7-11-18Covered Investment Fund Research Reports Corporation Finance, Investment Management, Trading and Markets
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11/29/18S7-04-18Investment Company Liquidity Disclosure Investment Management
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12/19/18S7-05-18Transaction Fee Pilot for NMS Stocks Trading and Markets
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09/25/19S7-15-18Exchange-Traded Funds Investment Management
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7/18/18S7-17-18Rule 701 - Exempt Offerings Pursuant to Compensatory Arrangements Division of Corporation Finance
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7/18/18S7-18-18Concept Release on Compensatory Securities Offerings and Sales Corporation Finance
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3/2/20S7-19-18Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities Corporation FinanceProposed 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
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9/18/19S7-14-18Proposed 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 ManagementFinal 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
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6/10/19S7-21-18Amendment to Single Issuer Exemption for Broker-Dealers Trading and Markets
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8/7/19S7-22-18Credit Rating Agency Reform Office of Credit Ratings
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03/11/20S7-23-18Variable Annuity Summary Prospectus Trading and MarketsFinal 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
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10/07/20S7-27-18Fund of Funds Arrangements Investment Management
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12/19/18S7-29-18Amendments to Regulation A Corporation Finance
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12/18/19S7-28-18Risk Mitigation Techniques for Uncleared Security-Based Swaps Trading and Markets
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07/05/19S7-30-18Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity FundsFinal 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
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09/25/19S7-01-19Solicitations of Interest Prior to a Registered Public Offering Corporation Finance Investment Management
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2/27/19S7-02-19Amendments to the Timing Requirements for Filing Reports on Form N-PORT Investment Management
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4/8/20S7-03-19Securities Offering Reform for Closed-End Investment Companies Investment Management
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5/20/20S7-05-19Amendments to Financial Disclosures about Acquired and Disposed Businesses Office of the Chief Accountant Corporation Finance Investment Management
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3/12/20S7-06-19Amendments to the Accelerated Filer and Large Accelerated Filer Definitions Corporation Finance
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12/18/19S7-07-19Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements Trading and Markets
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6/18/19S7-08-19Concept Release on Harmonization of Securities Offering Exemptions Corporate Finance, Trading and Markets, Investment Management
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10/22/20S7-09-19Customer Margin Rules Relating to Security Futures Trading and Markets
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8/26/20S7-11-19Modernization of Regulation S-K Items 101, 103, and 105 Corporate Finance
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5/15/20S7-13-19National Market System Plan Governing the Consolidated Audit Trail Trading and Markets
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9/11/20S7-02-17Update of Statistical Disclosures for Bank and Savings and Loan Registrants Corporate Finance
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9/16/20S7-14-19Publication or Submission of Quotations Without Specified Information Trading and Markets
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08/19/20S7-15-19Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments Trading and Markets
-
07/06/20S7-19-19Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940 Investment Management
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10/13/21S7-20-19Filing Fee Disclosure and Payment Methods Modernization Corporation Finance Economic and Risk Analysis
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12/22/20S7-21-19Investment Adviser Advertisements; Compensation for Solicitations Investment Management
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7/22/20S7-22-19Amendments to Exemptions from the Proxy Rules for Proxy Voting Advice Corporation Finance
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9/23/20S7-23-19Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8 Corporation Finance
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12/16/20S7-24-19Disclosure of Payments by Resource Extraction Issuers Corporation Finance
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08/26/20S7-25-19Amending the “Accredited Investor” Definition Corporation Finance
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12/30/19S7-26-19Amendments to Rule 2-01, Qualifications of Accountants Investment Management
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11/19/20S7-01-20Regulation S-K Corporation Finance
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6/25/20S7-02-20Proposed 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 ManagementFinal 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
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12/09/20S7-03-20Market Data Infrastructure Trading and Markets
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11/2/20S7-05-20Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets Corporation Finance
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12/3/20S7-07-20Good Faith Determinations of Fair Value Investment Management
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7/10/20S7-08-20Reporting Threshold for Institutional Investment Managers Investment Management
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10/26/22S7-09-20Tailored 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 ManagementFinal 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
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8/21/20S7-10-20Amendments to the National Market System Plan Governing the Consolidated Audit Trail to Enhance Data Security Trading and Markets
-
12/11/20S7-11-20Administration of the Electronic Data Gathering, Analysis, and Retrieval System Corporation Finance
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9/23/20S7-16-18Amendments to the Commission’s Whistleblower Program Rules Corporation Finance
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9/28/20S7-12-20Regulation 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
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11/24/20S7-18-20Modernization of Rules and Forms for Compensatory Securities Offerings and Sales Corporation Finance
-
11/24/20S7-19-20Temporary Rules to Include Certain “Platform Workers” in Compensatory Offerings under Rule 701 and Form S-8 Corporation Finance
-
6/2/22S7-24-20Rule 144 Holding Period and Form 144 Filings Corporation Finance
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03/18/21S7-03-21Holding Foreign Companies Accountable Act Disclosure Corporation Finance
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11/02/2022S7-11-21Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers Investment ManagementFinal 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
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06/23/22S7-15-21Electronic 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 ManagementFinal 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
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06/02/22S7-16-21Updating EDGAR Filing Requirements Corporation Finance
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07/13/22S7-17-21Proxy Voting Advice Corporation Finance
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11/18/21S7-18-21Reporting of Securities Loans Trading and Markets
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10/12/22S7-19-21Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants Trading and MarketsFinal 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
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12/2/21S7-03-21Holding Foreign Companies Accountable Act Disclosure Corporation Finance
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12/14/22S7-20-21Rule 10b5-1 and Insider Trading Corporation Finance
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05/03/23S7-21-21Share Repurchase Disclosure Modernization Corporation Finance Investment Management
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12/15/21S7-22-21Money Market Fund Reforms Modernization Investment Management
-
05/03/23S7-01-22Amendments to Form PF to Require Current Reporting and Amend Reporting Requirements for Large Private Equity Advisers and Large Liquidity Fund Advisers Investment Management
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05/09/22S7-02-22Amendments 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 MarketsProposed 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
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05/09/22S7-03-22Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews Investment ManagementProposed 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
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03/15/23S7-04-22Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies Investment ManagementProposed 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
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02/15/23S7-05-22Shortening the Securities Transaction Settlement Cycle Trading and Markets
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04/28/23S7-06-22Modernization of Beneficial Ownership Reporting Corporation Finance
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08/26/22S7-07-22Whistleblower Program Rules Office of the General Counsel
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02/25/22S7-08-22Short Position and Short Activity Reporting by Institutional Investment Manager Trading and Markets
-
02/25/22S7-08-22Notice 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
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02/25/22S7-18-21Reopening of Comment Period for Reporting of Securities Loans Investment Management
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03/09/22S7-09-22Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure Corporation Finance
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05/09/22S7-10-22The Enhancement and Standardization of Climate-Related Disclosures for Investors Corporation Finance
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03/23/22S7-11-22Removal of References to Credit Ratings From Regulation M Trading and Markets
-
03/28/22S7-12-22Further Definition of "As a Part of a Regular Business" in the Definition of Dealer and Government Securities Dealer Trading and Markets
-
04/06/22S7-14-22Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities Trading and Markets
-
03/30/22S7-13-22Special Purpose Acquisition Companies, Shell Companies, and Projections Corporation Finance
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05/25/22S7-16-22Investment Company Names Investment Management
-
05/25/22S7-17-22Environmental, Social, and Governance Disclosures for Investment Advisers and Investment Companies Investment Management
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07/13/22S7-20-22Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8 Corporation Finance
-
08/08/22S7-21-22Clearing Agency Governance and Conflicts of Interest Trading and Markets
-
08/10/22S7-22-22Amendments to Form PF to Amend Reporting Requirements for All Filers and Large Hedge Investment Management
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09/14/22S7-23-22Treasury Clearing Rule Trading and Markets
-
10/26/22S7-25-22Outsourcing by Investment Advisers Investment Management
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11/02/22S7-26-22Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Investment Management
-
12/14/22S7-29-22Disclosure of Order Execution Information Trading and Markets
-
12/14/22S7-30-22Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders Trading and Markets
-
12/14/22S7-31-22Order Competition Rule Trading and Markets
-
12/14/22S7-32-22Regulation Best Execution Trading and Markets
-
01/06/23Adjustments to Civil Monetary Penalty Amounts Office of General Counsel
-
01/25/23S7-01-23Prohibition Against Conflicts of Interest in Certain Securitizations Corporate Finance
-
01/30/23S7-02-23SEC Supplemental Ethics Rule Office of the Ethics Counsel
-
02/14/23S7-03-23The Commission’s Privacy Act Regulations Office of FOIA Services
-
02/15/23S7-04-23Safeguarding Advisory Client Assets Investment Management
-
03/15/23S7-05-23Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information Investment Management
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03/15/23S7-06-23Cybersecurity 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
-
03/15/23S7-07-23Regulation Systems Compliance and Integrity Trading and Markets
-
03/22/23S7-08-23Electronic Filing of Certain Forms and Other Filings Under the Securities Exchange Act of 1934 Trading and Markets
-
04/14/23S7-02-22Supplemental Information and Reopening of Comment Period for Amendments to Exchange Act Rule 3b-16 Regarding the Definition of “Exchange” Trading and Markets
-
05/17/23S7-10-23Covered Clearing Agency Resilience and Recovery and Wind-Down Plans Trading and Markets