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:S7-25-99 | Rulemaking:Certain Broker-Dealers Deemed Not To Be Investment Advisers, Extension of Compliance Date |
Status:
Final
Rule
Certain Broker-Dealers Deemed Not To Be Investment Advisers, Extension of Compliance Date
34-52407,
IA-2426
|
Issue Date: | File Number:S7-25-99 | Rulemaking:Certain Broker-Dealers Deemed Not To Be Investment Advisers |
Status:
Final
Rule
Certain Broker-Dealers Deemed Not To Be Investment Advisers
34-51523,
IA-2376
|
Issue Date: | File Number:S7-25-99 | Rulemaking:Certain Broker-Dealers Deemed Not To Be Investment Advisers |
Status:
Proposed
Rule
Certain Broker-Dealers Deemed Not To Be Investment Advisers
34-50980
|
Issue Date: | File Number:S7-25-99 | Rulemaking:Certain Broker-Dealers Deemed Not To Be Investment Advisers |
Status:
Final
Rule
Certain Broker-Dealers Deemed Not To Be Investment Advisers
34-50979
|
Issue Date: | File Number:S7-25-99 | Rulemaking:Certain Broker-Dealers Deemed Not To Be Investment Advisers |
Status:
Proposed
Rule
Certain Broker-Dealers Deemed Not To Be Investment Advisers
34-50213,
IA-2278
|
Issue Date: | File Number:S7-25-99 | Rulemaking:Certain Broker-Dealers Deemed Not To Be Investment Advisers |
Status:
Proposed
Rule
Certain Broker-Dealers Deemed Not To Be Investment Advisers
34-42099
|
Displaying 1 - 9 of 9
Modified: Feb. 20, 2024