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SEC Final Rules: 2005
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Additional Archives
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| Release No. |
Date |
Details |
| Fourth Quarter |
|
34-51808A
|
Dec. 28, 2005
|
Regulation NMS: Correcting Amendment
File No.: S7-10-04
Effective Date: August 29, 2005
Compliance Date: September 28, 2005
See also: Spotlight on Regulation NMS
|
| 33-8644 |
Dec. 21, 2005 |
Revisions To Accelerated Filer Definition And Accelerated Deadlines For Filing Periodic Reports
Other Release No.: 34-52989
File No.: S7-08-05
Effective Date: December 27, 2005
Federal Register PDF
See also Proposed Rule, Rel. No. 33-8617 |
| 34-52846 |
Nov. 29, 2005 |
Adoption of Amendments to the Rules of Practice and Related Provisions and Delegations of Authority of the Commission
File No.: S7-05-05
Effective Date: January 4, 2006
Federal Register PDF
See also Proposed Rule, Rel. No. 34-51595 |
| 33-8518A |
Nov. 29, 2005 |
Asset-Backed Securities; Technical Amendments
Other Release No.: 34-50905A
File No.: S7-21-04
Effective Date: December 5, 2005
Compliance Date: same as in Release No. 33-8518
Federal Register PDF
See also Final Rule, Rel. No. 33-8518; Proposed Rule, Rel. No. 33-8419; comments |
| 33-8633 |
Nov. 1, 2005 |
Adoption of Updated EDGAR Filer Manual
Other Release No.: 34-52708; 35-28053; 39-2440; IC-27139
Effective Date: November 7, 2005
Federal Register PDF |
| 34-52602 |
Oct. 13, 2005 |
Adoption of Amendment to Delegation of Authority to Secretary of the Commission
Effective Date: November 21, 2005
Federal Register PDF |
| Third Quarter |
| 33-8618 |
Sep. 22, 2005 |
Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports of Companies that Are Not Accelerated Filers
Other Release No.: 34-52492
File Nos.: S7-40-02; S7-06-03
Effective Date: The effective date published on June 18, 2003, in Release No. 33-8238 [68 FR 36636] remains August 14, 2003. The effective date of this document is September 29, 2005.
Federal Register PDF
Comments Due: Comments should be received on or before October 31, 2005.
See also Final Rule, extension of compliance date, Rel. No. 33-8392; and Final Rule, request for comment, Rel. No. 33-8124
 Click to submit comments on S7-06-03
|
| 33-8612 |
Sep. 21, 2005 |
Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-52477; 35-28033; 39-2439; IC-27070
Effective Date: October 14, 2005; the incorporation by reference approval date is October 14, 2005.
Federal Register PDF
|
| 34-52407 |
Sep. 12, 2005 |
Certain Broker-Dealers Deemed Not To Be Investment Advisers, Extension of Compliance Date
Other Release Nos.: IA-2426
File No.: S7-25-99
Effective Date: see release
Compliance Date: see release
Federal Register PDF
See also:
DC Circuit Court of Appeals Stay
Notice of OMB Approval of Collections of Information, Rel. No. 34-52293;
Final Rule, Rel. No. 34-51523;
Temporary Rule, Rel. No. 34-50979;
Proposed Rule, Rel. No. 34-42099;
Release No. 34-50213 (reopening comment period);
Release No. 34-50980 (reproposed rule);
comments
|
|
34-52355
|
Aug. 29, 2005
|
Regulation NMS: Extension of Compliance Date
File No.: S7-10-04
Effective Date: August 29, 2005
Compliance Date: September 28, 2005
See also: Spotlight on Regulation NMS
|
| 34-51983A |
Aug. 3, 2005 |
Amendments to the Penny Stock Rules Correction
File No.: S7-02-04
Effective Date: September 12, 2005.
Federal Register PDF
See also: Final Rule Release No. 34-51983; Proposed Rule Release No. 34-49037;
Comments
|
| 33-8600 |
Aug. 3, 2005 |
Ownership Reports and Trading by Officers, Directors and Principal Security Holders
Other Release Nos.: 34-52202; 35-28013; IC-27025
File No.: S7-27-04
Federal Register PDF
Effective Date: August 9, 2005, except Ё228.405(a), (a)(2) and (b) and 229.405(a), (a)(2) and (b) are effective September 8, 2005. �0.16b-3(d) and (e) are effective August 9, 2005, but because they clarify regulatory conditions that applied to these exemptions since they became effective on August 15, 1996, they are available to any transaction on or after August 15, 1996 that satisfies the regulatory conditions so clarified. �0.16b-7 is effective August 9, 2005, but because it clarifies regulatory conditions that applied to that exemption since it was amended effective May 1, 1991, it is available to any transaction on or after May 1, 1991 that satisfies the regulatory conditions so clarified.
See also: Comment Summary; Proposed Rule Release No. 34-49895;
Comments
|
|
34-52196
|
Aug. 2, 2005
|
Regulation NMS: Extension of Compliance Date
File No.: S7-10-04
Effective Date: See release for dates
See also: Federal Register PDF; Spotlight on Regulation NMS
|
| 34-52115 |
Jul. 25, 2005 |
Technical Amendments to Rules Setting Forth the Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index
File No.: S7-11-01
Federal Register PDF
Effective Date: August 29, 2005
See also: Proposed Rule Release No. 34-44288; Proposed Rule (Extension of Comment Period) Release No. 34-44475;
Final Rule Release No. 34-44724
Comments
|
| 33-8591 |
Jul. 19, 2005 |
Securities Offering Reform
Other Release Nos.: 34-52056; IC-26993; FR-75
File No.: S7-38-04
Federal Register PDF
Effective Date: December 1, 2005
See also: Final Rule Release No. 33-8591A; Proposed Rule Release No. 33-8501;
Comments
|
| 33-8590 |
Jul. 18, 2005 |
Rulemaking for EDGAR System
Other Release Nos.: 34-52052; 35-28002; 39-2437; IC-26990
File No.: S7-16-04
Federal Register PDF
Effective Date: September 19, 2005; except Ё232.11; 232.101(b); 232.313; 239.64, 249.444, 259.603, 269.8, and 274.403 (Form SE); and 239.65, 249.447, 259.604, 269.10, and 274.404 (Form TH) are effective February 6, 2006; and Ё232.101(a) and 232.101(c) are effective June 12, 2006
See also: Proposed Rule Release No. 33-8401;
Comments
|
| 33-8587 |
Jul. 15, 2005 |
Use of Form S-8, Form 8-K, and Form 20-F by Shell Companies
Other Release Nos.: 34-52038, International Series Rel. No. 1293
File No.: S7-19-04
Effective Date: August 22, 2005
Federal Register PDF
See also: Proposed Rule Release No. 33-8407;
Comments
|
| 34-52029 |
Jul. 14, 2005 |
Removal from Listing and Registration of Securities Pursuant to Section 12(d) of the Securities Exchange Act of 1934
File No.: S7-25-04
Effective Date: August 22, 2005
Compliance Date: April 24, 2006
Federal Register PDF
See also: Proposed Rule Release No. 34-49858;
Comments
|
| 34-51983 |
Jul. 7, 2005 |
Amendments to the Penny Stock Rules
File No.: S7-02-04
Effective Date: September 12, 2005
Federal Register PDF
See also: Proposed Rule Release No. 34-49037;
Comments
Correction
|
| Second Quarter |
| IC-26985 |
Jun. 30, 2005 |
Commission Response to Remand by Court of Appeals
See Final Rule: Investment Company Governance, IC-26520, July 27, 2004 |
|
34-51808
|
Jun. 9, 2005
|
Regulation NMS: Final Rules and Amendments to Joint Industry Plans
File No.: S7-10-04
Effective Date: August 29, 2005
Compliance Dates: See section VII of this release
See also: Federal Register PDF; Dissent of Commissioners Glassman and Atkins; Spotlight on Regulation NMS
|
| 33-8573 |
May 19, 2005 |
Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-51710; 35-27970; 39-2436; IC-26872
Effective Date: June 6, 2005
Federal Register PDF |
| 33-8568 |
Apr. 15, 2005 |
Amendment to Rule 4-01(a) of Regulation S-X Regarding the Compliance Date for Statement of Financial Accounting Standards No. 123 (Revised 2004), Share-Based Payment
Other Release Nos.: 34-51558; 35-27959; IC-26833; FR-74
Effective Date: April 21, 2005
Federal Register PDF
|
| 33-8567 |
Apr. 12, 2005 |
First-Time Application of International Financial Reporting Standards
Other Release Nos.: 34-51535; IS-1285
File No.: S7-15-04
Effective Date: May 20, 2005 (Corrected)
Federal Register PDF
See also Proposed Rule, Rel. No. 33-8397A; Rel. No. 33-8397; comments
|
| 34-51523 |
Apr. 12, 2005 |
Certain Broker-Dealers Deemed Not To Be Investment Advisers
Other Release No.: IA-2376
File No.: S7-25-99
Effective Date: April 15, 2005, except that 17 CFR 275.202(a)(11)-1(a)(1)(ii) is effective May 23, 2005
Federal Register PDF
See also:
Notice of Broker-Dealer/Investment Adviser Study, Rel. No. 34-53406
Notice of OMB Approval of Collections of Information, Rel. No. 34-52293;
Temporary Rule, Rel. No. 34-50979;
Proposed Rule, Rel. No. 34-42099;
Release No. 34-50213 (reopening comment period);
Release No. 34-50980 (reproposed rule);
comments
|
| First Quarter |
|
IC-26782 |
Mar. 11, 2005 |
Mutual Fund Redemption Fees; request for additional comment
File No.: S7-11-04
Effective Date: May 23, 2005
Compliance Date: October 16, 2006; see also Section III of this release.
Federal Register PDF
See also Proposed Rule, Rel. No. IC-26375A; comments
Notice of OMB Approval of Collections of Information |
|
33-8545 |
Mar. 2, 2005 |
Management’s Report on Internal Control over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports of Non-Accelerated Filers and Foreign Private Issuers; Extension of compliance dates
Other Release Nos.: 34-51293
File Nos.: S7-40-02; S7-06-03
Effective Date: August 14, 2003
Compliance Date: see release
Federal Register PDF
See also Final Rule, extension of compliance dates; request for comment, 33-8618 Final Rule, extension of compliance date, Rel. No. 33-8392; and Final Rule, request for comment, Rel. No. 33-8124
|
|
33-8530 |
Feb. 4, 2005 |
Adjustments to Civil Monetary Penalty Amounts
Other Release Nos.: 34-51136; IA-2348; IC-26748
Effective Date: February 14, 2005
Federal Register PDF |
|
33-8529 |
Feb. 3, 2005 |
XBRL Voluntary Financial Reporting Program on the EDGAR System
Other Release Nos.: 34-51129, 35-27944, 39-2432, IC-26747
File No.: S7-35-04
Effective Date: March 16, 2005
Federal Register PDF
See also Proposed Rule, Rel. No. 33-8496; comments |
|
33-8528 |
Feb. 3, 2005 |
Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-51128; 35-27943; 39-2431; IC-26746
Effective Date: February 7, 2005
Federal Register PDF |
|
34-50979 |
Jan. 6, 2005 |
Certain Broker-Dealers Deemed Not To Be Investment Advisers
File No.: S7-25-99
Effective Date: January 6, 2005
Federal Register PDF
See also Proposed Rule, Rel. No. 34-42099; Release No. 34-50213 (reopening comment period); Release No. 34-50980 (reproposed rule); comments |
http://www.sec.gov/rules/final/finalarchive/finalarchive2005.shtml
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