SEC.gov | Rulemaking Activity

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.

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Rulemaking Activity

Issue Date	File Number	Rulemaking	Status
Dec. 21, 2007	S7-13-07	Acceptance From Foreign Private Issuers of Financial Statements Prepared in Accordance With International Financial Reporting Standards Without Reconciliation to U.S. GAAP	Final Rule Acceptance From Foreign Private Issuers of Financial Statements Prepared in Accordance With International Financial Reporting Standards Without Reconciliation to U.S. GAAP 33-8879, 34-57026, International Series Release No. 1306 View Related Activity
Dec. 19, 2007	S7-15-07	Smaller Reporting Company Regulatory Relief and Simplification	Final Rule Smaller Reporting Company Regulatory Relief and Simplification 33-8876, 34 56994, 39-2451 View Related Activity
Dec. 19, 2007	S7-10-07	Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 and F-3	Final Rule Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 and F-3 33-8878 View Related Activity
Dec. 14, 2007	S7-30-07	Revisions to Form S-11 To Permit Historical Incorporation by Reference Corporation Finance	Proposed Rule Revisions to Form S-11 To Permit Historical Incorporation by Reference 33-8871 View Related Activity
Dec. 12, 2007	S7-29-07	Concept Release on Possible Revisions to the Disclosure Requirements Relating to Oil and Gas Reserves	Concept Release Concept Release on Possible Revisions to the Disclosure Requirements Relating to Oil and Gas Reserves 33-8870, 34-56945
Dec. 6, 2007	S7-11-07	Revisions to Rules 144 and 145	Final Rule Revisions to Rules 144 and 145 33-8869 View Related Activity
Dec. 6, 2007	S7-17-07	Shareholder Proposals Relating to the Election of Directors	Final Rule Shareholder Proposals Relating to the Election of Directors 34-56914, IC-28075 View Related Activity
Dec. 3, 2007	S7-14-07	Exemption of Compensatory Employee Stock Options From Registration Under Section 12(G) of the Securities Exchange Act of 1934	Final Rule Exemption of Compensatory Employee Stock Options From Registration Under Section 12(G) of the Securities Exchange Act of 1934 34-56887 View Related Activity
Nov. 21, 2007	S7-28-07	Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies	Proposed Rule Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies 33-8861, IC-28064 View Related Activity
Nov. 16, 2007	S7-27-07	Concept Release on Mechanisms To Access Disclosures Relating to Business Activities in or With Countries Designated as State Sponsors of Terrorism	Concept Release Concept Release on Mechanisms To Access Disclosures Relating to Business Activities in or With Countries Designated as State Sponsors of Terrorism 33-8860
Nov. 1, 2007	S7-25-07	Mandatory Electronic Submission of Applications for Orders Under the Investment Company Act and Filings Made Pursuant to Regulation E	Proposed Rule Rulemaking for EDGAR System; Mandatory Electronic Submission of Applications for Orders Under the Investment Company Act and Filings Made Pursuant to Regulation E 33-8859, 34-56732, IC-28042 View Related Activity
Sept. 24, 2007	S7-23-07	Principal Trades with Certain Advisory Clients	Interim Final Rule Temporary Rule Regarding Principal Trades With Certain Advisory Clients IA-2653 View Related Activity
Sept. 24, 2007	S7-22-07	Interpretive Rule Under the Advisers Act Affecting Broker-Dealers	Proposed Rule Interpretive Rule Under the Advisers Act Affecting Broker-Dealers IA-2652
Sept. 24, 2007	S7-22-06	Definitions of Terms and Exemptions Relating to the "Broker" Exceptions for Banks	Final Rule Definitions of Terms and Exemptions Relating to the "Broker" Exceptions for Banks 34-56501 View Related Activity
Sept. 24, 2007	S7-23-06	Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act of 1934 and Related Rules	Final Rule Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act of 1934 and Related Rules 34-56502 View Related Activity
Sept. 24, 2007	S7-23-07	Principal Trades with Certain Advisory Clients	Final Rule Temporary Rule Regarding Principal Trades With Certain Advisory Clients IA-2653 View Related Activity
Sept. 13, 2007	S7-20-07	Concept Release on Allowing U.S. Issuers To Prepare Financial Statements in Accordance With International Financial Reporting Standards	Concept Release Concept Release on Allowing U.S. Issuers to Prepare Financial Statements in Accordance With International Financial Reporting Standards 33-8831A, 34-56217A, IC-27924A View Related Activity
Aug. 15, 2007		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-8834, 34-56256, 39-2448, IC-27928
Aug. 7, 2007	S7-20-07	Concept Release on Allowing U.S. Issuers To Prepare Financial Statements in Accordance With International Financial Reporting Standards	Concept Release Concept Release on Allowing U.S. Issuers To Prepare Financial Statements in Accordance With International Financial Reporting Standards 33-8831, 34-56217, IC-27924 View Related Activity
Aug. 7, 2007	S7-19-07	Amendments to Regulation SHO	Proposed Rule Amendments to Regulation SHO 34-56213 View Related Activity
Aug. 7, 2007	S7-12-06	Amendments to Regulation SHO	Final Rule Amendments to Regulation SHO 34-56212 View Related Activity
Aug. 6, 2007		Deletion of References to IRS Identification Numbers	Final Rule Deletion of References to IRS Identification Numbers 33-8830, 34-56205, IC-27923
Aug. 6, 2007	S7-20-06	Short Selling in Connection With a Public Offering	Final Rule Short Selling in Connection With a Public Offering 34-56206, 34-54888 View Related Activity
Aug. 3, 2007	S7-18-07	Revisions of Limited Offering Exemptions in Regulation D	Proposed Rule Revisions of Limited Offering Exemptions in Regulation D 33-8828, IC-27922
Aug. 3, 2007	S7-24-06	Definition of the Term Significant Deficiency	Final Rule Definition of the Term Significant Deficiency 33-8829, 34-56203
Aug. 3, 2007	S7-25-06	Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles	Final Rule Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles IA-2628
July 27, 2007	S7-17-07	Shareholder Proposals Relating to the Election of Directors	Proposed Rule Shareholder Proposals Relating to the Election of Directors 34-56161, IC-27914 View Related Activity
July 27, 2007	S7-16-07	Electronic Shareholder Forums	Proposed Rule Shareholder Proposals 34-56160, IC-27913 View Related Activity
July 26, 2007	S7-03-07	Shareholder Choice Regarding Proxy Materials	Final Rule Shareholder Choice Regarding Proxy Materials 34-56135, IC-27911 View Related Activity
July 11, 2007	S7-05-07	Extension of Interactive Data Voluntary Reporting Program on the Edgar System To Include Mutual Fund Risk/Return Summary Information	Final Rule Extension of Interactive Data Voluntary Reporting Program on the Edgar System To Include Mutual Fund Risk/Return Summary Information 33-8823, IC-27884 View Related Activity
July 5, 2007	S7-14-07	Exemption of Compensatory Employee Stock Options From Registration Under Section 12(G) of the Securities Exchange Act of 1934	Proposed Rule Exemption of Compensatory Employee Stock Options From Registration Under Section 12(g) of the Securities Exchange Act of 1934 34-56010 View Related Activity
July 5, 2007	S7-15-07	Smaller Reporting Company Regulatory Relief and Simplification	Proposed Rule Smaller Reporting Company Regulatory Relief and Simplification 33-8819, 34-56013, 39-2447 View Related Activity
July 2, 2007	S7-13-07	Acceptance From Foreign Private Issuers of Financial Statements Prepared in Accordance With International Financial Reporting Standards Without Reconciliation to U.S. GAAP	Proposed Rule Acceptance From Foreign Private Issuers of Financial Statements Prepared in Accordance With International Financial Reporting Standards Without Reconciliation to U.S. GAAP 33-8818, 34-55998, International Series Release No. 1302 View Related Activity
June 29, 2007	S7-12-07	Electronic Filing and Revision of Form D	Proposed Rule Electronic Filing and Simplification of Form D 33-8814, 34-55980, 39-2446, IC-27878 View Related Activity
June 28, 2007	S7-21-06	Regulation SHO and Rule 10a-1	Final Rule Regulation SHO and Rule 10a-1 34-55970 View Related Activity
June 22, 2007	S7-11-07	Revisions to Rules 144 and 145	Proposed Rule Revisions to Rule 144 and Rule 145 to Shorten Holding Period for Affiliates and Non-Affiliates 33-8813 View Related Activity
June 20, 2007	S7-24-06	Amendments to Rules Regarding Management's Report on Internal Control Over Financial Reporting	Interpretive Release Commission Guidance Regarding Management's Report on Internal Control Over Financial Reporting Under Section 13(a) or 15(d) of the Securities Exchange Act of 1934 33-8810, 34-55929, FR-77 View Related Activity
June 20, 2007	S7-10-07	Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 and F-3	Proposed Rule Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 And F-3 33-8812 View Related Activity
June 20, 2007	S7-24-06	Amendments to Rules Regarding Management's Report on Internal Control Over Financial Reporting	Proposed Rule Definition of a Significant Deficiency 33-8811, 34-55930 View Related Activity
June 20, 2007	S7-24-06	Amendments to Rules Regarding Management's Report on Internal Control Over Financial Reporting	Final Rule Amendments to Rules Regarding Management's Report on Internal Control Over Financial Reporting 33-8809, 34-55928, 33-8811 FR-76 View Related Activity

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