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Final Rules: 2011
Final rules currently available include:
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
Additional Archives
2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | 1995 | 1994-1962
| Release No. |
Date |
Details |
| Fourth Quarter |
| 33-9287 |
Dec. 21, 2011 |
Net Worth Standard for Accredited Investors
Other Release Nos.: IA-3341, IC-29891
File No.: S7-04-11
Effective Date: February 27, 2012
See also: Proposed Rule Release No. 33-9177; Small Entity Compliance Guide; Technical Amendement Release No. 33-9287a
Federal Register: HTML | PDF | text | XML |
| 33-9286 |
Dec. 21, 2011 |
Mine Safety Disclosure
Other Release No.: 34-66019
File No.: S7-41-10
Effective Date: January 27, 2012
See also: Proposed Rule Release No. 33-9164; Small Entity Compliance Guide
Federal Register: HTML | PDF | text | XML |
| 33-9281 |
Nov. 22, 2011 |
Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-65803, 39-2481, IC-29868
Effective Date: November 29, 2011
Federal Register: HTML | PDF | text | XML |
| 34-65742 |
Nov. 14, 2011 |
Reporting Line for the Commission's Ethics Counsel
Effective Date: November 18, 2011
Federal Register: HTML | PDF | text | XML |
| 33-9273 |
Nov. 4, 2011 |
Rescission of Outdated Rules and Forms, and Amendments to Correct References
Other Release Nos.: 34-65686, 39-2480, IA-3310, IC-29855
Effective Date: November 21, 2011
Federal Register: HTML | PDF | text | XML |
| IA-3308 |
Oct. 31, 2011 |
Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
Effective Date: March 31, 2012 for CEA rule 4.27, Advisers Act rule 204(b)-1 and Form PF
Compliance Dates: See section III of the Release
See also: Form PF; Proposed Rule Release No. IA-3145; Comments; Small Entity Compliance Guide
Federal Register: HTML | PDF | text | XML |
| 34-65628 |
Oct. 26, 2011 |
Technical Amendment to Delegation of Authority to the Director of the Division of Trading and Markets
Effective Date: November 2, 2011
Federal Register: HTML | PDF | text | XML |
| Third Quarter |
| 34-65385 |
Sep. 23, 2011 |
Consolidation of the Office of the Executive Director with the Office of the Chief Operating Officer
Effective Date: September 29, 2011
Federal Register: HTML | PDF | text | XML
|
| 33-9259 |
Sep. 15, 2011 |
Facilitating Shareholder Director Nominations [Corrected to conform to Federal Register version]
Other Release No.: 34-65343, IC-29788
File No.: S7-10-09
Effective Date: September 20, 2011
See also: FR Notice of Stay of Effective and Compliance Dates; Order Granting Stay; Final Rule Release No. 33-9136; Proposed Rule Release No. 33-9086; Proposed Rule Release No. 33-9046; Small Entity Compliance Guide
Federal Register: HTML | PDF | text | XML
|
| PA-47 |
Sep. 12, 2011 |
Privacy Act of 1974: Implementation and Amendment of Exemptions
File No.: S7-19-11
Effective Date: October 17, 2011
See also: Proposed Rule Release No. PA-45
Federal Register version
|
| 33-9256 |
Sep. 1, 2011 |
Amendments to Include New Applicant Types on Form ID
Other Release Nos.: 34-65244, 39-2478, IC-29780
Effective Date: September 9, 2011
Federal Register version
|
| 33-9175A |
Aug. 25, 2011 |
Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Correction) [Corrected to conform to Federal Register version]
Other Release No.: 34-63741A
File No.: S7-24-10
Effective Date: September 1, 2011
See also: Final Rule Release No. 33-9175; Proposed Rule Release No. 33-9148
Federal Register version
|
| 34-65148 |
Aug. 17, 2011 |
Suspension of the Duty to File Reports for Classes of Asset-Backed Securities Under Section 15(d) of the Securities Exchange Act of 1934
File No.: S7-02-11
Effective Date: September 22, 2011
See also: Proposed Rule Release No. 34-63652
Federal Register version
|
| 33-9250 |
Aug. 8, 2011 |
Technical Amendments to Commission Rules and Forms Related to the FASB's Accounting Standards Codification
Other Release Nos.: 34-65052, IC-29748
Effective Date: August 12, 2011
Federal Register version
|
| 33-9246 |
Aug. 1, 2011 |
Adoption of Updated EDGAR Filer Manual
Effective Date: August 5, 2011
Federal Register version
|
| 34-64976 |
Jul. 27, 2011 |
Large Trader Reporting
File No.: S7-10-10
Effective Date: October 3, 2011
See also: Proposed Rule Release No. 34-61908
Federal Register version
|
| 33-9245 |
Jul. 27, 2011 |
Security Ratings
Other Release No.: 34-64975
File No.: S7-18-08
Effective Date: September 2, 2011
See also: Proposed Rule Release Nos. 33-8940; 33-9069; 33-9186
Federal Register version
|
| 34-64913 |
Jul. 19, 2011 |
Technical Amendment to Commission Procedures for Filing Applications for Orders for Exemptive Relief under Section 36 of the Exchange Act
Effective Date: July 22, 2011
Federal Register version
|
| Second Quarter |
| 34-64778 |
Jun. 30, 2011 |
Delegation of Authority to the Director of its Division of Enforcement
Effective Date: July 7, 2011
Federal Register version
|
| 34-64748 |
Jun. 27, 2011 |
Risk Management Controls for Brokers or Dealers with Market Access
File No.: S7-03-10
Effective Date: June 30, 2011
Compliance Dates: See release
See also: Final Rule Release No. 34-63241; Proposed Rule Release No. 34-61379
Federal Register version
|
| IA-3222 |
Jun. 22, 2011 |
Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers
File No.: S7-37-10
Effective Date: July 21, 2011
See also: Proposed Rule Release No. IA-3111 and comments
Federal Register version
|
| IA-3221 |
Jun. 22, 2011 |
Rules Implementing Amendments to the Investment Advisers Act of 1940 (Corrected)
File No.: S7-36-10
Effective Date: see release
Compliance Date: see release
Additional Materials:
Appendix A: Form ADV: General Instructions
Appendix B: Form ADV: Instructions for Part 1A
Appendix C: Form ADV: Glossary of Terms
Appendix D: Form ADV, Part 1A
Appendix E: Form ADV Execution Pages
Appendix F: Form ADV-H
Appendix G: Form ADV-NR
Appendix H: Form ADV-E
See also: Small Entity Compliance Guide; Frequently Asked Questions Regarding Mid-Sized Advisers; Proposed Rule Release No. IA-3110; Final Rule Release No. IA-3403, and comments
Federal Register version
|
| IA-3220 |
Jun. 22, 2011 |
Family Offices
File No.: S7-25-10
Effective Date: August 29, 2011
See also: Proposed Rule Release No. IA-3098; Small Entity Compliance Guide; Staff Responses to Questions About the Family Office Rule
Federal Register version
|
| 34-64649 |
Jun. 13, 2011 |
Delegation of Authority to the Director of its Division of Enforcement
Effective Date: June 17, 2011
Federal Register version
|
| 34-64628 |
Jun. 8, 2011 |
Beneficial Ownership Reporting Requirements and Security-Based Swaps
File No.: S7-10-11
Effective Date: July 16, 2011
See also: Proposed Rule Release No. 34-64087
Federal Register version
|
| 34-64545 |
May 25, 2011 |
Implementation of the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934
File No.: S7-33-10
Effective Date: August 12, 2011
See also: Proposed Rule Release No. 34-63237
Federal Register version
|
| 33-9208 |
May 13, 2011 |
Amendment to Procedures for Holding Funds in Dormant Filing Fee Accounts
Other Release Nos.: 34-64495; IC-29670
Effective Date: May 19, 2011
Federal Register version
|
| 34-64251 |
Apr. 7, 2011 |
Technical Amendment to Rule 19b-4: Filings with Respect to Proposed Rule Changes by Self-Regulatory Organizations
Effective Date: April 13, 2011
Federal Register version
|
| 34-64172 |
Apr. 4, 2011 |
Amendment of Outside Employment and Activities Section of the SEC's Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
Effective Date: May 11, 2011
Federal Register version
|
| First Quarter |
| 34-63949 |
Feb. 23, 2011 |
Technical Amendments to Rule 17a-8: Financial Recordkeeping and Reporting of Currency and Foreign Transactions
Effective Date: March 1, 2011
Federal Register version
|
| 33-9178 |
Jan. 25, 2011 |
Shareholder Approval of Executive Compensation and Golden Parachute Compensation
Other Release No.: 34-63768
File No.: S7-31-10
Effective Date: April 4, 2011
Compliance Date: April 4, 2011
See also: Proposed Rule Release No. 33-9153; Small Entity Compliance Guide
Federal Register version
|
| 33-9176 |
Jan. 20, 2011 |
Issuer Review of Assets in Offerings of Asset-Backed Securities
Other Release No.: 34-63742
File No.: S7-26-10
Effective Date: March 28, 2011
See also: Proposed Rule Release No. 33-9150
Federal Register version
|
| 33-9175 |
Jan. 20, 2011 |
Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Other Release No.: 34-63741
File No.: S7-24-10
Effective Date: March 28, 2011
See also: Final Rule Release No. 33-9175A; Proposed Rule Release No. 33-9148
Federal Register version
|
| 34-63723 |
Jan. 14, 2011 |
Rules of Practice
Effective Date: January 24, 2011
Federal Register version
|
| 34-63699 |
Jan. 11, 2011 |
Delegation of Authority to the Chief Accountant
Effective Date: January 18, 2011
Federal Register version
|
| 33-9169 |
Jan. 5, 2011 |
Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-63646, 39-2473, IC-29547
Effective Date: January 11, 2011
Federal Register version
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http://www.sec.gov/rules/final/finalarchive/finalarchive2011.shtml
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