This page lists rulemaking activity since 2008 grouped by file number, which allows you to view the proposed rules, final rules and other actions related to a particular rulemaking.You can sort this list by most recent action, file number, or the informal short name of the rulemaking. By using the Status filter, you can view rulemakings that have been completed, or rulemakings that have been proposed but not yet completed. You can also filter to display rulemakings related to a specific SEC division or office. This index omits certain technical rulemakings, including updates to the EDGAR filing manual.

Treatment of Certain Collateralized Debt Obligations Backed Primarily by Trust Preferred Securities with Regard To Prohibitions and Restrictions on Certain Interests in, And Relationships with, Hedge Funds and Private Equity Funds

Duty to File Reports for Classes of Asset-Backed Securities

Cross-Border Application of Security-Based Swap Rules

Security-Based Swap Reporting and Dissemination Further Amendments

Purchases of Certain Equity Securities by the Issuer and Others

Security-Based Swap Recordkeeping and Reporting

Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Capital Rule for Certain Security-Based Swap Dealers

Broker-Dealer Membership in Securities Associations

Part 248 – Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Personal Information (Corrected)

Mortgage Related and Small Business Related Security Definitions

Commission Guidance Regarding Definitions of Mortgage Related Security and Small Business Related Security

U.S. Personnel in Security-Based Swap Activity

Security-Based Swap Capital, Margin, and Segregation

Proposed Amendments to Rule 610 of Regulation NMS

Listing Standards for Recovery of Erroneously Awarded Compensation

Listing Standards for Compensation Committees

Possible Revisions to Audit Committee Disclosures

Applications by Security-Based Swap Entities for Statutorily Disqualified Associated Persons

Exemption of Certain Foreign Brokers or Dealers (Corrected)

Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act

Political Contributions by Investment Advisers

Filing Accommodation for Static Pool Information

Disclosure of Certain Money Market Fund Portfolio Holdings (Interim Final Temporary Rule; Request for Comment)

Commission Guidance Regarding the Duties and Responsibilities of Investment Company Boards of Directors with Respect to Investment Adviser Portfolio Trading Practices

Commission Guidance on the Use of Company Web Sites

Filing Accommodation for Static Pool Information

Regulation FD Exemption for Credit Rating Agencies

Removal From Regulation FD of the Exemption for Credit Rating Agencies

Security-Based Swap Business Conduct Standards

Issuer Review of Assets in Offerings of Asset-Backed Securities

Regulation of Non-Public Trading Interest (Corrected)

Proposed Rules for Nationally Recognized Statistical Rating Organizations

Reporting of Security-Based Swap Transaction Data

Reporting of Security-Based Swap Transaction Data (Interim Final Temporary Rule; Request for Comments)

Reporting of Proxy Votes on Executive Compensation

Reporting of Proxy Votes on Executive Compensation and Other Matters

Corporation Finance, Investment Management, Trading and Markets

Disclosure of Short Sales and Short Positions by Institutional Investment Managers

Shareholder Approval of Executive Compensation

Temporary Exemption for Liquidation of Certain Money Market Funds

Proposed Amendment to Existing Regulation Concerning Records Services, Fee Schedule

Use of Derivatives by Investment Companies under the Investment Company Act of 1940

Security-Based Swap Reporting and Dissemination

Mortgage-Related Pools as Investment Companies

Companies Engaged in the Business of Acquiring Mortgages and Mortgage-Related Instruments

Treatment of Asset-Backed Issuers under the Investment Company Act (Advance Notice of Proposed Rulemaking)

Rules Implementing Amendments to the Advisers Act

Disclosure of Payments by Resource Extraction Issuers

End-User Exception to Mandatory Clearing of Security-Based Swaps

Notice Filing Requirements for Clearing Agencies

Open-End Fund Liquidity Risk Management Programs and Swing Pricing

Amendments to the Commissions Rules of Practice

Amendments to the Commissions Rules of Practice

Amendments to the Commissions Rules of Practice

Disclosure of Payments by Resource Extraction Issuers

Use of Derivatives by Registered Investment Companies and Business Development Companies

Use of Derivatives by Registered Investment Companies and Business Development Companies

Access to Data Obtained by Security-Based Swap Data Repositories and Exemption from Indemnification Requirement

Covered Broker-Dealer Provisions under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act

Covered Broker-Dealer Provisions under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act

Transfer Agent Regulations (Advance Notice of Proposed Rulemaking)

Transfer Agent Regulations (Advance Notice of Proposed Rulemaking)

Business and Financial Disclosure Required by Regulation S-K

Business and Financial Disclosure Required by Regulation S-K

Simplification of Disclosure Requirements for Emerging Growth Companies and Forward Incorporation by Reference on Form S-1 for Smaller Reporting Companies

Modernization of Property Disclosures for Mining Registrants

Adjustments to Civil Monetary Penalty Amounts

Adjustments to Civil Monetary Penalty Amounts

Amendments to Smaller Reporting Company Definition

Adviser Business Continuity and Transition Plans

Adviser Business Continuity and Transition Plans

Amendment to Securities Transaction Settlement Cycle

Interim Final Temporary Rule Regarding the Consolidated Audit Trail

Amendments to Municipal Securities Disclosure

Amendments to Investment Advisers Act Rules to Reflect Changes Made by the Fast Act

Covered Securities Pursuant to Section 18 of the Securities Act of 1933

FAST Act Modernization and Simplification of Regulation S-K

Amendments to the Commissions Freedom of Information Act Regulations

Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation

Corporation Finance, Investment Management, Trading and Markets

Rule 701 – Exempt Offerings Pursuant to Compensatory Arrangements

Rule 701 – Exempt Offerings Pursuant to Compensatory Arrangements

Concept Release on Compensatory Securities Offerings and Sales

Concept Release on Compensatory Securities Offerings and Sales

Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrants Securities

Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrants Securities

Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

Amendment to Single Issuer Exemption for Broker-Dealers

Amendments to Rules for Nationally Recognized Statistical Rating Organizations

Risk Mitigation Techniques for Uncleared Security-Based Swaps

Risk Mitigation Techniques for Uncleared Security-Based Swaps

Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

Solicitations of Interest Prior to a Registered Public Offering

Solicitations of Interest Prior to a Registered Public Offering

Amendments to the Timing Requirements for Filing Reports on Form N-PORT

Amendments to the Timing Requirements for Filing Reports on Form N-PORT

Securities Offering Reform for Closed-End Investment Companies

Securities Offering Reform for Closed-End Investment Companies

Amendments to Financial Disclosures about Acquired and Disposed Businesses

Amendments to Financial Disclosures about Acquired and Disposed Businesses

Amendments to the Accelerated Filer and Large Accelerated Filer Definitions

Amendments to the Accelerated Filer and Large Accelerated Filer Definitions

Proposed Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements

Proposed Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements

Concept Release on Harmonization of Securities Offering Exemptions

Corporate Finance, Trading and Markets, Investment Management

Concept Release on Harmonization of Securities Offering Exemptions

No rulemaking actions match the criteria selected.