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: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9169,
34-63646,
39-2473,
IC-29547
|
Issue Date: | File Number:S7-23-07 | Rulemaking:Principal Trades with Certain Advisory Clients |
Status:
Final
Rule
Principal Trades with Certain Advisory Clients
IA-3128
|
Issue Date: | File Number:S7-10-00 | Rulemaking:Amendments to Form ADV |
Status:
Final
Rule
Amendments To Form ADV; Extension of Compliance Date
IA-3129
|
Issue Date: | File Number:S7-18-10 |
Rulemaking:Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
Corporation Finance
|
Status:
Final
Rule
Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
33-9165
|
Issue Date: | File Number:S7-08-09 |
Rulemaking:Amendments to Regulation SHO
Trading and Markets
|
Status:
Final
Rule
Regulation SHO
34-63247
|
Issue Date: | File Number:S7-03-10 |
Rulemaking:Risk Management Controls for Brokers or Dealers With Market Access
Trading and Markets
|
Status:
Final
Rule
Risk Management Controls for Brokers or Dealers With Market Access
34-63241
|
Issue Date: | File Number:S7-14-08 |
Rulemaking:Indexed Annuities And Certain Other Insurance Contracts
Investment Management
|
Status:
Final
Rule
Indexed Annuities
33-9152
|
Issue Date: | File Number: | Rulemaking:Technical Amendments to Forms N-CSR and N-SAR in Connection With the Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010 |
Status:
Final
Rule
Technical Amendments to Forms N-CSR and N-SAR in Connection With the Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010
34-63087,
IC-29461
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to the Director of the Division of Trading and Markets |
Status:
Final
Rule
Delegation of Authority to the Director of the Division of Trading and Markets
34-63049
|
Issue Date: | File Number:S7-23-10 |
Rulemaking:Removal From Regulation FD of the Exemption for Credit Rating Agencies
Corporation Finance
|
Status:
Final
Rule
Removal From Regulation FD of the Exemption for Credit Rating Agencies
33-9146,
34-63003,
IC-29448
|
Issue Date: | File Number: | Rulemaking:Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers |
Status:
Final
Rule
Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers
33-9142,
34-62914
|
Issue Date: | File Number: | Rulemaking:Rescission of Rules Pertaining to the Payment of Bounties for Information Leading to the Recovery of Civil Penalties for Insider Trading |
Status:
Final
Rule
Rescission of Rules Pertaining to the Payment of Bounties for Information Leading to the Recovery of Civil Penalties for Insider Trading
34-62921
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9140,
34-62873,
39-2471,
IC-29413
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to the Director of Its Division of Enforcement |
Status:
Final
Rule
Delegation of Authority to the Director of Its Division of Enforcement
34-62821,
34-62690
|
Issue Date: | File Number:S7-10-09 |
Rulemaking:Facilitating Shareholder Director Nominations
Corporation Finance
|
Status:
Final
Rule
Facilitating Shareholder Director Nominations
33-9136,
34-62764,
IC-29384
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to the Director of Its Division of Enforcement |
Status:
Final
Rule
Delegation of Authority to the Director of Its Division of Enforcement
34-62690,
34-62821
|
Issue Date: | File Number:S7-10-00 | Rulemaking:Electronic Filing by Investment Advisers; Amendments To Form ADV; Technical Amendments |
Status:
Final
Rule
Amendments to Form ADV
IA-3060
|
Issue Date: | File Number: | Rulemaking:Amendments to the Informal and Other Procedures, Rules of Organization and Program Management, and Rules of Practice; Interim Commission Review of Public Company Accounting Oversight Board Inspection Reports and Regulation P |
Status:
Final
Rule
Amendments to the Informal and Other Procedures, Rules of Organization and Program Management, and Rules of Practice; Interim Commission Review of Public Company Accounting Oversight Board Inspection Reports and Regulation P
34-62575
|
Issue Date: | File Number: | Rulemaking:Technical Amendment to Rules of Organization; Conduct and Ethics; and Information and Requests |
Status:
Final
Rule
Technical Amendment to Rules of Organization; Conduct and Ethics; and Information and Requests
34-62520
|
Issue Date: | File Number: | Rulemaking:Adoption of Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission and Revisions to the Commission's Ethics Rules |
Status:
Final
Rule
Adoption of Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission and Revisions to the Commission's Ethics Rules
34-62501
|
Issue Date: | File Number:S7-18-09 |
Rulemaking:Political Contributions by Certain Investment Advisers
Investment Management
|
Status:
Final
Rule
Political Contributions by Certain Investment Advisers
IA-3043
|
Issue Date: | File Number:S7-15-09 |
Rulemaking:Amendment to Municipal Securities Disclosure
Trading and Markets
|
Status:
Final
Rule
Amendment to Municipal Securities Disclosure
34-62184A
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9115,
34-61821,
39-2469,
IC-29199
|
Issue Date: | File Number:S7-08-09 |
Rulemaking:Amendments to Regulation SHO
Trading and Markets
|
Status:
Final
Rule
Amendments to Regulation SHO
34-61595
|
Issue Date: | File Number:S7-13-09 |
Rulemaking:Proxy Disclosure Enhancements
Corporation Finance
|
Status:
Final
Rule
Proxy Disclosure Enhancements; Correction
33-9089A
|
Issue Date: | File Number:S7-11-09, S7-20-09 |
Rulemaking:Money Market Fund Reform
Investment Management
|
Status:
Final
Rule
Money Market Fund Reform
IC-29132
|
Issue Date: | File Number:S7-22-09 |
Rulemaking:Amendments to Rules Requiring Internet Availability of Proxy Materials
Corporation Finance
|
Status:
Final
Rule
Amendments to Rules Requiring Internet Availability of Proxy Materials
33-9108,
34-61560,
IC-29131
|
Issue Date: | File Number: | Rulemaking:Delegations of Authority to the Director of Its Division of Enforcement |
Status:
Final
Rule
Delegations of Authority to the Director of Its Division of Enforcement
34-61339
|
Issue Date: | File Number:S7-12-09 |
Rulemaking:Shareholder Approval of Executive Compensation of TARP Recipients
Corporation Finance
|
Status:
Final
Rule
Shareholder Approval of Executive Compensation of TARP Recipients
34-61335
|
Issue Date: | File Number:S7-23-07 | Rulemaking:Principal Trades with Certain Advisory Clients |
Status:
Final
Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
IA-2965A
|
Issue Date: | File Number:S7-09-09 |
Rulemaking:Custody of Funds or Securities of Clients by Investment Advisers
Investment Management
|
Status:
Final
Rule
Custody of Funds or Securities of Clients by Investment Advisers
IA-2968
|
Issue Date: | File Number:S7-23-07 | Rulemaking:Principal Trades with Certain Advisory Clients |
Status:
Final
Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
IA-2965
|
Issue Date: | File Number:S7-13-09 |
Rulemaking:Proxy Disclosure Enhancements
Corporation Finance
|
Status:
Final
Rule
Proxy Disclosure Enhancements
33-9089
|
Issue Date: | File Number:S7-23-09 |
Rulemaking:Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
Corporation Finance
|
Status:
Final
Rule
Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
33-9087
|
Issue Date: | File Number:S7-04-09 |
Rulemaking:Amendments to Rules for Nationally Recognized Statistical Rating Organizations
Trading and Markets
|
Status:
Final
Rule
Amendments to Rules for Nationally Recognized Statistical Rating Organizations
34-61050
|
Issue Date: | File Number:S7-09-07 | Rulemaking:Final Model Privacy Form Under the Gramm-Leach-Bliley Act |
Status:
Final
Rule
Final Model Privacy Form Under the Gramm-Leach-Bliley Act
34-61003,
IA-2950,
IC-28997,
34-59769
|
Issue Date: | File Number:S7-29-04 | Rulemaking:Regulation S-AM: Limitations on Affiliate Marketing; Extension of Compliance Date |
Status:
Final
Rule
Regulation S-AM: Limitations on Affiliate Marketing; Extension of Compliance Date
34-60946,
IA-2946,
IC-28990
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9077,
34-60875,
39-2468,
IC-28984
|
Issue Date: | File Number:S7-06-03 | Rulemaking:Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers |
Status:
Final
Rule
Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers
33-9072,
34-60813
|
Issue Date: | File Number:S7-19-08 |
Rulemaking:References to Ratings of Nationally Recognized Statistical Rating Organizations
Trading and Markets
|
Status:
Final
Rule
References to Ratings of Nationally Recognized Statistical Rating Organizations
34-60789
|
Issue Date: | File Number:S7-20-09 |
Rulemaking:Disclosure of Certain Money Market Fund Portfolio Holdings
Investment Management
|
Status:
Final
Rule
Disclosure of Certain Money Market Fund Portfolio Holdings
IC-28903
|
Issue Date: | File Number:S7-02-09 |
Rulemaking:Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps
Corporation Finance
|
Status:
Final
Rule
Extension of Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps
33-9063,
34-60663,
39-2467
|
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
34-60448
|
Issue Date: | File Number:S7-29-04 | Rulemaking:Regulation S-AM: Limitations on Affiliate Marketing |
Status:
Final
Rule
Regulation S-AM: Limitations on Affiliate Marketing
34-60423,
IC-28842,
IA-2911
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9058,
34-60390,
39-2466,
IC-28838 Dates:
|
Issue Date: | File Number:S7-30-08 |
Rulemaking:Amendments to Regulation SHO
Trading and Markets
|
Status:
Final
Rule
Amendments to Regulation SHO
34-60388
|
Issue Date: | File Number:S7-06-03 | Rulemaking:Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers |
Status:
Final
Rule
Technical Amendment; Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers
33-8934A,
34-58028A,
33-8889
|
Issue Date: | File Number:S7-28-07 | Rulemaking:Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies |
Status:
Final
Rule
Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies
33-8998A,
IC-28584A
|
Issue Date: | File Number:S7-12-08 |
Rulemaking:Interactive Data for Mutual Fund Risk/Return Summary
Investment Management
|
Status:
Final
Rule
Interactive Data for Mutual Fund Risk/Return Summary; Correction
33-9006A,
34-59391A,
39-2462A,
IC-28617A
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to the General Counsel |
Status:
Final
Rule
Delegation of Authority to the General Counsel
34-59829
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9027,
34-59776,
39-2465,
IC-28698
|
Issue Date: | File Number: | Rulemaking:Technical Amendments to Rules, Forms, Schedules, and Codification of Financial Reporting Policies |
Status:
Final
Rule
Technical Amendments to Rules, Forms, Schedules, and Codification of Financial Reporting Policies
33-9026,
34-59775,
FR-79
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9022,
34-59728,
39-2464,
IC-28691
|
Displaying 601 - 700 of 1536
Modified: Feb. 20, 2024