This index of the SEC’s rulemaking activity can be filtered by year, status (proposed or final), or division/office that recommended the rulemaking to the Commission.
Twice a year under the Regulatory Flexibility Act, the SEC is required to publish an agenda identifying rules that the agency estimates it may consider in the next 12 months. View the latest SEC RegFlex agenda.
Rulemaking Activity Table
Issue Date
|
File Number
|
Rulemaking
|
Status
|
---|---|---|---|
Issue Date: | File Number:S7-07-19 |
Rulemaking:Cross-Border Application of Certain Security-Based Swap Requirements
Trading and Markets
|
Status:
Proposed
Rule
Proposed Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements
34-85823
|
Issue Date: | File Number:S7-06-19 |
Rulemaking:Accelerated Filer and Large Accelerated Filer Definitions
Corporation Finance
|
Status:
Proposed
Rule
Amendments to the Accelerated Filer and Large Accelerated Filer Definitions
34-85814
|
Issue Date: | File Number:S7-05-19 |
Rulemaking:Amendments to Financial Disclosures About Acquired and Disposed Businesses
Chief Accountant, Corporation Finance, Investment Management
|
Status:
Proposed
Rule
Amendments to Financial Disclosures About Acquired and Disposed Businesses
33-10635,
34-85765,
IC-33465
|
Issue Date: | File Number:S7-03-19 |
Rulemaking:Securities Offering Reform for Closed-End Investment Companies
Investment Management
|
Status:
Proposed
Rule
Securities Offering Reform for Closed-End Investment Companies
33-10619,
34-85382,
IC-33427
|
Issue Date: | File Number:S7-01-19 |
Rulemaking:Solicitations of Interest Prior to a Registered Public Offering
Corporation Finance, Investment Management
|
Status:
Proposed
Rule
Solicitations of Interest Prior to a Registered Public Offering
33-10607
|
Issue Date: | File Number:S7-23-18 |
Rulemaking:Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
Investment Management
|
Status:
Proposed
Rule
Reopening of Comment Period for Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
33-10605
|
Issue Date: | File Number:S7-30-18 | Rulemaking:Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds |
Status:
Proposed
Rule
Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds
BHCA-5
|
Issue Date: | File Number:S7-27-18 |
Rulemaking:Fund of Funds Arrangements
Investment Management
|
Status:
Proposed
Rule
Fund of Funds Arrangements
33-10590,
IC-33329
|
Issue Date: | File Number:S7-28-18 |
Rulemaking:Risk Mitigation Techniques for Uncleared Security-Based Swaps
Trading and Markets
|
Status:
Proposed
Rule
Risk Mitigation Techniques for Uncleared Security-Based Swaps
34-84861
|
Issue Date: | File Number:S7-23-18 |
Rulemaking:Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
Investment Management
|
Status:
Proposed
Rule
Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
33-10569
|
Issue Date: | File Number:S7-08-12 |
Rulemaking:Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers
Trading and Markets
|
Status:
Proposed
Rule
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
34-84409
|
Issue Date: | File Number:S7-22-18 |
Rulemaking:Amendments to Rules for Nationally Recognized Statistical Rating Organizations
Credit Ratings
|
Status:
Proposed
Rule
Amendments to Rules for Nationally Recognized Statistical Rating Organizations
34-84289
|
Issue Date: | File Number:S7-21-18 |
Rulemaking:Amendment to Single Issuer Exemption for Broker-Dealers
Trading and Markets
|
Status:
Proposed
Rule
Amendment to Single Issuer Exemption for Broker-Dealers
34-84225
|
Issue Date: | File Number:S7-14-18 |
Rulemaking:Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Trading and Markets, Investment Management
|
Status:
Proposed
Rule
Extension of Comment Period for Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
BHCA-4
|
Issue Date: | File Number:S7-19-18 |
Rulemaking:Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities
Corporation Finance
|
Status:
Proposed
Rule
Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities
33-10526,
34-83701,
33-10762
|
Issue Date: | File Number:S7-16-18 |
Rulemaking:Whistleblower Program Rules
Enforcement, General Counsel
|
Status:
Proposed
Rule
Whistleblower Program Rules
34-83557
|
Issue Date: | File Number:S7-15-18 |
Rulemaking:Exchange-Traded Funds
Investment Management
|
Status:
Proposed
Rule
Exchange-Traded Funds
33-10515,
IC-33140
|
Issue Date: | File Number:S7-14-18 |
Rulemaking:Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Trading and Markets, Investment Management
|
Status:
Proposed
Rule
Extension of Comment Period for Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
BHCA-3
|
Issue Date: | File Number:S7-11-18 |
Rulemaking:Covered Investment Fund Research Reports
Corporation Finance, Investment Management, Trading and Markets
|
Status:
Proposed
Rule
Covered Investment Fund Research Reports
33-10498,
34 83307,
IC 33106
|
Issue Date: | File Number:S7-10-18 |
Rulemaking:Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships
Chief Accountant
|
Status:
Proposed
Rule
Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships
33-10491,
IC-33091,
IA-4904
|
Issue Date: | File Number:S7-07-18 |
Rulemaking:Regulation Best Interest: The Broker-Dealer Standard of Conduct
Trading and Markets, Investment Management
|
Status:
Proposed
Rule
Regulation Best Interest
34-83062
|
Issue Date: | File Number:S7-09-18 |
Rulemaking:Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation
Investment Management
|
Status:
Proposed
Rule
Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation
IA-4889
|
Issue Date: | File Number:S7-08-18 |
Rulemaking:Form CRS Relationship Summary; Amendments to Form ADV
Investment Management
|
Status:
Proposed
Rule
Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures in Retail Communications and Restrictions on the Use of Certain Names or Titles
34-83063,
IA-4888
|
Issue Date: | File Number:S7-04-18 |
Rulemaking:Investment Company Liquidity Disclosure
Investment Management
|
Status:
Proposed
Rule
Investment Company Liquidity Disclosure
IC-33046
|
Issue Date: | File Number:S7-05-18 |
Rulemaking:Transaction Fee Pilot for NMS Stocks
Trading and Markets
|
Status:
Proposed
Rule
Transaction Fee Pilot for NMS Stocks
34-82873
|
Issue Date: | File Number:S7-09-17 |
Rulemaking:Amendments to the Commission's Freedom of Information Act Regulations
General Counsel
|
Status:
Proposed
Rule
Freedom of Information Act Regulations
34-82373,
FOIA-192
|
Issue Date: | File Number:S7-08-17 |
Rulemaking:FAST Act Modernization and Simplification of Regulation S-K
Corporation Finance, Investment Management
|
Status:
Proposed
Rule
FAST Act Modernization and Simplification of Regulation S-K
33-10425,
34-81851,
IA-4791,
IC-32858
|
Issue Date: | File Number:S7-06-17 |
Rulemaking:Covered Securities Pursuant to Section 18 of the Securities Act of 1933
Trading and Markets
|
Status:
Proposed
Rule
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
33-10390
|
Issue Date: | File Number:S7-05-17 |
Rulemaking:Exemptions From Investment Adviser Registration for Advisers to Small Business Investment Companies
Investment Management
|
Status:
Proposed
Rule
Amendments to Investment Advisers Act Rules To Reflect Changes Made by the FAST Act
IA-4697
|
Issue Date: | File Number:S7-03-17 |
Rulemaking:Inline XBRL Filing of Tagged Data
Corporation Finance
|
Status:
Proposed
Rule
Inline XBRL Filing of Tagged Data
33-10323
|
Issue Date: | File Number:S7-01-17 |
Rulemaking:Amendments to Municipal Securities Disclosure
Municipal Securities
|
Status:
Proposed
Rule
Proposed Amendments to Municipal Securities Disclosure
34-80130
|
Issue Date: | File Number:S7-24-16 |
Rulemaking:Universal Proxy
Corporation Finance
|
Status:
Proposed
Rule
Universal Proxy
34-79164
|
Issue Date: | File Number:S7-22-16 |
Rulemaking:Securities Transaction Settlement Cycle
Trading and Markets
|
Status:
Proposed
Rule
Amendment to Securities Transaction Settlement Cycle
34-78962
|
Issue Date: | File Number:S7-23-16 |
Rulemaking:Definition of "Covered Clearing Agency"
Trading and Markets
|
Status:
Proposed
Rule
Definition of Covered Clearing Agency
34-78963
|
Issue Date: | File Number:S7-15-16 |
Rulemaking:Disclosure Update and Simplification
Corporation Finance
|
Status:
Proposed
Rule
Extension of Comment Period for Disclosure Update and Simplification
33-10220
|
Issue Date: | File Number:S7-19-16 |
Rulemaking:Exhibit Hyperlinks and HTML Format
Corporation Finance
|
Status:
Proposed
Rule
Exhibit Hyperlinks and HTML Format
33-10201
|
Issue Date: | File Number:S7-10-16 |
Rulemaking:Modernization of Property Disclosures for Mining Registrants
Corporation Finance
|
Status:
Proposed
Rule
Extension of Comment Period for Modernization of Property Disclosures for Mining Registrants
33-10127
|
Issue Date: | File Number:S7-14-16 |
Rulemaking:Disclosure of Order Handling Information
Trading and Markets
|
Status:
Proposed
Rule
Disclosure of Order Handling Information
34-78309
|
Issue Date: | File Number:S7-15-16 |
Rulemaking:Disclosure Update and Simplification
Corporation Finance
|
Status:
Proposed
Rule
Disclosure Update and Simplification
33-10110
|
Issue Date: | File Number:S7-13-16 |
Rulemaking:Adviser Business Continuity and Transition Plans
Investment Management
|
Status:
Proposed
Rule
Adviser Business Continuity and Transition Plans
IA-4439
|
Issue Date: | File Number:S7-12-16 |
Rulemaking:Smaller Reporting Company Definition
Corporation Finance
|
Status:
Proposed
Rule
Amendments to Smaller Reporting Company Definition
33-10107
|
Issue Date: | File Number:S7-10-16 |
Rulemaking:Modernization of Property Disclosures for Mining Registrants
Corporation Finance
|
Status:
Proposed
Rule
Modernization of Property Disclosures for Mining Registrants
33-10098
|
Issue Date: | File Number:S7-07-16 |
Rulemaking:Incentive-Based Compensation Arrangements
Trading and Markets, Investment Management
|
Status:
Proposed
Rule
Incentive-Based Compensation Arrangements
34-77776
|
Issue Date: | File Number:S7-27-15 |
Rulemaking:Transfer Agent Regulations; Extension of Comment Period
Trading and Markets
|
Status:
Proposed
Rule
Transfer Agent Regulations; Extension of Comment Period
34-77172
|
Issue Date: | File Number:S7-02-16 |
Rulemaking:Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Trading and Markets
|
Status:
Proposed
Rule
Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
34-77157
|
Issue Date: | File Number:S7-25-15 |
Rulemaking:Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
|
Status:
Proposed
Rule
Extension of Comment Period for Disclosure of Payments by Resource Extraction Issuers
34-76958
|
Issue Date: | File Number:S7-15-15 |
Rulemaking:Access to Data Obtained by Security-Based Swap Data Repositories
Trading and Markets
|
Status:
Proposed
Rule
Access to Data Obtained by Security-Based Swap Data Repositories and Exemption From Indemnification Requirement
34-76922
|
Issue Date: | File Number:S7-25-15 |
Rulemaking:Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
|
Status:
Proposed
Rule
Disclosure of Payments by Resource Extraction Issuers
34-76620
|
Issue Date: | File Number:S7-26-15 | Rulemaking:Establishing the Form and Manner with which Security-Based Swap Data Repositories Must Make Security-Based Swap Data Available to the Commission |
Status:
Proposed
Rule
Establishing the Form and Manner with which Security-Based Swap Data Repositories Must Make Security-Based Swap Data Available to the Commission
34-76624
|
Issue Date: | File Number:S7-24-15 |
Rulemaking:Use of Derivatives by Registered Investment Companies and Business Development Companies
Investment Management
|
Status:
Proposed
Rule
Use of Derivatives by Registered Investment Companies and Business Development Companies
IC-31933
|
Issue Date: | File Number:S7-23-15 |
Rulemaking:Disclosure Update and Simplification
Corporation Finance
|
Status:
Proposed
Rule
Regulation of NMS Stock Alternative Trading Systems
34-76474
|
Issue Date: | File Number:S7-22-15 |
Rulemaking:Exemptions To Facilitate Intrastate and Regional Securities Offerings
Corporation Finance
|
Status:
Proposed
Rule
Exemptions To Facilitate Intrastate and Regional Securities Offerings
33-9973,
34-76319
|
Issue Date: | File Number:S7-18-15 |
Rulemaking:Amendments to the Commission's Rules of Practice
General Counsel
|
Status:
Proposed
Rule
Amendments to the Commission's Rules of Practice
34-75976
|
Issue Date: | File Number:S7-19-15 |
Rulemaking:Amendments to the Commission's Rules of Practice (Conformed to Federal Register version) Effective Date: The final rules are effective January 29, 2021, except for Instruction 8 which is effective July 12, 2021 Compliance Date: April 12, 2021
General Counsel
|
Status:
Proposed
Rule
Amendments to the Commission's Rules of Practice
34-75977
|
Issue Date: | File Number:S7-16-15, S7-08-15 |
Rulemaking:Investment Company Liquidity Risk Management Programs
Investment Management
|
Status:
Proposed
Rule
Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release
33-9922,
IC-31835
|
Issue Date: | File Number:S7-15-15 |
Rulemaking:Access to Data Obtained by Security-Based Swap Data Repositories
Trading and Markets
|
Status:
Proposed
Rule
Access to Data Obtained by Security-Based Swap Data Repositories and Exemption From Indemnification Requirement
34-75845
|
Issue Date: | File Number:S7-14-15 |
Rulemaking:Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved in Effecting Security-Based Swaps
Trading and Markets
|
Status:
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
34-75612
|
Issue Date: | File Number:S7-08-15 |
Rulemaking:Investment Company Reporting Modernization
Investment Management
|
Status:
Proposed
Rule
Investment Company Reporting Modernization
33-9776,
33-10231,
34-75002,
IC-31610
|
Issue Date: | File Number:S7-09-15 |
Rulemaking:Form ADV and Investment Advisers Act Rules
Investment Management
|
Status:
Proposed
Rule
Amendments to Form ADV and Investment Advisers Act Rules
IA-4091
|
Issue Date: | File Number:S7-06-15 |
Rulemaking: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
Trading and Markets
|
Status:
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
34-74834
|
Issue Date: | File Number:S7-07-15 |
Rulemaking:Pay Versus Performance
Corporation Finance
|
Status:
Proposed
Rule
Pay Versus Performance
34-74835
|
Issue Date: | File Number:S7-05-15 |
Rulemaking:Exemption for Certain Exchange Members
Trading and Markets
|
Status:
Proposed
Rule
Exemption for Certain Exchange Members
34-74581
|
Issue Date: | File Number:S7-03-15 |
Rulemaking:Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Trading and Markets
|
Status:
Proposed
Rule
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
34-74245
|
Issue Date: | File Number:S7-01-15 |
Rulemaking:Disclosure of Hedging by Employees, Officers and Directors
Corporation Finance
|
Status:
Proposed
Rule
Disclosure of Hedging by Employees, Officers and Directors
33-9723,
34-74232,
IC-31450
|
Issue Date: | File Number:S7-12-14 |
Rulemaking:Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act
Corporation Finance
|
Status:
Proposed
Rule
Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the Jobs Act
33-9693,
34-73876,
33-10075A
|
Issue Date: | File Number:S7-09-14 |
Rulemaking:Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
Corporation Finance
|
Status:
Proposed
Rule
Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
33-9643
|
Issue Date: | File Number:S7-23-07 | Rulemaking:Principal Trades with Certain Advisory Clients |
Status:
Proposed
Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
IA-3893
|
Issue Date: | File Number:S7-07-11 |
Rulemaking:Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule
Investment Management
|
Status:
Proposed
Rule
Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule
IC-31184
|
Issue Date: | File Number:S7-07-14 |
Rulemaking:Freedom of Information Act Regulations: Fee Schedule, Addition of Appeals Time Frame, and Miscellaneous Administrative Changes
FOIA Services
|
Status:
Proposed
Rule
Freedom of Information Act Regulations: Fee Schedule, Addition of Appeal Time Frame, and Miscellaneous Administrative Changes
34-72440
|
Issue Date: | File Number:S7-05-14 |
Rulemaking:Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers
Trading and Markets
|
Status:
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
34-71958
|
Issue Date: | File Number:S7-12-10 |
Rulemaking:Investment Company Advertising: Target Date Retirement Fund Names and Marketing
Investment Management
|
Status:
Proposed
Rule
Investment Company Advertising: Target Date Retirement Fund Names and Marketing
33-9570,
34-71861,
IC-31004
|
Displaying 201 - 300 of 927
Modified: Feb. 20, 2024