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SEC Final Rules
Final rules currently available include:
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
Additional Archives
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| Release No. |
Date |
Details |
| Fourth Quarter |
| 34-68080 |
Oct. 22, 2012 |
Clearing Agency Standards
File No.: S7-08-11
Effective Date: 60 days after date of publication in the Federal Register
See also: Proposed Rule Release Nos. 34-64017; Security-Based Swaps Implementation Policy Statement; comments
|
| 33-9364 |
Oct. 4, 2012 |
Adoption of Updated EDGAR Filer Manual
Other Release No.: 34-67978; 39-2486; IC-30227
Effective Date: October 15, 2012
Federal Register (77 FR 62431): HTML | PDF | text | XML
|
| Third Quarter |
| 33-9353 |
Aug. 30, 2012 |
Adoption of Updated EDGAR Filer Manual
Other Release No.: 34-67747; 39-2485; IC-30185
Effective Date: September 6, 2012
Federal Register (77 FR 54806): HTML | PDF | text | XML
|
| 34-67717 |
Aug. 22, 2012 |
Disclosure of Payments by Resource Extraction Issuers (Corrected to Conform to Federal Register Version)
File No.: S7-42-10
Effective Date: November 13, 2012
Compliance Date: see Release
See also: Proposed Rule Release Nos. 34-63549; 34-63795; and Motion for Stay
Federal Register (77 FR 56365): HTML | PDF | text | XML |
| 34-67716 |
Aug. 22, 2012 |
Conflict Minerals
File No.: S7-40-10
Effective Date: November 13, 2012
Compliance Date: Issuers must comply with the final rule for the calendar year beginning January 1, 2013 with the first reports due May 31, 2014
See also: Proposed Rule Release Nos. 34-63547 and 34-63793
Federal Register (77 FR 56273): HTML | PDF | text | XML |
| 34-67457 |
Jul. 18, 2012 |
Consolidated Audit Trail
File No.: S7-11-10
Effective Date: October 1, 2012
See also: Proposed Rule Release No. 34-62174 and Comments
Federal Register (77 FR 45721): HTML | PDF | text | XML
|
| 33-9338 |
Jul. 18, 2012 |
Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
Other Release No.: 34-67453
File No.: S7-16-11
Effective Date: October 12, 2012
See also: Proposed Rule Release No. 33-9204; Release No. 33-9204A (correction) and Comments
Federal Register (77 FR 48207): HTML | PDF | text | XML
|
| Second Quarter |
| 34-67286 |
Jun. 28, 2012 |
Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations
File No.: S7-44-10
Effective Dates: August 13, 2012 for §§
240.3Ca-1, 240.3Ca-2, and the amendments to 240.19b-4; December 10, 2012 for all amendments to § 249.819 and Form 19b-4.
Compliance Dates: August 13, 2012 for §§ 240.3Ca-1, 240.3Ca-2, and the amendments to § 240.19b-4, except for the compliance date for § 240.19b-4(o), which is discussed in the section of the release titled "II.G. Effective and Compliance Dates"; December 10, 2012 for all amendments to § 249.819 and Form 19b-4.
See also: Correction: Final Rule Release No. 34-67286A; Proposed Rule Release No. 34-63557 and Comments
Federal Register (77 FR 41602): HTML | PDF | text | XML
|
| 33-9330 |
June 20, 2012 |
Listing Standards for Compensation Committees (Updated to include Effective and Compliance Dates)
Other Release No.: 34-67220
File No.: S7-13-11
Effective Date: July 27, 2012
Compliance Dates: see Release
See also: Proposed Rule Release Nos. 33-9203 and 33-9199; Small Entity Compliance Guide; and Comments
Federal Register (77 FR 38421): HTML | PDF | text | XML | Correction |
| IA-3418 |
Jun. 8, 2012 |
Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation (extension of compliance date) [Corrected to conform to Federal Register version]
File No.: S7-18-09
Effective Date: June 11, 2012
See also: Final Rule Release No. IA-3043; Proposed Rule Release No. IA-2910; Small Entity Compliance Guide; Staff Responses to Questions About the Pay to Play Rule
Federal Register (77 FR 35263): HTML | PDF | text | XML |
| IA-3403 |
May 9, 2012 |
Technical Amendment to Rule 206(4)-5: Political Contributions by Certain Investment Advisers
File No.: S7-36-10
Effective Date: May 15, 2012
See also: Proposed Rule Release No. IA-3110; Final Rule Release No. IA-3221
Federal Register (77 FR 28476): HTML | PDF | text | XML |
| 34-66868 |
Apr. 27, 2012 |
Further Definition of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant,” “Major Security-Based Swap Participant” and “Eligible Contract Participant” (Joint Final Rule; Joint Interim Final Rule; Interpretation)
File No.: S7-39-10
Effective Date: July 23, 2012
See also: Corrections of Typographical Errors in Original Release (Jun. 29, 2012); Proposed Rule Release No. 34-63452; Security-Based Swaps Implementation Policy Statement
Federal Register (77 FR 30596): HTML | PDF | text | XML |
| First Quarter |
| 33-9308 |
Mar. 30, 2012 |
Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies
Other Release No.: 34-66703; 39-2484
File No.: S7-22-11
Effective Date: April 16, 2012
See also: Proposed Rule Release No. 33-9222
Federal Register (77 FR 20536): HTML | PDF | text | XML
|
| 33-9303 |
Mar. 26, 2012 |
Adoption of Updated EDGAR Filer Manual
Other Release No.: 34-66654, 39-2483, IC-30008
Effective Date: March 30, 2012
Federal Register (77 FR 19077): HTML | PDF | text | XML
|
| 33-9287A |
Mar. 23, 2012 |
Technical Amendment to Net Worth Standard for Accredited Investors
Other Release No.: IA-3341A; IC-29891A
File No.: S7-04-11
Effective Date: March 28, 2012
See also: Final Rule Release No. 33-9287
Federal Register (77 FR 18684): HTML | PDF | text | XML
|
| 34-66502 |
Mar. 7, 2012 |
Technical Amendment to Rules of Organization; Conduct and Ethics; and Information and Requests
Effective Date: March 7, 2012
Federal Register (77 FR 13490): HTML | PDF | text | XML
|
| IA-3372 |
Feb. 15, 2012 |
Investment Adviser Performance Compensation
File No.: S7-17-11
Effective Date: May 22, 2012
See also: Proposed Rule Release No. IA-3198
Federal Register (77 FR 10358): HTML | PDF | text | XML
|
| 34-66355 |
Feb. 8, 2012 |
Reporting Line for the Commission’s Inspector General
Effective Date: February 14, 2012
Federal Register (77 FR 8094):
HTML | PDF | text | XML |
| 33-9295 |
Jan. 20, 2012 |
Covered Securities of BATS Exchange, Inc. [Corrected]
File No.: S7-31-11
Effective Date: February 24, 2012
Comment Due Date:
See also: Proposed Rule Release No. 33-9251
Federal Register (77 FR 3590):
HTML | PDF | text | XML |
http://www.sec.gov/rules/final.shtml
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