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:S7-10-08 |
Rulemaking: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
Corporation Finance
|
Status:
Proposed
Rule
Revisions to the Cross-Border Tender Offer, Exchange Offer, and Business Combination Rules and Beneficial Ownership Reporting Rules for Certain Foreign Institutions
33-8917,
34-57781
|
Issue Date: | File Number:S7-08-08 |
Rulemaking:"Naked' Short Selling Antifraud Rule
Trading and Markets
|
Status:
Proposed
Rule
"Naked' Short Selling Anti-Fraud Rule
34-57511
|
Issue Date: | File Number:S7-07-08 |
Rulemaking:Exchange-Traded Funds
Investment Management
|
Status:
Proposed
Rule
Exchange-Traded Funds
33-8901,
IC-28193
|
Issue Date: | File Number:S7-06-08 |
Rulemaking:Part 248-Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Personal Information
Investment Management, Trading and Markets
|
Status:
Proposed
Rule
Part 248-Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Personal Information
34-57427,
IC-28178,
IA-2712
|
Issue Date: | File Number:S7-10-00 | Rulemaking:Electronic Filing by Investment Advisers; Amendments To Form ADV; Technical Amendments |
Status:
Proposed
Rule
Amendments to Form ADV
IA-2711,
34-57419
|
Issue Date: | File Number:S7-05-08 |
Rulemaking:Foreign Issuer Reporting Enhancements
Corporation Finance
|
Status:
Proposed
Rule
Foreign Issuer Reporting Enhancements
33-8900,
34-57409,
33-8959 International Series Release No. 1308
|
Issue Date: | File Number:S7-04-08 |
Rulemaking:Exemption From Registration Under Section 12(G) of the Securities Exchange Act of 1934 for Foreign Private Issuers
Corporation Finance
|
Status:
Proposed
Rule
Exemption From Registration Under Section 12(G) of the Securities Exchange Act of 1934 for Foreign Private Issuers
34-57350,
34-58465
|
Issue Date: | File Number:S7-02-08 |
Rulemaking:Disclosure of Divestment by Registered Investment Companies in Accordance With Sudan Accountability and Divestment Act of 2007
Investment Management
|
Status:
Proposed
Rule
Disclosure of Divestment by Registered Investment Companies in Accordance With Sudan Accountability and Divestment Act of 2007
34-57306,
IC-28148,
34-57711
|
Issue Date: | File Number:S7-06-03 | Rulemaking:Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers |
Status:
Proposed
Rule
Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers
33-8889,
34-57258,
33-8934A
|
Issue Date: | File Number:S7-30-07 |
Rulemaking:Revisions to Form S-11 To Permit Historical Incorporation by Reference
Corporation Finance
|
Status:
Proposed
Rule
Revisions to Form S-11 To Permit Historical Incorporation by Reference
33-8871
|
Issue Date: | File Number:S7-28-07 | Rulemaking:Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies |
Status:
Proposed
Rule
Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies
33-8861,
IC-28064
|
Issue Date: | File Number:S7-25-07 | Rulemaking:Mandatory Electronic Submission of Applications for Orders Under the Investment Company Act and Filings Made Pursuant to Regulation E |
Status:
Proposed
Rule
Rulemaking for EDGAR System; Mandatory Electronic Submission of Applications for Orders Under the Investment Company Act and Filings Made Pursuant to Regulation E
33-8859,
34-56732,
IC-28042
|
Issue Date: | File Number:S7-22-07 | Rulemaking:Interpretive Rule Under the Advisers Act Affecting Broker-Dealers |
Status:
Proposed
Rule
Interpretive Rule Under the Advisers Act Affecting Broker-Dealers
IA-2652
|
Issue Date: | File Number:S7-19-07 | Rulemaking:Amendments to Regulation SHO |
Status:
Proposed
Rule
Amendments to Regulation SHO
34-56213
|
Issue Date: | File Number:S7-18-07 | Rulemaking:Revisions of Limited Offering Exemptions in Regulation D |
Status:
Proposed
Rule
Revisions of Limited Offering Exemptions in Regulation D
33-8828,
IC-27922
|
Issue Date: | File Number:S7-17-07 | Rulemaking:Shareholder Proposals Relating to the Election of Directors |
Status:
Proposed
Rule
Shareholder Proposals Relating to the Election of Directors
34-56161,
IC-27914
|
Issue Date: | File Number:S7-16-07 | Rulemaking:Electronic Shareholder Forums |
Status:
Proposed
Rule
Shareholder Proposals
34-56160,
IC-27913
|
Issue Date: | File Number:S7-14-07 | Rulemaking:Exemption of Compensatory Employee Stock Options From Registration Under Section 12(G) of the Securities Exchange Act of 1934 |
Status:
Proposed
Rule
Exemption of Compensatory Employee Stock Options From Registration Under Section 12(g) of the Securities Exchange Act of 1934
34-56010
|
Issue Date: | File Number:S7-15-07 | Rulemaking:Smaller Reporting Company Regulatory Relief and Simplification |
Status:
Proposed
Rule
Smaller Reporting Company Regulatory Relief and Simplification
33-8819,
34-56013,
39-2447
|
Issue Date: | File Number:S7-13-07 | Rulemaking:Acceptance From Foreign Private Issuers of Financial Statements Prepared in Accordance With International Financial Reporting Standards Without Reconciliation to U.S. GAAP |
Status:
Proposed
Rule
Acceptance From Foreign Private Issuers of Financial Statements Prepared in Accordance With International Financial Reporting Standards Without Reconciliation to U.S. GAAP
33-8818,
34-55998,
International Series Release No. 1302
|
Issue Date: | File Number:S7-12-07 | Rulemaking:Electronic Filing and Revision of Form D |
Status:
Proposed
Rule
Electronic Filing and Simplification of Form D
33-8814,
34-55980,
39-2446,
IC-27878
|
Issue Date: | File Number:S7-11-07 | Rulemaking:Revisions to Rules 144 and 145 |
Status:
Proposed
Rule
Revisions to Rule 144 and Rule 145 to Shorten Holding Period for Affiliates and Non-Affiliates
33-8813
|
Issue Date: | File Number:S7-10-07 | Rulemaking:Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 and F-3 |
Status:
Proposed
Rule
Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 And F-3
33-8812
|
Issue Date: | File Number:S7-24-06 | Rulemaking:Amendments to Rules Regarding Management's Report on Internal Control Over Financial Reporting |
Status:
Proposed
Rule
Definition of a Significant Deficiency
33-8811,
34-55930
|
Issue Date: | File Number:S7-08-07 | Rulemaking:Financial Responsibility Rules for Broker-Dealers |
Status:
Proposed
Rule
Amendments to Financial Responsibility Rules for Broker-Dealers
34-55777
|
Issue Date: | File Number:S7-12-06 | Rulemaking:Amendments to Regulation SHO |
Status:
Proposed
Rule
Amendments to Regulation SHO
34-55520
|
Issue Date: | File Number:S7-09-07 | Rulemaking:Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act |
Status:
Proposed
Rule
Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act
34-55497,
IA-2598,
IC-27755
|
Issue Date: | File Number:S7-08-07 | Rulemaking:Financial Responsibility Rules for Broker-Dealers |
Status:
Proposed
Rule
Amendments to Financial Responsibility Rules for Broker-Dealers
34-55431
|
Issue Date: | File Number:S7-06-07 | Rulemaking:Proposed Rule Changes of Self-Regulatory Organizations |
Status:
Proposed
Rule
Proposed Rule Changes of Self-Regulatory Organizations
34-55341
|
Issue Date: | File Number:S7-05-07 | Rulemaking:Extension of Interactive Data Voluntary Reporting Program on the Edgar System To Include Mutual Fund Risk/Return Summary Information |
Status:
Proposed
Rule
Extension of Interactive Data Voluntary Reporting Program on the EDGAR System To Include Mutual Fund Risk/Return Summary Information
33-8781,
IC-27697
|
Issue Date: | File Number:S7-04-07 | Rulemaking:Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical Rating Organizations |
Status:
Proposed
Rule
Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical Rating Organizations
34-55231,
34-55857
|
Issue Date: | File Number:S7-03-07 | Rulemaking:Shareholder Choice Regarding Proxy Materials |
Status:
Proposed
Rule
Universal Internet Availability of Proxy Materials
34-55147,
IC-27672
|
Issue Date: | File Number:S7-03-04 | Rulemaking:Investment Company Governance; Correction |
Status:
Proposed
Rule
Investment Company Governance; Correction
IC-27600A
|
Issue Date: | File Number:S7-25-06 | Rulemaking:Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles; Accredited Investors in Certain Private Investment Vehicles |
Status:
Proposed
Rule
Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles; Accredited Investors in Certain Private Investment Vehicles
33-8766,
IA-2576
|
Issue Date: | File Number:S7-12-05 | Rulemaking:Termination of a Foreign Private Issuer's Registration of a Class of Securities Under Section 12(g) and Duty To File Reports Under Section 13(a) or 15(d) of the Securities Exchange Act of 1934 |
Status:
Proposed
Rule
Termination of a Foreign Private Issuer's Registration of a Class of Securities Under Section 12(g) and Duty To File Reports Under Section 13(a) or 15(d) of the Securities Exchange Act of 1934
34-55005
|
Issue Date: | File Number:S7-24-06 | Rulemaking:Amendments to Rules Regarding Management's Report on Internal Control Over Financial Reporting |
Status:
Proposed
Rule
Management's Report on Internal Control Over Financial Reporting
33-8762,
34-54976
|
Issue Date: | File Number:S7-23-06 | Rulemaking:Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act of 1934 and Related Rules |
Status:
Proposed
Rule
Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act of 1934 and Related Rules
34-54947
|
Issue Date: | File Number:S7-22-06 | Rulemaking:Definitions of Terms and Exemptions Relating to the "Broker" Exceptions for Banks |
Status:
Proposed
Rule
Definitions of Terms and Exemptions Relating to the "Broker" Exceptions for Banks
34-54946
|
Issue Date: | File Number:S7-03-04 | Rulemaking:Investment Company Governance; Correction |
Status:
Proposed
Rule
Investment Company Governance
IC-27600
|
Issue Date: | File Number:S7-21-06 | Rulemaking:Regulation SHO and Rule 10a-1 |
Status:
Proposed
Rule
Amendments to Regulation SHO and Rule 10a-1
34-54891
|
Issue Date: | File Number:S7-20-06 | Rulemaking:Short Selling in Connection With a Public Offering |
Status:
Proposed
Rule
Short Selling in Connection With a Public Offering
34-54888,
34-56206
|
Issue Date: | File Number:S7-19-06 | Rulemaking:Proposed Amendments to Municipal Securities Disclosure |
Status:
Proposed
Rule
Proposed Amendments to Municipal Securities Disclosure
34-54863
|
Issue Date: | File Number:S7-18-06 | Rulemaking:Covered Securities Pursuant to Section 18 of the Securities Act of 1933 |
Status:
Proposed
Rule
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
33-8754
|
Issue Date: | File Number:S7-37-04 | Rulemaking:Definition of Eligible Portfolio Company Under the Investment Company Act of 1940 |
Status:
Proposed
Rule
Definition of Eligible Portfolio Company Under the Investment Company Act of 1940
IC-27539,
IC-28266
|
Issue Date: | File Number:S7-16-06 | Rulemaking:Amendments to Rule 15c3-1 and Rule 17a-11 Applicable to Broker-Dealers Also Registered as Futures Commission Merchants |
Status:
Proposed
Rule
Amendments to Rule 15c3-1 and Rule 17a-11 Applicable to Broker-Dealers Also Registered as Futures Commission Merchants
34-54575
|
Issue Date: | File Number:S7-03-06 | Rulemaking:Executive Compensation and Related Person Disclosure |
Status:
Proposed
Rule
Executive Compensation Disclosure
33-8735,
34-54380
|
Issue Date: | File Number:S7-14-06 | Rulemaking:Electronic Filing of Transfer Agent Forms |
Status:
Proposed
Rule
Electronic Filing of Transfer Agent Forms
34-54356
|
Issue Date: | File Number:S7-06-03 | Rulemaking:Internal Control Over Financial Reporting In Exchange Act Periodic Reports of Foreign Private Issuers That Are Accelerated Filers [Corrected August 11, 2006] |
Status:
Proposed
Rule
Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers and Newly Public Companies
33-8731
|
Issue Date: | File Number:S7-12-06 | Rulemaking:Amendments to Regulation SHO |
Status:
Proposed
Rule
Amendments to Regulation SHO
34-54154
|
Issue Date: | File Number:S7-03-04 | Rulemaking:Investment Company Governance |
Status:
Proposed
Rule
Investment Company Governance
IC-27395
|
Issue Date: | File Number:S7-07-06 | Rulemaking:Joint Proposed Rules: Application of the Definition of Narrow-Based Security Index to Debt Securities Indexes and Security Futures on Debt Securities |
Status:
Proposed
Rule
Joint Proposed Rules: Application of the Definition of Narrow-Based Security Index to Debt Securities Indexes and Security Futures on Debt Securities
34-53560
|
Issue Date: | File Number:S7-06-06, 4-512 | Rulemaking:Mutual Fund Redemption Fees |
Status:
Proposed
Rule
Mutual Fund Redemption Fees
IC-27255
|
Issue Date: | File Number:S7-03-06 | Rulemaking:Executive Compensation and Related Person Disclosure |
Status:
Proposed
Rule
Executive Compensation and Related Party Disclosure
33-8655
|
Issue Date: | File Number:S7-12-05 | Rulemaking:Termination of a Foreign Private Issuer's Registration of a Class of Securities Under Section 12(g) and Duty To File Reports Under Section 13(a) or 15(d) of the Securities Exchange Act of 1934 |
Status:
Proposed
Rule
Termination of a Foreign Private Issuer's Registration of a Class of Securities Under Section 12(g) and Duty To File Reports Under Section 15(d) of the Securities Exchange Act of 1934
34-53020
|
Issue Date: | File Number:S7-11-05 | Rulemaking:Amendments to the Tender Offer Best-Price Rules |
Status:
Proposed
Rule
Amendments to the Tender Offer Best-Price Rule
34-52968,
IC-27193
|
Issue Date: | File Number:S7-10-05 | Rulemaking:Internet Availability of Proxy Materials |
Status:
Proposed
Rule
Internet Availability of Proxy Materials
34-52926,
IC-27182
|
Issue Date: | File Number:S7-08-05 | Rulemaking:Revisions to Accelerated Filer Definition and Accelerated Deadlines for Filing Periodic Reports |
Status:
Proposed
Rule
Revisions to Accelerated Filer Definition and Accelerated Deadlines for Filing Periodic Reports
33-8617,
34-52491
|
Issue Date: | File Number:S7-05-05 | Rulemaking:Adoption of Amendments to the Rules of Practice and Related Provisions and Delegations of Authority of the Commission |
Status:
Proposed
Rule
Proposed Amendments to the Rules of Practice and Related Provisions
34-51595
|
Issue Date: | File Number:S7-04-05 | Rulemaking:Definition of Nationally Recognized Statistical Rating Organization |
Status:
Proposed
Rule
Definition of Nationally Recognized Statistical Rating Organization
33-8570,
34-51572,
IC-26834
|
Displaying 501 - 600 of 927
Modified: Feb. 20, 2024