Rulemaking Activity

This index of the SEC’s rulemaking activity can be filtered by year, status (proposed or final), or division/office that recommended the rulemaking to the Commission.

Twice a year under the Regulatory Flexibility Act, the SEC is required to publish an agenda identifying rules that the agency estimates it may consider in the next 12 months. View the latest SEC RegFlex agenda.

Issue Date File Number Rulemaking Status
S7-03-22 Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
Investment Management
Final Rule
Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
IA-6773
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Conforming Amendments to Commission Rules and Forms
Investment Management
Final Rule
Conforming Amendments to Commission Rules and Forms
33-11325
S7-10-23 Covered Clearing Agency Resilience and Recovery and Wind-Down Plans
Trading and Markets
Final Rule
Covered Clearing Agency Resilience and Recovery and Orderly Wind-Down Plans
34-101446
View Related Activity
S7-15-23 EDGAR Filer Access and Account Management
EDGAR Business Office
Final Rule
EDGAR Filer Access and Account Management
33-11313, 34-101209, 39-2557, IC-35343
View Related Activity
S7-30-22 Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders
Trading and Markets
Final Rule
Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders
34-101070
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Adoption of Updated EDGAR Filer Manual
Final Rule
Adoption of Updated EDGAR Filer Manual
33-11304
S7-26-22 Form N-PORT and Form N-CEN Reporting; Guidance on Open-End Fund Liquidity Risk
Investment Management
Final Rule
Form N-PORT and Form N-CEN Reporting; Guidance on Open-End Fund Liquidity Risk Management Programs
IC-35308
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S7-2024-01 Qualifying Venture Capital Funds Inflation Adjustment
Investment Management
Final Rule
Qualifying Venture Capital Funds Inflation Adjustment
IC-35305
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S7-2024-05 Financial Data Transparency Act Joint Data Standards
Corporation Finance
Proposed Rule
Financial Data Transparency Act Joint Data Standards
33-11295, 34-100647, IA-6644, IC-35290
S7-16-23 Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities
Investment Management
Final Rule
Registration for Index-Linked Annuities and Registered Market Value Adjustment Annuities; Amendments to Form N-4 for Index-Linked Annuities, Registered Market Value Adjustment Annuities, and Variable Annuities; Other Technical Amendments
33-11294, 34-100450, IC-35273
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Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-11293
S7-05-23 Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information
Investment Management, Trading and Markets
Final Rule
Final rule; correction
34-100155A
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S7-05-23 Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information
Investment Management, Trading and Markets
Final Rule
Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information
34-100155, IA-6604, IC-35193
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S7-2024-02 Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers
Investment Management
Proposed Rule
Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers
BSA-1
S7-13-23 Exemption for Certain Investment Advisers Operating Through the Internet
Investment Management
Final Rule
Exemption for Certain Investment Advisers Operating Through the Internet
IA-6578
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S7-21-21 Share Repurchase Disclosure Modernization
Corporation Finance, Investment Management
Final Rule
Final Rule, Technical Amendment
34-99778, IC-35157
View Related Activity
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-11277, 34-99752, 39-2554, IC-35155
S7-29-22 Disclosure of Order Execution Information
Trading and Markets
Final Rule
Disclosure of Order Execution Information
34-99679
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S7-10-22 The Enhancement and Standardization of Climate-Related Disclosures for Investors
Corporation Finance
Final Rule
The Enhancement and Standardization of Climate-Related Disclosures for Investors
33-11275, 34-99678
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S7-02-23 Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
Ethics Counsel
Final Rule
Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
34-99582
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S7-2024-01 Qualifying Venture Capital Funds Inflation Adjustment
Investment Management
Proposed Rule
Qualifying Venture Capital Funds Inflation Adjustment
IC-35129
View Related Activity
S7-22-22 Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
Investment Management
Final Rule
Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
IA-6546
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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
Final Rule
Further Definition of “As a Part of a Regular Business”
34-99477
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S7-13-22 Special Purpose Acquisition Companies, Shell Companies, and Projections
Corporation Finance
Final Rule
Special Purpose Acquisition Companies, Shell Companies, and Projections
33-11265, 34-99418, IC-35096
View Related Activity
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-11259, 34-99193, 39-2553, IC-35068
S7-23-22 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
Trading and Markets
Final 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
34-99149
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S7-01-23 Prohibition Against Conflicts of Interest in Certain Securitizations
Corporation Finance
Final Rule
Prohibition Against Conflicts of Interest in Certain Securitizations
33-11254
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S7-21-22 Clearing Agency Governance and Conflicts of Interest
Trading and Markets
Final Rule
Clearing Agency Governance and Conflicts of Interest
34-98959
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S7-14-22 Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities
Trading and Markets
Final Rule
Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities
34-98845
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S7-18-23 Volume-Based Exchange Transaction Pricing for NMS Stocks
Trading and Markets
Proposed Rule
Volume-Based Exchange Transaction Pricing for NMS Stocks
34-98766
S7-08-22 Short Position and Short Activity Reporting by Institutional Investment Managers
Investment Management, Trading and Markets
Final Rule
Short Position and Short Activity Reporting by Institutional Investment Managers
34-98738
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S7-18-21 Reporting of Securities Loans
Trading and Markets
Final Rule
Reporting of Securities Loans
34-98737
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S7-06-22 Modernization of Beneficial Ownership Reporting
Corporation Finance
Final Rule
Modernization of Beneficial Ownership Reporting
33-11253, 34-98704
View Related Activity
S7-16-23 Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities
Investment Management
Proposed Rule
Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities
33-11250, 34-98624, IC-35028
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S7-03-23 The Commission's Privacy Act Regulations
FOIA Services
Final Rule
The Commission’s Privacy Act Regulations
34-98437, PA-60
View Related Activity
S7-16-22 Investment Company Names
Investment Management
Final Rule
Investment Company Names
33-11238A, 34-98438A, IC-35000A
View Related Activity
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-11235, 34-98419, 39-2552, IC-34998
S7-15-23 EDGAR Filer Access and Account Management
EDGAR Business Office
Proposed Rule
EDGAR Filer Access and Account Management
33-11232, 34-98368, 39-2551, IC-34996
View Related Activity
S7-04-23 Safeguarding Advisory Client Assets
Investment Management
Proposed Rule
Safeguarding Advisory Client Assets; Reopening of Comment Period
IA-6384
View Related Activity
S7-03-22 Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
Investment Management
Final Rule
Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
IA-6383
View Related Activity
S7-05-15 Exemption for Certain Exchange Members
Trading and Markets
Final Rule
Exemption for Certain Exchange Members
34-98202
View Related Activity
S7-13-23 Exemption for Certain Investment Advisers Operating Through the Internet
Investment Management
Proposed Rule
Exemption for Certain Investment Advisers Operating Through the Internet
IA-6354
View Related Activity
S7-12-23 Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers
Trading and Markets, Investment Management
Proposed Rule
Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers
34-97990
S7-09-22 Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure
Corporation Finance
Final Rule
Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure
33-11216
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S7-11-23 Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule
Trading and Markets
Proposed Rule
Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule
34-97877
S7-22-21 Money Market Fund Reforms
Investment Management
Final Rule
Money Market Fund Reforms; Form PF Reporting Requirements for Large Liquidity Fund Advisers; Technical Amendments to Form N-CSR and Form N-1A
33-11211, 34-97876, IA-6344, IC-34959
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S7-32-10 Reopening of Comment Period for Position Reporting of Large Security-Based Swap
Trading and Markets
Proposed Rule
Reopening of Comment Period for Position Reporting of Large Security-Based Swap Positions
34-97762
Adoption of Updated EDGAR Filer Manual
EDGAR Business Office
Final Rule
Adoption of Updated EDGAR Filer Manual
33-11205, 34-97735, 39-2550, IC-34942
S7-11-22 Removal of References to Credit Ratings From Regulation M
Trading and Markets
Final Rule
Removal of References to Credit Ratings from Regulation M
34-97657
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S7-32-10 Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers
Trading and Markets
Final Rule
Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers
34-97656
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Technical Amendments to Commission Rules and Forms
Final Rule
Technical Amendments to Commission Rules and Forms
33-11197, 34-97621, IA-6316, IC-34932
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
34-97516
View Related Activity
Technical Amendments to Form BD and Form BDW
Final Rule
Technical Amendments to Form BD and Form BDW
34-97478
S7-01-22 Conformed: Form PF; Event Reporting for Large Hedge Fund Advisers and Private Equity Fund Advisers; Requirements for Large Private Equity Fund Adviser Reporting
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
IA-6297
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S7-21-21 Share Repurchase Disclosure Modernization
Corporation Finance, Investment Management
Final Rule
Share Repurchase Disclosure Modernization
34-97424
View Related Activity
S7-06-22 Modernization of Beneficial Ownership Reporting
Corporation Finance
Proposed Rule
Reopening of Comment Period for Modernization of Beneficial Ownership Reporting
33-11180
View Related Activity
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
Supplemental Information and Reopening of Comment Period for Amendments Regarding the Definition of “Exchange”
34-97309
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S7-08-23 Electronic Submission of Certain Material Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report Other Rel. Nos.: 34-97182; IC-34864
Trading and Markets
Proposed Rule
Electronic Submission of Certain Material Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report Other Rel. Nos.: 34-97182; IC-34864
33-11176, 34-97182, IC-34864
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Last Reviewed or Updated: Sept. 13, 2024