SEC Final Rules: 2004

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Release No.	Date	Details
Fourth Quarter
33-8518	Dec. 22, 2004	Asset-Backed Securities File No.:   S7-21-04 Effective Date:  March 8, 2005 Compliance Date:  see release Comments Due:   Comments should be received on or before March 8, 2005. Federal Register PDF  Click to submit comments on S7-21-04 See also Technical Amendments, Rel. No. 33-8518A; Proposed Rule, Rel. No. 33-8419; comments
IA-2333	Dec. 2, 2004	Registration Under the Advisers Act of Certain Hedge Fund Advisers File No.:   S7-30-04 Effective Date:  see release Compliance Date:  see release Dissent of Commissioners Cynthia A. Glassman and Paul S. Atkins Federal Register PDF See also: Proposed Rule, Rel. No. IA-2266; comments; Transcript of the Commission's Open Meeting on this item; Notice of OMB Approval of Collection of Information
34-50781	Dec. 2, 2004	Disposal of Consumer Report Information File No.: S7-33-04 Effective Date:  January 11, 2005 Compliance Date:  see release Federal Register PDF See also Proposed Rule, Rel. No. 34-50361; comments
34-50758A	Dec. 7, 2004	Issuer Restrictions or Prohibitions on Ownership by Securities Intermediaries Note: Corrected to conform to Federal Register version File No.: S7-24-04 Effective Date:  March 7, 2005 Federal Register PDF See also Proposed Rule, Rel. No. 34-49804; correction; and comments
33-8507	Nov. 17, 2004	Temporary Postponement of the Final Phase-In Period for Acceleration of Periodic Report Filing Dates Other Release No.: 34-50684 File No.: S7-32-04 Effective Date:  December 23, 2004 Federal Register PDF See also Proposed Rule, Rel. No. 33-8477; comments Summary of Comments on this proposal
34-50486	Oct. 4, 2004	Proposed Rule Changes of Self-Regulatory Organizations File No.: S7-18-04 Effective Date:  November 8, 2004, except �0.11Aa3-2(b)(8) and �0.19b-4(m), shall be effective May 9, 2005 Federal Register PDF See also Proposed Rule, Rel. No. 34-49505; comments
Third Quarter
IC-26591	Sep. 2, 2004	Prohibition on the Use of Brokerage Commissions to Finance Distribution File No.: S7-09-04 Effective Date:  October 14, 2004 Compliance Date:  December 13, 2004 Federal Register PDF See also Proposed Rule, Rel. No. IC-26356; comments
34-50295	Aug. 31, 2004	Rule 15c3-3 Reserve Requirements for Margin Related to Security Futures Products File No.: S7-34-02 Effective Date:  October 7, 2004 Compliance Date:  See Section II.I. of this release. Federal Register PDF See also Proposed Rule, Rel. No. 34-46492; comments
33-8458	Aug. 23, 2004	Disclosure Regarding Portfolio Managers of Registered Management Investment Companies Other Release Nos.: 34-50227; IC-26533 File No.: S7-12-04 Effective Date:  Oct. 1, 2004 Compliance Date:  See Section II.I. of this release. Comments Due:  Comments should be received on or before October 1, 2004 Federal Register PDF  Click to submit comments on S7-12-04 See also Proposed Rule, Rel. No. 33-8396; comments Notice of OMB Approval of Collection of Information
33-8454	Aug. 6, 2004	Adoption of Updated EDGAR Filer Manual Other Release Nos.: 34-50160; 35-27881; 39-2424; IC-26525 Effective Date:  August 23, 2004 Federal Register PDF
33-8393A	Aug. 9, 2004	Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies; Technical Amendment Other Release Nos.: 34-49333A; IC-26372A File No.: S7-51-02 Effective Date:  August 12, 2004 Federal Register PDF See also Final Rule, Rel. No. 33-8393
33-8400A	Aug. 4, 2004	Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date; Correction Other Release No.: 34-49424A File No.: S7-22-04 Effective Date:  August 23, 2004 Federal Register PDF
34-50103	Jul. 28, 2004	Short Sales File No.: S7-23-03 Effective Date:  see release Compliance Date:  see release Federal Register PDF See also Proposed Rule, Rel. No. 34-48709; comments; Pilot Order; Additional Pilot Order Order Extending Pilot Term
IC-26520	Jul. 27, 2004	Investment Company Governance File No.: S7-03-04 Effective Date:  September 7, 2004. Dissent of Commissioners Cynthia A. Glassman and Paul S. Atkins Federal Register PDF See also Proposed Rule, Rel. No. IC-26323; comments; Response to Request for Stay; Staff Study: Exemptive Rule Amendments of 2004: The Independent Chair Condition; Letter from Commissioners Glassman and Atkins   Court of Appeals Decision Letters in Response to Court Decision   Commission Response to Remand by Court of Appeals (Rel. No. IC-26985, June 30, 2005) Federal Register PDF Concurring Views of Chairman Donaldson Concurring Views of Commissioner Goldschmid Concurring Views of Commissioner Campos Dissent of Commissioner Glassman Dissent of Commissioner Atkins Commission Order on Stay Request (Rel. No. IC-26989, July 15, 2005)
33-8442	Jul. 14, 2004	Covered Securities Pursuant to Section 18 of the Securities Act of 1933 File No.: S7-17-04 Effective Date:  August 19, 2004 Federal Register PDF
34-49973	Jul. 7, 2004	Delegations of Authority to the Director of the Division of Market Regulation, the Director of the Division of Investment Management and the Director of the Office of Compliance Inspections and Examinations Other Release No.: IC-26493 Effective Date:  July 13, 2004 Federal Register PDF
IA-2256	Jul. 2, 2004	Investment Adviser Codes of Ethics File No.: S7-04-04 Effective Date:  August 31, 2004 Compliance Date:  Feburary 1, 2005 (see extension indicated in Release No. IA-2333, footnote 274) Federal Register PDF See also Proposed Rule, Rel. No. IA-2209; and comments
Second Quarter
34-49928	Jun. 28, 2004	Collection Practices under Section 31 of the Exchange Act File No.: S7-05-04 Effective Date:  August 6, 2004, except � 240.31T is effective August 6, 2004 to January 1, 2005 Compliance Date:  see release Federal Register PDF See also Proposed Rule, Rel. No. 34-49104; and comments Notice of OMB Approval of Collection of Information Comments Due:   Comments should be received on or before August 6, 2004  Click to submit comments on S7-05-04
33-8433	Jun. 23, 2004	Disclosure Regarding Approval of Investment Advisory Contracts by Directors of Investment Companies Other Release Nos.: 34-49909; IC-26486 File No.: S7-08-04 Effective Date:  August 5, 2004, except that the amendments to Item 12 of Form N-1A, Item 18 of Form N-2, and Item 20 of Form N-33 are effective January 31, 2006 Compliance Date:  see release Federal Register PDF See also Proposed Rule, Rel. No. 33-8364; and comments
34-49831	Jun. 8, 2004	Supervised Investment Bank Holding Companies File No.: S7-22-03 Effective Date:  August 20, 2004. Federal Register PDF See also Proposed Rule, Rel. No. 34-48694; and comments Note: Correct version posted June 14, 2004.
34-49830	Jun. 8, 2004	Alternative Net Capital Requirements for Broker-Dealers That Are Part of Consolidated Supervised Entities File No.: S7-21-03 Effective Date:  August 20, 2004. Federal Register PDF See also Proposed Rule, Rel. No. 34-48690; and comments
33-8427	Jun. 7, 2004	Disclosure of Breakpoint Discounts by Mutual Funds Other Release Nos.: 34-49817; IC-26464 File No.: S7-28-03 Effective Date: July 23, 2004 Compliance Date: See Release, esp. Section II.G. Federal Register PDF See also Proposed Rule, Rel. No. 33-8347; and comments Notice of OMB Approval of Collections of Information
34-49616	Apr. 26, 2004	Foreign Bank Exemption from the Insider Lending Prohibition of Exchange Act Section 13(k) Release No.: 34-49616 File No.: S7-15-03 Effective Date: April 30, 2004, except that § 249.220f is effective June 1, 2004 Federal Register PDF See also Proposed Rule, Rel. No. 34-48481; and comments
33-8410	Apr. 21, 2004	Mandated Electronic Filing for Form ID Release No.: 34-49585, 35-27837, 39-2420, IC-26241 File No.: S7-14-04 Effective Date: April 26, 2004 Federal Register PDF See also Correction; Proposed Rule, Rel. No. 33-8399; and comments
33-8409	Apr. 19, 2004	Adoption of Updated EDGAR Filer Manual Release No.: 34-49580; 35-27836; 39-2419; IC-26420 Effective Date: April 26, 2004 Federal Register PDF
33-8408	Apr. 19, 2004	Disclosure Regarding Market Timing and Selective Disclosure of Portfolio Holdings Release No.: 33-8408 File No.: S7-26-03 Effective Date: May 28, 2004 Federal Register PDF
34-49562	Apr. 14, 2004	Revision of Rule Concerning Holding Period and Disclosure Requirements for Members' and Employees' Investment Company Transactions Release No.: 34-49562 Effective Date:  May 20, 2004 Federal Register PDF
First Quarter
33-8400	Mar. 16, 2004	Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date Release No.: 34-49424 File No.: S7-22-02 Effective Date:  August 23, 2004 Federal Register PDF See also Proposed Rule, Rel. No. 33-8106 and comments Amended Rule
34-49412	Mar. 12, 2004	Adoption of Amendments to the Rules of Practice and Delegations of Authority of the Commission File No.: S7-25-03 Effective Date:  April 19, 2004 Federal Register PDF See also Proposed Rule, Rel. No. 34-48832 and comments
33-8393	Feb. 27, 2004	Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies Release Nos.: 33-8393; 34-49333; IC-26372 File No.: S7-51-02 Effective Date:  May 10, 2004 Compliance Dates: See release Federal Register PDF See also: Proposed Rule, Rel. No. IC-25870; comments; and summary of comments Technical Amendment
33-8392	Feb. 24, 2004	Management's Report on Internal Control over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports Release Nos.: 34-49313; IC-26357 File Nos.: S7-40-02; S7-06-03 Effective Date:  August 14, 2004 Compliance Dates: See release Federal Register PDF See also S7-06-03: Proposed Rule, Rel. No. 33-8212 and comments S7-40-02: Final Rules, Rel. Nos. 33-8238, 33-8177A, 34-47262, 33-8177 Proposed Rule, Rel. No. 33-8138 and comments
34-49259	Feb. 17, 2004	Delegation of Authority to the Director of the Division of Market Regulation Effective Date: February 19, 2004 Federal Register PDF

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