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:S7-16-22 |
Rulemaking:Investment Company Names
Investment Management
|
Status:
Proposed
Rule
Investment Company Names
33-11067,
34-94981,
IC-34593
|
Issue Date: | File Number:S7-11-22 |
Rulemaking:Removal of References to Credit Ratings From Regulation M
Trading and Markets
|
Status:
Proposed
Rule
Removal of References to Credit Ratings From Regulation M
34-94499
|
Issue Date: | File Number:S7-03-22 |
Rulemaking:Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
Investment Management
|
Status:
Proposed
Rule
Reopening of Comment Periods for "Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews" and "Amendments Regarding the Definition of `Exchange' and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency S
34-94868
|
Issue Date: | File Number:S7-10-22 |
Rulemaking:The Enhancement and Standardization of Climate-Related Disclosures for Investors
Corporation Finance
|
Status:
Proposed
Rule
The Enhancement and Standardization of Climate-Related Disclosures for Investors
33-11061,
34-94867
|
Issue Date: | File Number:S7-02-22 |
Rulemaking:Supplemental Information and Reopening of Comment Period for Amendments to Exchange Act Rule 3b-16 Regarding the Definition of “Exchange”
Trading and Markets
|
Status:
Proposed
Rule
Reopening of Comment Periods for "Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews" and "Amendments Regarding the Definition of `Exchange' and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency S
34-94868,
IA-6018,
IA-5955
|
Issue Date: | File Number:S7-14-22 |
Rulemaking:Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities
Trading and Markets
|
Status:
Proposed
Rule
Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities
34-94615
|
Issue Date: | File Number:S7-13-22 |
Rulemaking:Special Purpose Acquisition Companies, Shell Companies, and Projections
Corporation Finance
|
Status:
Proposed
Rule
Special Purpose Acquisition Companies, Shell Companies, and Projections
33-11048,
34-94546,
IC-34549
|
Issue Date: | File Number:S7-12-22 |
Rulemaking:Further Definition of "As a Part of a Regular Business" in the Definition of Dealer and Government Securities Dealer
Trading and Markets
|
Status:
Proposed
Rule
Further Definition of "As a Part of a Regular Business" in the Definition of Dealer and Government Securities Dealer
34-94524
|
Issue Date: | File Number:S7-10-22 |
Rulemaking:The Enhancement and Standardization of Climate-Related Disclosures for Investors
Corporation Finance
|
Status:
Proposed
Rule
The Enhancement and Standardization of Climate-Related Disclosures for Investors
33-11042,
34-94478
|
Issue Date: | File Number:S7-09-22 |
Rulemaking:Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure
Corporation Finance
|
Status:
Proposed
Rule
Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure
33-11038
|
Issue Date: | File Number:S7-18-21 |
Rulemaking:Reporting of Securities Loans
Trading and Markets
|
Status:
Proposed
Rule
Reopening of Comment Period for Reporting of Securities Loans
34-94315
|
Issue Date: | File Number:S7-08-22 |
Rulemaking:Short Position and Short Activity Reporting by Institutional Investment Managers
Investment Management, Trading and Markets
|
Status:
Proposed
Rule
Short Position and Short Activity Reporting by Institutional Investment Managers
34-94313
|
Issue Date: | File Number:S7-08-22 |
Rulemaking:Short Position and Short Activity Reporting by Institutional Investment Managers
Investment Management, Trading and Markets
|
Status:
Proposed
Rule
Notice of the Text of the Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail for Purposes of Short Sale-Related Data Collection
34-94314
|
Issue Date: | File Number:S7-06-22 |
Rulemaking:Modernization of Beneficial Ownership Reporting
Corporation Finance
|
Status:
Proposed
Rule
Modernization of Beneficial Ownership Reporting
33-11030,
34-94211
|
Issue Date: | File Number:S7-07-22 |
Rulemaking:Whistleblower Program Rules
General Counsel
|
Status:
Proposed
Rule
The Commission's Whistleblower Program Rules
34-94212
|
Issue Date: | File Number:S7-05-22 |
Rulemaking:Shortening the Securities Transaction Settlement Cycle
Investment Management, Trading and Markets
|
Status:
Proposed
Rule
Shortening the Securities Transaction Settlement Cycle
34-94196,
IA-5957
|
Issue Date: | File Number:S7-04-22 |
Rulemaking:Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies
Investment Management, Investment Management
|
Status:
Proposed
Rule
Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies
33-11028,
34-94197,
IA-5956,
IC-34497
|
Issue Date: | File Number:S7-03-22 |
Rulemaking:Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
Investment Management
|
Status:
Proposed
Rule
Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
IA-5955,
34-94868
|
Issue Date: | File Number:S7-07-15 |
Rulemaking:Pay Versus Performance
Corporation Finance
|
Status:
Proposed
Rule
Reopening of Comment Period for Pay Versus Performance
34-94074
|
Issue Date: | File Number:S7-02-22 |
Rulemaking:Supplemental Information and Reopening of Comment Period for Amendments to Exchange Act Rule 3b-16 Regarding the Definition of “Exchange”
Trading and Markets
|
Status:
Proposed
Rule
Amendments Regarding the Definition of "Exchange" and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency Securities, National Market System (NMS) Stocks, and Other Securities
34-94062
|
Issue Date: | File Number:S7-01-22 |
Rulemaking:Conformed: Form PF; Event Reporting for Large Hedge Fund Advisers and Private Equity Fund Advisers; Requirements for Large Private Equity Fund Adviser Reporting
Investment Management
|
Status:
Proposed
Rule
Amendments to Form PF To Require Current Reporting and Amend Reporting Requirements for Large Private Equity Advisers and Large Liquidity Fund Advisers
IA-5950
|
Issue Date: | File Number:S7-20-21 |
Rulemaking:Insider Trading Arrangements and Related Disclosures
Corporation Finance
|
Status:
Proposed
Rule
Rule 10b5-1 and Insider Trading
33-11013
|
Issue Date: | File Number:S7-22-21 |
Rulemaking:Money Market Fund Reforms
Investment Management
|
Status:
Proposed
Rule
Money Market Fund Reforms
IC-34441
|
Issue Date: | File Number:S7-32-10 |
Rulemaking:Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers
Trading and Markets
|
Status:
Proposed
Rule
Prohibition Against Fraud, Manipulation, or Deception in Connection With Security-Based Swaps; Prohibition Against Undue Influence Over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions
34-93784
|
Issue Date: | File Number:S7-21-21 |
Rulemaking:Share Repurchase Disclosure Modernization
Corporation Finance, Investment Management
|
Status:
Proposed
Rule
Share Repurchase Disclosure Modernization
34-93783,
IC-34440
|
Issue Date: | File Number:S7-18-21 |
Rulemaking:Reporting of Securities Loans
Trading and Markets
|
Status:
Proposed
Rule
Reporting of Securities Loans
34-93613
|
Issue Date: | File Number:S7-19-21 |
Rulemaking:Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
Trading and Markets
|
Status:
Proposed
Rule
Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
34-93614
|
Issue Date: | File Number:S7-17-21 |
Rulemaking:Proxy Voting Advice
Corporation Finance
|
Status:
Proposed
Rule
Proxy Voting Advice
34-93595
|
Issue Date: | File Number:S7-15-21 |
Rulemaking:Electronic Submission of Applications for Orders Under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F
Investment Management
|
Status:
Proposed
Rule
Electronic Submission of Applications for Orders Under the Advisers Act and the Investment Company Act, Confidential Treatment Requests for Filings on Form 13F, and Form ADV-NR; Amendments to Form 13F
34-93518,
IA-5903,
IC-34415
|
Issue Date: | File Number:S7-16-21 |
Rulemaking:Updating EDGAR Filing Requirements
Corporation Finance
|
Status:
Proposed
Rule
Updating EDGAR Filing Requirements
33-11005,
34-93519
|
Issue Date: | File Number:S7-12-15 |
Rulemaking:Listing Standards for Recovery of Erroneously Awarded Compensation
Corporation Finance
|
Status:
Proposed
Rule
Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation
33-10998,
34-93311,
IC-34399
|
Issue Date: | File Number:S7-14-11 |
Rulemaking:Credit Risk Retention-Notification of Determination of Review
Corporation Finance
|
Status:
Proposed
Rule
Credit Risk Retention-Notification of Extension of Review Period
34-92326
|
Issue Date: | File Number:S7-24-16 |
Rulemaking:Universal Proxy
Corporation Finance
|
Status:
Proposed
Rule
Reopening of Comment Period for Universal Proxy
34-91603,
IC-34246
|
Issue Date: | File Number: |
Rulemaking:Updating EDGAR Filing Requirements and Form 144 Filings
Corporation Finance
|
Status:
Proposed
Rule
33-10911
33-10911
|
Issue Date: | File Number:S7-19-20 |
Rulemaking:Temporary Rules to Include Certain "Platform Workers" in Compensatory Offerings Under Rule 701 and Form S-8
Corporation Finance
|
Status:
Proposed
Rule
Temporary Rules to Include Certain "Platform Workers" in Compensatory Offerings Under Rule 701 and Form S-8
33-10892,
34-90948
|
Issue Date: | File Number:S7-18-20 |
Rulemaking:Modernization of Rules and Forms for Compensatory Securities Offerings and Sales
Corporation Finance
|
Status:
Proposed
Rule
Modernization of Rules and Forms for Compensatory Securities Offerings and Sales
33-10891
|
Issue Date: | File Number:S7-12-20 |
Rulemaking:Regulation ATS for ATSs That Trade U.S. Government Securities, NMS Stock, and Other Securities; Regulation SCI for ATSs That Trade U.S. Treasury Securities and Agency Securities; and Electronic Corporate Bond and Municipal Securities Markets
Trading and Markets
|
Status:
Proposed
Rule
Regulation ATS for ATSs That Trade U.S. Government Securities, NMS Stock, and Other Securities; Regulation SCI for ATSs That Trade U.S. Treasury Securities and Agency Securities; and Electronic Corporate Bond and Municipal Securities Markets
34-90019
|
Issue Date: | File Number:S7-11-20 |
Rulemaking:Administration of the Electronic Data Gathering, Analysis, and Retrieval System
Edgar Business Office
|
Status:
Proposed
Rule
Administration of the Electronic Data Gathering, Analysis, and Retrieval System
33-10821,
34-89633,
39-2532,
IC-33974
|
Issue Date: | File Number:S7-10-20 |
Rulemaking:Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail To Enhance Data Security
Trading and Markets
|
Status:
Proposed
Rule
Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail To Enhance Data Security
34-89632
|
Issue Date: | File Number:S7-09-20 |
Rulemaking:Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements
Investment Management
|
Status:
Proposed
Rule
Tailored Shareholder Reports, Treatment of Annual Prospectus Updates for Existing Investors, and Improved Fee and Risk Disclosure for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements
33-10814,
34-89478,
IC-33963
|
Issue Date: | File Number:S7-08-20 |
Rulemaking:Reporting Threshold for Institutional Investment Managers
Investment Management
|
Status:
Proposed
Rule
Reporting Threshold for Institutional Investment Managers
34-89290
|
Issue Date: | File Number:S7-07-20 |
Rulemaking:Good Faith Determinations of Fair Value
Investment Management
|
Status:
Proposed
Rule
Good Faith Determinations of Fair Value
IC-33845
|
Issue Date: | File Number:S7-05-20 |
Rulemaking:Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets
Corporation Finance
|
Status:
Proposed
Rule
Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets
33-10763,
34-88321
|
Issue Date: | File Number:S7-03-20 |
Rulemaking:Market Data Infrastructure
Trading and Markets
|
Status:
Proposed
Rule
Market Data Infrastructure
34-88216
|
Issue Date: | File Number:S7-01-20 |
Rulemaking:Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information
Corporation Finance
|
Status:
Proposed
Rule
Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information
33-10750,
34-88093,
IC-33795
|
Issue Date: | File Number:S7-02-20 |
Rulemaking:Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Trading and Markets, Investment Management
|
Status:
Proposed
Rule
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
BHCA-8
|
Issue Date: | File Number:S7-26-19 |
Rulemaking:Qualifications of Accountants
Investment Management
|
Status:
Proposed
Rule
Amendments to Rule 2-01, Qualifications of Accountants
33-10738,
34-87864,
FR-86,
IA-5422,
IC-33737
|
Issue Date: | File Number:S7-25-19 |
Rulemaking:Accredited Investor Definition
Corporation Finance
|
Status:
Proposed
Rule
Amending the "Accredited Investor" Definition
33-10734,
34-87784
|
Issue Date: | File Number:S7-24-19 |
Rulemaking:Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
|
Status:
Proposed
Rule
Disclosure of Payments by Resource Extraction Issuers
34-87783
|
Issue Date: | File Number:S7-24-15 |
Rulemaking:Use of Derivatives by Registered Investment Companies and Business Development Companies
Investment Management
|
Status:
Proposed
Rule
Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence by Broker-Dealers and Registered Investment Advisers Regarding Retail Customers' Transactions in Certain Leveraged/Inverse Investment Vehicles
34-87607,
IA-5413,
IC-33704
|
Issue Date: | File Number:S7-22-19 |
Rulemaking:Exemptions From the Proxy Rules for Proxy Voting Advice
Corporation Finance
|
Status:
Proposed
Rule
Amendments to Exemptions From the Proxy Rules for Proxy Voting Advice
34-87457
|
Issue Date: | File Number:S7-23-19 |
Rulemaking:Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8
Corporation Finance
|
Status:
Proposed
Rule
Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8
34-87458
|
Issue Date: | File Number:S7-21-19 |
Rulemaking:Investment Adviser Marketing
Investment Management
|
Status:
Proposed
Rule
Investment Adviser Advertisements; Compensation for Solicitations
IA-5407
|
Issue Date: | File Number:S7-20-19 |
Rulemaking:Filing Fee Disclosure and Payment Methods Modernization
Corporation Finance, Economic and Risk Analysis
|
Status:
Proposed
Rule
Filing Fee Disclosure and Payment Methods Modernization
33-10720
|
Issue Date: | File Number:S7-19-19 |
Rulemaking:Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940
Investment Management
|
Status:
Proposed
Rule
Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940
IC-33658
|
Issue Date: | File Number:S7-15-19 |
Rulemaking:Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments and Modified Procedures for Proposed NMS Plans and Plan Amendments
Trading and Markets
|
Status:
Proposed
Rule
Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments
34-87193
|
Issue Date: | File Number:S7-14-19 |
Rulemaking:Publication or Submission of Quotations Without Specified Information
Trading and Markets
|
Status:
Proposed
Rule
Publication or Submission of Quotations Without Specified Information
34-87115,
33-10842
|
Issue Date: | File Number:S7-02-17 |
Rulemaking:Update of Statistical Disclosures for Bank and Savings and Loan Registrants
Corporation Finance
|
Status:
Proposed
Rule
Update of Statistical Disclosures for Bank and Savings and Loan Registrants
33-10688,
34-86984
|
Issue Date: | File Number:S7-11-19 |
Rulemaking:Modernization of Regulation S-K Items 101, 103, and 105
Corporation Finance
|
Status:
Proposed
Rule
Modernization of Regulation S-K Items 101, 103, and 105
33-10668,
34-86614
|
Issue Date: | File Number:S7-09-19 |
Rulemaking:Customer Margin Rules Relating to Security Futures
Trading and Markets
|
Status:
Proposed
Rule
Customer Margin Rules Relating to Security Futures
34-86304
|
Displaying 101 - 200 of 927
Modified: Feb. 20, 2024