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:S7-9-98 | Rulemaking:Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Life Insurance Policies |
Status:
Final
Rule
Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Life Insurance Policies
33-8088,
IC-25522,
33-7514
|
Issue Date: | File Number: | Rulemaking:Approved Information Collections |
Status:
Final
Rule
Approved Information Collections
33-8071
|
Issue Date: | File Number:S7-03-02 | Rulemaking:Requirements for Arthur Andersen LLP Auditing Clients |
Status:
Final
Rule
Requirements for Arthur Andersen LLP Auditing Clients
33-8070
|
Issue Date: | File Number: | Rulemaking:Exemption of Transactions in Certain Options and Futures on Security Indexes From Section 31 of the Exchange Act |
Status:
Final
Rule
Exemption of Transactions in Certain Options and Futures on Security Indexes From Section 31 of the Exchange Act
34-45371
|
Issue Date: | File Number:S7-02-02 | Rulemaking:Amendments to Rule 31-1, Securities Transactions Exempt From Transaction Fees |
Status:
Final
Rule
Amendments to Rule 31-1, Securities Transactions Exempt From Transaction Fees
34-45291
|
Issue Date: | File Number:S7-04-01 | Rulemaking:Disclosure of Equity Compensation Plan Information |
Status:
Final
Rule
Disclosure of Equity Compensation Plan Information
33-8048
|
Issue Date: | File Number:S7-19-98 | Rulemaking:Options Disclosure Document |
Status:
Final
Rule
Options Disclosure Document
33-8049,
33-7550
|
Issue Date: | File Number:S7-26-98 | Rulemaking:Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 |
Status:
Final
Rule
Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
34-44992
|
Issue Date: | File Number:SR-NSCC-2001-14, SR-NYSE-2001-42 | Rulemaking:Certifications and Exemptions Under the International Regulations for Preventing Collisions at Sea, 1972; Amendment |
Status:
Final
Rule
Certifications and Exemptions Under the International Regulations for Preventing Collisions at Sea, 1972; Amendment
34-44965
|
Issue Date: | File Number:S7-09-00 | Rulemaking:Disclosure of Mutual Fund After-Tax Returns |
Status:
Final
Rule
Disclosure of Mutual Fund After-Tax Returns; Extension of Compliance Date
33-8010,
34-44850,
IC-25175
|
Issue Date: | File Number:S7-17-00 | Rulemaking:Firm Quote and Trade-Through Disclosure Rules for Options |
Status:
Final
Rule
Firm Quote and Trade-Through Disclosure Rules for Options
34-44852,
34-43591,
34-43085
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-8007
|
Issue Date: | File Number:S7-13-01 | Rulemaking:Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934 |
Status:
Final
Rule
Registration of Broker-Dealers Pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934
34-44730
|
Issue Date: | File Number:S7-11-01 | Rulemaking:Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index; Joint Final Rule |
Status:
Final
Rule
Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index; Joint Final Rule
34-44724
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to the Director of the Division of Market Regulation |
Status:
Final
Rule
Delegation of Authority to the Director of the Division of Market Regulation
34-44691
|
Issue Date: | File Number:S7-10-01 | Rulemaking:Registration of National Securities Exchanges Pursuant to Section 6(g) of the Securities Exchange Act of 1934 and Proposed Rule Changes of Certain National Securities Exchanges and Limited Purpose National Securities Associations |
Status:
Final
Rule
Registration of National Securities Exchanges Pursuant to Section 6(g) of the Securities Exchange Act of 1934 and Proposed Rule Changes of Certain National Securities Exchanges and Limited Purpose National Securities Associations
34-44692
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-7999
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to the Director of the Division of Market Regulation |
Status:
Final
Rule
Delegation of Authority to the Director of the Division of Market Regulation
34-44626
|
Issue Date: | File Number:S7-21-99 | Rulemaking:Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities |
Status:
Final
Rule
Treatment of Repurchase Agreements and Refunded Securities as an Acquisition of the Underlying Securities
IC-25058,
IC-24050
|
Issue Date: | File Number:S7-12-00 | Rulemaking:Electronic Submission of Securities Transaction Information by Exchange Members, Brokers, and Dealers |
Status:
Final
Rule
Electronic Submission of Securities Transaction Information by Exchange Members, Brokers, and Dealers
34-44494
|
Issue Date: | File Number:S7-03-99 | Rulemaking:International Disclosure Standards; Correction |
Status:
Final
Rule
International Disclosure Standards; Correction
33-7983,
34-44406,
IA-1249
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to the Director of the Division of Market Regulation |
Status:
Final
Rule
Delegation of Authority to the Director of the Division of Market Regulation
34-44397
|
Issue Date: | File Number:S7-06-01 | Rulemaking:Electronic Recordkeeping by Investment Companies and Investment Advisers; Correction |
Status:
Final
Rule
Electronic Recordkeeping by Investment Companies and Investment Advisers; Correction
IC-24991,
IA-1945
|
Issue Date: | File Number:S7-07-01 | Rulemaking:Electronic Recordkeeping by Public Utility Holding Companies |
Status:
Final
Rule
Electronic Recordkeeping by Public Utility Holding Companies
35-27404
|
Issue Date: | File Number:S7-12-01 | Rulemaking:Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934 |
Status:
Final
Rule
Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934
34-44291
|
Issue Date: | File Number:57-17-99 | Rulemaking:Recordkeeping Requirements for Transfer Agents |
Status:
Final
Rule
Recordkeeping Requirements for Transfer Agents
34-44227,
34-41442
|
Issue Date: | File Number:S7-17-00 | Rulemaking:Firm Quote and Trade-Through Disclosure Rules for Options |
Status:
Final
Rule
Firm Quote and Trade-Through Disclosure Rules for Options
34-44078
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to the Director of the Division of Market Regulation |
Status:
Final
Rule
Delegation of Authority to the Director of the Division of Market Regulation
34-44079
|
Issue Date: | File Number:S7-16-00 | Rulemaking:Disclosure of Order Execution and Routing Practices |
Status:
Final
Rule
Disclosure of Order Execution and Routing Practices
34-44060
|
Issue Date: | File Number:S7-11-97 | Rulemaking:Investment Company Names |
Status:
Final
Rule
Investment Company Names; Correction
IC-24828A
|
Issue Date: | File Number: | Rulemaking:Technical Amendments to Instructions for Registration Form for Certain Investment Company Securities |
Status:
Final
Rule
Technical Amendments to Instructions for Registration Form for Certain Investment Company Securities
33-7959,
IC-24886
|
Issue Date: | File Number:S7-23-99 | Rulemaking:Role of Independent Directors of Investment Companies; Correction |
Status:
Final
Rule
Role of Independent Directors of Investment Companies; Correction
33-7932A,
34-43786A,
IC-24816A
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to the Director of the Division of Market Regulation |
Status:
Final
Rule
Delegation of Authority to the Director of the Division of Market Regulation
34-43985
|
Issue Date: | File Number:S7-30-98 | Rulemaking:Integration of Abandoned Offerings |
Status:
Final
Rule
Integration of Abandoned Offerings
33-7943
|
Issue Date: | File Number:S7-09-00 | Rulemaking:Disclosure of Mutual Fund After-Tax Returns |
Status:
Final
Rule
Disclosure of Mutual Fund After-Tax Returns
33-7941,
34-43857,
IC-24832
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-7933,
34-43843,
35-27338,
39-2388,
IC-24827
|
Issue Date: | File Number:S7-11-97 | Rulemaking:Investment Company Names |
Status:
Final
Rule
Investment Company Names
IC-24828,
IC-22530
|
Issue Date: | File Number:S7-23-99 | Rulemaking:Role of Independent Directors of Investment Companies |
Status:
Final
Rule
Role of Independent Directors of Investment Companies
33-7932,
34-42007,
34-43786,
IC-24816
|
Issue Date: | File Number:S7-10-00 | Rulemaking:Electronic Filing by Investment Advisers; Amendments to Form ADV; Technical Amendments |
Status:
Final
Rule
Electronic Filing by Investment Advisers; Amendments to Form ADV; Technical Amendments
IA-1916,
34-43758
|
Issue Date: | File Number:S7-12-98 | Rulemaking:Regulation of Alternative Trading Systems; Extension of Temporary Stay of Effectiveness |
Status:
Final
Rule
Regulation of Alternative Trading Systems; Extension of Temporary Stay of Effectiveness
34-43651
|
Issue Date: | File Number:4-434 | Rulemaking:Options Price Reporting Authority |
Status:
Final
Rule
Options Price Reporting Authority
34-43621,
34-42755
|
Issue Date: | File Number:S7-13-00 | Rulemaking:Revision of the Commission's Auditor Independence Requirements |
Status:
Final
Rule
Revision of the Commission's Auditor Independence Requirements
33-7919,
34-43602,
35-27279,
IC-24744,
IA-1911,
FR-56
|
Issue Date: | File Number:S7-16-00 | Rulemaking:Disclosure of Order Execution and Routing Practices |
Status:
Final
Rule
Disclosure of Order Execution and Routing Practices
34-43590
|
Issue Date: | File Number:S7-17-00 | Rulemaking:Firm Quote and Trade-Through Disclosure Rules for Options |
Status:
Final
Rule
Firm Quote and Trade-Through Disclosure Rules for Options
34-43591,
34-44852,
34-43085
|
Issue Date: | File Number:S7-26-99 | Rulemaking:Delivery of Proxy Statements and Information Statements to Households |
Status:
Final
Rule
Delivery of Proxy Statements and Information Statements to Households
33-7912,
34-43487,
IC-24715
|
Issue Date: | File Number:S7-10-00 | Rulemaking:Electronic Filing by Investment Advisers; Amendments To Form ADV |
Status:
Final
Rule
Electronic Filing by Investment Advisers; Amendments To Form ADV
IA-1897
|
Issue Date: | File Number:S7-14-99 | Rulemaking:Amendments to the Commission's Freedom of Information and Privacy Act Rules and Confidential Treatment Rule 83 |
Status:
Final
Rule
Amendments to the Commission's Freedom of Information and Privacy Act Rules and Confidential Treatment Rule 83
34-43239,
FOIA-191,
PA-30
|
Issue Date: | File Number:S7-29-99 | Rulemaking:Unlisted Trading Privileges |
Status:
Final
Rule
Unlisted Trading Privileges
34-43217
|
Issue Date: | File Number:S7-7-99 | Rulemaking:Financial Statements and Periodic Reports for Related Issuers and Guarantors |
Status:
Final
Rule
Financial Statements and Periodic Reports for Related Issuers and Guarantors
33-7878,
34-43124,
International Series No. 1229,
FR-55 Other Release No.: 33-7649
|
Issue Date: | File Number:S7-31-99 | Rulemaking:Selective Disclosure and Insider Trading |
Status:
Final
Rule
Selective Disclosure and Insider Trading
33-7881,
34-43154,
IC-24599,
34-42259,
33-7815
|
Issue Date: | File Number:S7-14-00 | Rulemaking:Exemption From Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act for Registered Investment Companies |
Status:
Final
Rule
Exemption From Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act for Registered Investment Companies
33-7877,
IC-24582
|
Issue Date: | File Number:S7-6-00 | Rulemaking:Privacy of Consumer Financial Information (Regulation S-P) |
Status:
Final
Rule
Privacy of Consumer Financial Information (Regulation S-P)
34-42974,
IC-24543,
IA-1883
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-7867,
34-42942,
35-27185,
39-2386,
IC-24498
|
Displaying 1101 - 1200 of 1536
Modified: Feb. 20, 2024