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:S7-35-95 | Rulemaking:Proposed Amendments To Require Disclosure of Accounting Policies for Derivative Financial Instruments and Derivative Commodity Instruments and Disclosure of Qualitative and Quantitative Information About Market Risk Inherent in Derivative Financial Instruments, Other Financial Instruments, and Derivative Commodity Instruments |
Status:
Proposed
Rule
Proposed Amendments To Require Disclosure of Accounting Policies for Derivative Financial Instruments and Derivative Commodity Instruments and Disclosure of Qualitative and Quantitative Information About Market Risk Inherent in Derivative Financial Instru
33-7281
|
Issue Date: | File Number:S7-10-96 | Rulemaking:Safe Harbor for Disclosure of Qualitative and Quantitative Information About Market Risk Inherent in Derivative Financial Instruments, Other Financial Instruments, and Derivative Commodity Instruments |
Status:
Proposed
Rule
Safe Harbor for Disclosure of Qualitative and Quantitative Information About Market Risk Inherent in Derivative Financial Instruments, Other Financial Instruments, and Derivative Commodity Instruments
33-7280
|
Issue Date: | File Number:S7-7-96 | Rulemaking:Exemption for the Acquisition of Securities During the Existence of an Underwriting Syndicate |
Status:
Proposed
Rule
Exemption for the Acquisition of Securities During the Existence of an Underwriting Syndicate
IC-21838
|
Issue Date: | File Number:S7-32-95 | Rulemaking:Calculation of Yield by Certain Unit Investment Trusts |
Status:
Proposed
Rule
Calculation of Yield by Certain Unit Investment Trusts
33-7253
|
Issue Date: | File Number:S7-35-95 | Rulemaking:Proposed amendments to require disclosure of accounting policies for derivatives Reference: Rel. Nos. 34-36643, IC-21625 |
Status:
Proposed
Rule
Proposed amendments to require disclosure of accounting policies for derivatives Reference: Rel. Nos. 34-36643, IC-21625
33-7250
|
Issue Date: | File Number:S7-32-95 | Rulemaking:Calculation of Yield by Certain Unit Investment Trusts |
Status:
Proposed
Rule
Calculation of Yield by Certain Unit Investment Trusts
33-7242
|
Issue Date: | File Number:S7-23-95 | Rulemaking:Custody of Investment Company Assets Outside the United States Extension of Comment Period |
Status:
Proposed
Rule
Custody of Investment Company Assets Outside the United States Extension of Comment Period
IC-21398
|
Issue Date: | File Number:S7-25-95 | Rulemaking:Personal Investment Activities of Investment Company Personnel and Codes of Ethics of Investment Companies and Their Investment Advisers and Principal Underwriters |
Status:
Proposed
Rule
Personal Investment Activities of Investment Company Personnel and Codes of Ethics of Investment Companies and Their Investment Advisers and Principal Underwriters
33-7212
|
Issue Date: | File Number: | Rulemaking:Status of Investment Advisory Programs Under the Investment Company Act of 1940 |
Status:
Proposed
Rule
Status of Investment Advisory Programs Under the Investment Company Act of 1940
IC-21260,
IC-22579
|
Issue Date: | File Number:S7-23-95 | Rulemaking:Custody of Investment Company Assets Outside the United States |
Status:
Proposed
Rule
Custody of Investment Company Assets Outside the United States
IC-21259
|
Issue Date: | File Number:S7-22-95 | Rulemaking:Money Market Fund Quarterly Reporting |
Status:
Proposed
Rule
Money Market Fund Quarterly Reporting
IC-21217
|
Issue Date: | File Number: | Rulemaking:Money Market Fund Prospectuses |
Status:
Proposed
Rule
Money Market Fund Prospectuses
33-7196
|
Issue Date: | File Number:S7-18-95 | Rulemaking:Solicitations of Interest Prior to an Initial Public Offering |
Status:
Proposed
Rule
Solicitations of Interest Prior to an Initial Public Offering
33-7188
|
Issue Date: | File Number:S7-14-95 | Rulemaking:Streamlining and Consolidation of Executive and Director Compensation Disclosure |
Status:
Proposed
Rule
Streamlining and Consolidation of Executive and Director Compensation Disclosure
33-7184
|
Issue Date: | File Number:S7-13-95 | Rulemaking:Use of Abbreviated Financial Statements in Documents Delivered to Investors Pursuant to the Securities Act of 1933 and Securities Exchange Act of 1934 |
Status:
Proposed
Rule
Use of Abbreviated Financial Statements in Documents Delivered to Investors Pursuant to the Securities Act of 1933 and Securities Exchange Act of 1934
33-7183
|
Issue Date: | File Number:S7-31-94 | Rulemaking:Disclosure Concerning Legal Proceedings Involving Management, Promoters, Control Persons and Others |
Status:
Proposed
Rule
Disclosure Concerning Legal Proceedings Involving Management, Promoters, Control Persons and Others
34-34923
|
Issue Date: | File Number:S7-12-95 | Rulemaking:Exemption of Acquisition By Registered Public-Utility Holding Companies of Securities of Nonutility Companies Engaged in Certain Energy-Related and Gas-Related Businesses; Exemption of Capital Contributions and Advances to Such Companies |
Status:
Proposed
Rule
Exemption of Acquisition By Registered Public-Utility Holding Companies of Securities of Nonutility Companies Engaged in Certain Energy-Related and Gas-Related Businesses; Exemption of Capital Contributions and Advances to Such Companies
35-26313
|
Issue Date: | File Number:S7-11-95 | Rulemaking:Exemption of Issuance and Sale of Securities by Public Utility and Nonutility Subsidiary Companies of Registered Public Utility Holding Companies; Rescission of Statements of Policy |
Status:
Proposed
Rule
Exemption of Issuance and Sale of Securities By Public-Utility and Nonutility Subsidiary Companies of Registered Public-Utility Holding Companies
35-26312,
35-26826
|
Issue Date: | File Number:S7-5-95 | Rulemaking:Disclosure by Investment Advisers Regarding Soft Dollar Practices |
Status:
Proposed
Rule
Disclosure by Investment Advisers Regarding Soft Dollar Practices
34-35375
|
Issue Date: | File Number:S7-4-95 | Rulemaking:Unlisted Trading Privileges |
Status:
Proposed
Rule
Unlisted Trading Privileges
34-35323
|
Issue Date: | File Number:S7-3-95 | Rulemaking:Registration Fees for Certain Investment Companies |
Status:
Proposed
Rule
Registration Fees for Certain Investment Companies
33-7133
|
Issue Date: | File Number:S7-35-94 | Rulemaking:Proposed Amendments to the Transfer Agent Rules |
Status:
Proposed
Rule
Proposed Amendments to the Transfer Agent Rules
34-35040
|
Issue Date: | File Number:S7-30-94 | Rulemaking:Internalized/Affiliate Practices, Payment for Order Flow and Order Routing Practices |
Status:
Proposed
Rule
Internalized/Affiliate Practices, Payment for Order Flow and Order Routing Practices
34-34903
|
Issue Date: | File Number:S7-28-94 | Rulemaking:Customer Limit Orders |
Status:
Proposed
Rule
Customer Limit Orders
34-34753
|
Issue Date: | File Number:S7-20-88 | Rulemaking:Amendments to Municipal Securities Disclosure |
Status:
Proposed
Rule
Amendments to Municipal Securities Disclosure
34-26100
|
Displaying 901 - 927 of 927
Modified: Feb. 20, 2024