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:S7-12-95 | Rulemaking:Exemption of Acquisition by Registered Public-Utility Holding Companies of Securities of Nonutility Companies Engaged in Certain Energy-Related and Gas-Related Activities; Exemption of Capital Contributions and Advances to Such Companies |
Status:
Final
Rule
Exemption of Acquisition by Registered Public-Utility Holding Companies of Securities of Nonutility Companies Engaged in Certain Energy-Related and Gas-Related Activities; Exemption of Capital Contributions and Advances to Such Companies
35-26667
|
Issue Date: | File Number:S7-7-94 | Rulemaking:Net Capital Rule |
Status:
Final
Rule
Net Capital Rule
34-38248
|
Issue Date: | File Number:S7-21-93 | Rulemaking:Reporting Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934 |
Status:
Final
Rule
Reporting Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934
34-38245
|
Issue Date: | File Number:S7-35-95 | Rulemaking:Disclosure of Accounting Policies for Derivative Financial Instruments and Derivative Commodity Instruments and Disclosure of Quantitative and Qualitative Information About Market Risk Inherent in Derivative Financial Instruments, Other Financial Instruments, and Derivative Commodity Instruments |
Status:
Final
Rule
Disclosure of Accounting Policies for Derivative Financial Instruments and Derivative Commodity Instruments and Disclosure of Quantitative and Qualitative Information About Market Risk Inherent in Derivative Financial Instruments, Other Financial Instrume
33-7386
|
Issue Date: | File Number:S7-30-95 | Rulemaking:Order Execution Obligations |
Status:
Final
Rule
Order Execution Obligations
34-38139
|
Issue Date: | File Number:S7-30-95 | Rulemaking:Order Execution Obligations |
Status:
Final
Rule
Order Execution Obligations
34-38110
|
Issue Date: | File Number:S7-32-96 | Rulemaking:Securities Transactions Exempt From Transaction Fees |
Status:
Final
Rule
Securities Transactions Exempt From Transaction Fees
34-38073,
IC-22415
|
Issue Date: | File Number:S7-12-96 | Rulemaking:Odd-Lot Tender Offers by Issuers |
Status:
Final
Rule
Odd-Lot Tender Offers by Issuers
33-7376,
33-7283,
34-38068,
IC-22413
|
Issue Date: | File Number: | Rulemaking:Suspension of Form ADV-S |
Status:
Final
Rule
Suspension of Form ADV-S
IA-1602
|
Issue Date: | File Number:S7-11-96 | Rulemaking:Anti-manipulation Rules Concerning Securities Offerings |
Status:
Final
Rule
Anti-manipulation Rules Concerning Securities Offerings
33-7375,
34-38067,
IC-22412,
International Series Release No. 1039
|
Issue Date: | File Number: | Rulemaking:Revisions to Forms SB-1, SB-2, Regulation A and Regulation S-T With Regard to the Appropriate Place for Filing for Registrants in the Regions Covered by the Northeast, Southeast, Midwest, Central and Pacific Regional Offices |
Status:
Final
Rule
Revisions to Forms SB-1, SB-2, Regulation A and Regulation S-T With Regard to the Appropriate Place for Filing for Registrants in the Regions Covered by the Northeast, Southeast, Midwest, Central and Pacific Regional Offices
33-7373
|
Issue Date: | File Number:S7-15-94 | Rulemaking:Custody of Investment Company Assets With Futures Commission Merchants and Commodity Clearing Organizations |
Status:
Final
Rule
Custody of Investment Company Assets With Futures Commission Merchants and Commodity Clearing Organizations
IC-22389
|
Issue Date: | File Number:S7-30-95 | Rulemaking:Order Execution Obligations |
Status:
Final
Rule
Order Execution Obligations
34-37972,
34-37619A
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to the General Counsel |
Status:
Final
Rule
Delegation of Authority to the General Counsel
34-37893
|
Issue Date: | File Number:S7-19-95 | Rulemaking:Periodic Reporting of Unregistered Equity Sales |
Status:
Final
Rule
Periodic Reporting of Unregistered Equity Sales
34-37801
|
Issue Date: | File Number:S7-19-95 | Rulemaking:Streamlining Disclosure Requirements Relating to Significant Business Acquisitions |
Status:
Final
Rule
Streamlining Disclosure Requirements Relating to Significant Business Acquisitions
33-7355
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-7351,
34-37774,
35-26585,
39-2343,
IC-22257
|
Issue Date: | File Number:S7-14-96 | Rulemaking:Changes Selected Rules in Order To Eliminate Fees Previously Adopted by the Commission Pursuant to the Independent Offices Appropriations Act of 1952 |
Status:
Final
Rule
Changes Selected Rules in Order To Eliminate Fees Previously Adopted by the Commission Pursuant to the Independent Offices Appropriations Act of 1952
33-7331
|
Issue Date: | File Number:S7-2-96 | Rulemaking:Technical Amendments to Rule Relating to Payments for the Distribution of Shares by a Registered Open-End Management Investment Company |
Status:
Final
Rule
Technical Amendments to Rule Relating to Payments for the Distribution of Shares by a Registered Open-End Management Investment Company
IC-22201
|
Issue Date: | File Number:S7-8-95 | Rulemaking:Exemption for Certain Open-End Management Investment Companies to Impose Deferred Sales Loads |
Status:
Final
Rule
Exemption for Certain Open-End Management Investment Companies to Impose Deferred Sales Loads
IC-22202
|
Issue Date: | File Number:S7-30-95 | Rulemaking:Order Execution Obligations |
Status:
Final
Rule
Order Execution Obligations
34-37619A,
34-37972
|
Issue Date: | File Number:S7-2-95 | Rulemaking:Form BD Amendments |
Status:
Final
Rule
Form BD Amendments
34-37632,
34-37431
|
Issue Date: | File Number:S7-34-93 | Rulemaking:Revisions to Rules Regulating Money Market Funds |
Status:
Final
Rule
Revisions to Rules Regulating Money Market Funds
33-7320,
33-7275,
IC-21837
|
Issue Date: | File Number:S7-2-95 | Rulemaking:Form BD Amendments |
Status:
Final
Rule
Form BD Amendments
34-37431,
34-37632
|
Issue Date: | File Number:S7-21-94 | Rulemaking:Ownership Reports and Trading by Officers, Directors and Principal Security Holders |
Status:
Final
Rule
Ownership Reports and Trading by Officers, Directors and Principal Security Holders
34-37260 Part 1
|
Issue Date: | File Number:S7-21-94 | Rulemaking:Ownership Reports and Trading by Officers, Directors and Principal Security Holders |
Status:
Final
Rule
Ownership Reports and Trading by Officers, Directors and Principal Security Holders
34-37260 Part 2
|
Issue Date: | File Number: | Rulemaking:Employee Benefit Plan Exemptive Rules Under Section 16 of the Securities Exchange Act of 1934 |
Status:
Final
Rule
Employee Benefit Plan Exemptive Rules Under Section 16 of the Securities Exchange Act of 1934
34-37261
|
Issue Date: | File Number:S7-6-96 | Rulemaking:Phase One Recommendations of Task Force on Disclosure Simplification |
Status:
Final
Rule
Phase One Recommendations of Task Force on Disclosure Simplification
33-7300
|
Issue Date: | File Number:S7-31-95 | Rulemaking:Use of Electronic Media for Delivery Purposes |
Status:
Final
Rule
Use of Electronic Media for Delivery Purposes
33-7289,
33-7233
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to Director of Division of Enforcement |
Status:
Final
Rule
Delegation of Authority to Director of Division of Enforcement
34-37159
|
Issue Date: | File Number:S7-15-95 | Rulemaking:Exemption for Certain California Limited Issues |
Status:
Final
Rule
Exemption for Certain California Limited Issues
33-7285
|
Issue Date: | File Number:S7-16-95 | Rulemaking:Relief From Reporting by Small Issuers |
Status:
Final
Rule
Relief From Reporting by Small Issuers
34-37157
|
Issue Date: | File Number:S7-40-92 | Rulemaking:Correction: Rules of Practice (the Commission's procedural rules that govern administrative proceedings) |
Status:
Final
Rule
Correction: Rules of Practice (the Commission's procedural rules that govern administrative proceedings)
200-30
|
Issue Date: | File Number:S7-34-93 | Rulemaking:Revisions to Rules Regulating Money Market Funds |
Status:
Final
Rule
Revisions to Rules Regulating Money Market Funds
33-7275,
IC-21837,
33-7320
|
Issue Date: | File Number:S7-34-95 | Rulemaking:Exemption of the Securities of the Federative Republic of Brazil, the Republic of Argentina, and the Republic of Venezuela Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on those Securities |
Status:
Final
Rule
Exemption of the Securities of the Federative Republic of Brazil, the Republic of Argentina, and the Republic of Venezuela Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on those Securities
34-36940
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to the Secretary of the Commission |
Status:
Final
Rule
Delegation of Authority to the Secretary of the Commission
34-36824,
34-45848
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual and Technical Rule Amendments |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual and Technical Rule Amendments
33-7241,
34-36479,
35-26407,
IC-21500
|
Issue Date: | File Number:S7-26-95 | Rulemaking:Exemption of the Securities of the United Mexican States Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities |
Status:
Final
Rule
Exemption of the Securities of the United Mexican States Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
34-36530
|
Issue Date: | File Number:S7-22-94 | Rulemaking:Payment for Investment Company Services With Brokerage Commissions |
Status:
Final
Rule
Payment for Investment Company Services With Brokerage Commissions
33-7197,
IC-21221,
FR-46
|
Issue Date: | File Number:S7-17-92 | Rulemaking:Exemption of Issuance and Sale of Certain Securities by Public Utility and Nonutility Subsidiary Companies of Registered Public Utility Holding Companies; Exemption of Acquisition by Companies in a Registered Public Utility Holding Company System of Certain Securities of Associate Companies; Exemption of Capital Contributions and Open Account Advances, Without Interest, by Parent Companies to Subsidiary Companies |
Status:
Final
Rule
Exemption of Issuance and Sale of Certain Securities by Public Utility and Nonutility Subsidiary Companies of Registered Public Utility Holding Companies; Exemption of Acquisition by Companies in a Registered Public Utility Holding Company System of Certa
35-26311
|
Issue Date: | File Number:S7-40-92 | Rulemaking:Rules of Practice |
Status:
Final
Rule
Rules of Practice
34-35844
|
Issue Date: | File Number:S7-7-95 | Rulemaking:Prospectus Delivery; Securities Transactions Settlement |
Status:
Final
Rule
Prospectus Delivery; Securities Transactions Settlement
33-7168,
34-35705
|
Issue Date: | File Number: | Rulemaking:Establishment of Commission Quorum Requirement |
Status:
Final
Rule
Establishment of Commission Quorum Requirement
34-35548
|
Issue Date: | File Number:S7-32-93 | Rulemaking:Exemption for Open-End Management Investment Companies Issuing Multiple Classes of Shares; Disclosure by Multiple Class and Master- Feeder Funds; Class Voting on Distribution Plans |
Status:
Final
Rule
Exemption for Open-End Management Investment Companies Issuing Multiple Classes of Shares; Disclosure by Multiple Class and Master- Feeder Funds; Class Voting on Distribution Plans
33-7143,
IC-20915
|
Issue Date: | File Number:S7-24-88 | Rulemaking:Exemption for Certain Open-End Management Investment Companies To Impose Contingent Deferred Sales Loads |
Status:
Final
Rule
Exemption for Certain Open-End Management Investment Companies To Impose Contingent Deferred Sales Loads
IC-20916
|
Issue Date: | File Number:SR-AMEX-94-59, SR-CBOE-94-49, SR-CHX-94-27, SR-MSRB-94-17, SR-NASD-94-72, SR-NYSE-94-43, SR-PSE-94-35, SR-PHLX-94-52 | Rulemaking:Order Approving Proposed Rule Changes by the American Stock Exchange, Inc., Chicago Board Options Exchange, Inc., Chicago Stock Exchange, Inc., Municipal Securities Rulemaking Board, National Association of Securities Dealers, Inc., New York Stock Exchange, Inc., Pacific Stock Exchange Inc., and Philadelphia Stock Exchange, Inc., Relating to a Continuing Education Requirement for Registered Persons |
Status:
Final
Rule
Order Approving Proposed Rule Changes by the American Stock Exchange, Inc., Chicago Board Options Exchange, Inc., Chicago Stock Exchange, Inc., Municipal Securities Rulemaking Board, National Association of Securities Dealers, Inc., New York Stock Exchang
34-35341
|
Issue Date: | File Number:S7-36-94 | Rulemaking:Adoption of Amendments To Clarify Safe Harbors for Broker-Dealer Research Reports |
Status:
Final
Rule
Adoption of Amendments To Clarify Safe Harbors for Broker-Dealer Research Reports
33-7132
|
Issue Date: | File Number:S7-17-94 | Rulemaking:Proposed Rule Changes of Self Regulatory Organizations; Annual Filing of Amendments to Registration Statements of National Securities Exchanges, Securities Associations, and Reports of the Municipal Securities Rulemaking Board |
Status:
Final
Rule
Proposed Rule Changes of Self Regulatory Organizations; Annual Filing of Amendments to Registration Statements of National Securities Exchanges, Securities Associations, and Reports of the Municipal Securities Rulemaking Board
34-35123
|
Issue Date: | File Number:S7-3-94 | Rulemaking:Recordkeeping and Reporting Requirements for Trading Systems Operated by Brokers and Dealers |
Status:
Final
Rule
Recordkeeping and Reporting Requirements for Trading Systems Operated by Brokers and Dealers
34-35124
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-7123,
34-35114,
35-26192,
39-2327,
IC-20784
|
Issue Date: | File Number:S7-20-94 | Rulemaking:Rulemaking for EDGAR System |
Status:
Final
Rule
Rulemaking for EDGAR System
33-7122,
34-35113,
35-26191,
39-2326,
IC-20783
|
Issue Date: | File Number:S7-11-94 | Rulemaking:Selection of Reporting Currency for Financial Statements of Foreign Private Issuers and Reconciliation to US GAAP for Foreign Private Issuers With Operations in a Hyperinflationary Economy |
Status:
Final
Rule
Selection of Reporting Currency for Financial Statements of Foreign Private Issuers and Reconciliation to US GAAP for Foreign Private Issuers With Operations in a Hyperinflationary Economy
33-7117,
34-35093,
International Series Release No. 757
|
Issue Date: | File Number:S7-12-94 | Rulemaking:Financial Statements of Significant Foreign Equity Investees and Acquired Foreign Businesses of Domestic Issuers and Financial Schedules |
Status:
Final
Rule
Financial Statements of Significant Foreign Equity Investees and Acquired Foreign Businesses of Domestic Issuers and Financial Schedules
33-7118,
34-35094,
IC-20766,
International Series No. 758
|
Displaying 1401 - 1500 of 1536
Modified: Feb. 20, 2024