SEC Final Rules: 2010

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Release No.	Date	Details
Fourth Quarter
IA-3129	Dec. 28, 2010	Amendments to Form ADV; Extension of Compliance Date File No.: S7-10-00 Effective Date:  see release See also:  Proposed Rule Release Nos. IA-2711; IA-1897; 34-42620; Final Rule Release Nos. IA-3060; IA-1916; 34-48167; Comments; Small Entity Compliance Guide; Staff Responses to Questions About Part 2 of Form ADV Federal Register version
IA-3128	Dec. 28, 2010	Temporary Rule Regarding Principal Trades with Certain Advisory Clients File No.: S7-23-07 Effective Date:  December 30, 2010. See also:  Proposed Rule Release No. IA-3118; Final Rule Release No. IA-2965 and correction; Interim Final Temporary Rule Release No. IA-2653; Small Entity Compliance Guide Federal Register version
33-9165	Dec. 16, 2010	Extension of Filing Accommodation for Static Pool Information in Filings with Respect to Asset-Backed Securities File No.: S7-18-10 Effective Date:  December 31, 2010. See also:  Proposed Rule Release No. 33-9137 and Comments Federal Register version
34-63247	Nov. 4, 2010	Regulation SHO File No.: S7-08-09 Effective Date:  The effective date for Rule 201 (17 CFR 242.201) and Rule 200(g) (17 CFR 242.200(g)) remains March 10, 2010. Compliance Date:  The compliance date for both Rules has been extended from November 10, 2010 to February 28, 2011. See also:  Final Rule Release No. 34-61595; Proposed Rule Release No. 34-60509; Proposed Rule Release No. 34-59748 Federal Register version
34-63241	Nov. 3, 2010	Risk Management Controls for Brokers or Dealers with Market Access File No.: S7-03-10 Effective Date:  January 14, 2011 Compliance Date:  July 14, 2011 See also:  Final Rule Release No. 34-64748; Proposed Rule Release No. 34-61379; Small Entity Compliance Guide Federal Register version
33-9152	Oct. 14, 2010	Indexed Annuities File No.: S7-14-08 See also:  Proposed Rule Release Nos. 33-8976 and 33-8933; Final Rule Release No. 33-8996; Comments Federal Register version
34-63087	Oct. 13, 2010	Technical Amendments to Forms N-CSR and N-SAR in Connection with the Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010 Other Release No.: IC-29461 Effective Date:  October 19, 2010 See also:  Small Entity Compliance Guide Federal Register version
34-63049	Oct. 6, 2010	Delegation of Authority to the Director of the Division of Trading and Markets Effective Date:  October 12, 2010 Federal Register version
Third Quarter
33-9146	Sep. 29, 2010	Removal From Regulation FD of the Exemption for Credit Rating Agencies Other Release No.: 34-63003, IC-29448 File No.: S7-23-10 Effective Date:  October 4, 2010 Federal Register version
33-9142	Sep. 15, 2010	Internal Control over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers Other Release Nos.: 34-62914 Effective Date:  September 21, 2010 Federal Register version
34-62921	Sep. 15, 2010	Rescission of Rules Pertaining to the Payment of Bounties for Information Leading to the Recovery of Civil Penalties for Insider Trading Effective Date:  September 21, 2010 Federal Register version
33-9140	Sep. 9, 2010	Adoption of Updated EDGAR Filer Manual Other Release Nos.: 34-62873, 39-2471, IC-29413 Effective Date:  September 15, 2010 Federal Register version
34-62821	Sep. 1, 2010	Delegation of Authority to the Director of its Division of Enforcement Effective Date:  September 8, 2010 Federal Register version
33-9136	Aug. 25, 2010	Facilitating Shareholder Director Nominations [Conforming Version] Other Release Nos.: 34-62764, IC-29384 File No.: S7-10-09 Effective Date:  November 15, 2010 (Delayed; new effective date for the amendment to Rule 14a-8 and related rules and amendments is September 20, 2011 - See Final Rule Release No. 33-9259) See also:  FR Notice of Stay of Effective and Compliance Dates; Order Granting Stay; Proposed Rule Release No. 33-9086; Proposed Rule Release No. 33-9046; Small Entity Compliance Guide Federal Register version
34-62690	Aug. 11, 2010	Delegation of Authority to the Director of its Division of Enforcement Effective Date:  August 16, 2010 Federal Register version
IA-3060	Jul. 28, 2010	Amendments to Form ADV File No.: S7-10-00 Effective Date:  October 12, 2010 See also:  Proposed Rule Release Nos. IA-2711; IA-1897; 34-42620; Final Rule Release Nos. IA-3129; IA-1916; 34-48167; Small Entity Compliance Guide; Comments; Staff Responses to Questions About Part 2 of Form ADV Federal Register version
34-62575	Jul. 26, 2010	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 Effective Date:  September 7, 2010 Federal Register version
34-62520	Jul. 16, 2010	Technical Amendment to Rules of Organization; Conduct and Ethics; and Information and Requests Effective Date:  July 22, 2010 Federal Register version
34-62501	Jul. 14, 2010	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 Effective Date:  August 19, 2010 Federal Register version
IA-3043	Jul. 1, 2010	Political Contributions by Certain Investment Advisers File No.: S7-18-09 Effective Date:  September 13, 2010 Compliance Dates:  See Release See also:  Proposed Rule Release No. IA-2910; Small Entity Compliance Guide; Staff Responses to Questions About the Pay to Play Rule Federal Register version
Second Quarter
34-62184A	May 27, 2010	Amendment to Municipal Securities Disclosure File No.: S7-15-09 Effective Date:  August 9, 2010, except Part 241 will be effective on June 10, 2010. Compliance Date:  December 1, 2010 with respect to §240.15c2-12 See also:  Proposed Rule Release No. 34-60332; MSRB Orders and Notices 34-62175, 34-62182, 34-62183; Small Entity Compliance Guide Federal Register version
33-9115	Apr. 1, 2010	Adoption of Updated EDGAR Filer Manual Other Release Nos.: 34-61821, 39-2469, IC-29199 Effective Date:  April 8, 2010 Federal Register version
First Quarter
34-61595	Feb. 26, 2010	Amendments to Regulation SHO File No.: S7-08-09 Effective Date:  May 10, 2010 See also:  Final Rule Release No. 34-63247; Proposed Rule Release No. 34-60509; Proposed Rule Release No. 34-59748; Comments; Small Entity Compliance Guide Federal Register version
33-9089A	Feb. 23, 2010	Proxy Disclosure Enhancements; Correction Other Release No.: 34-61175A; IC-29092A File No.: S7-13-09 Effective Date:  February 28, 2010 See also:  Final Rule Release No. 33-9089 Federal Register version
IC-29132	Feb. 23, 2010	Money Market Fund Reform File No.: S7-11-09, S7-20-09 Effective Date:  The rules, rule amendments, and form are effective May 5, 2010. The expiration date for 17 CFR 270.30b1-6T is extended from September 17, 2010 to December 1, 2010. Compliance dates are discussed in Section III of the Supplementary Information. See also:  Proposed Rule Release No. IC-28807; Rule 2a-7 Amendments Adopted by SEC in February 2010 Marked to Show Changes from Previous Rule 2a-7; Staff Responses to Questions About Money Market Fund Reform; Staff Responses to Questions about Rule 30b1-7 and Form N-MFP; Staff Responses to Questions about Information Filed on Form N-MFP; Money Market Fund Reporting of Portfolio Information Federal Register version
33-9108	Feb. 22, 2010	Amendments to Rules Requiring Internet Availability of Proxy Materials Other Release No.: 34-61560, IC-29131 File No.: S7-22-09 Effective Date:  March 29, 2010 See also:  Proposed Rule Release No. 33-9073; Small Entity Compliance Guide Federal Register version
34-61339	Jan. 13, 2010	Delegations of Authority to the Director of its Division of Enforcement Effective Date:  January 19, 2010 Federal Register version
34-61335	Jan. 12, 2010	Shareholder Approval of Executive Compensation of TARP Recipients File No.: S7-12-09 Effective Date:  February 18, 2010 See also:  Proposed Rule Release No. 34-60218 and Comments Federal Register version

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