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SEC Final Rules

Final rules currently available include:

Third Quarter | Second Quarter | First Quarter

Additional Archives

Release No. Date Details
Third Quarter
34-72936 August. 27, 2014 Nationally Recognized Statistical Rating Organizations
File No.: S7-18-11
Effective Date:  The amendments to existing rules are effective 60 days after this release is published in the Federal Register; except that the amendments to § 240.17g-3(a)(7) and (b)(2) and Form NRSRO are effective on January 1, 2015; and the amendments to § 240.17g-2(a)(9), (b)(13), (b)(14), and (b)(15), § 240.17g-5(a)(3)(iii)(E), (c)(6), (c)(7), and (c)(8), § 240.17g-7(a) and (b), and Form ABS-15G are effective nine months after this release is published in the Federal Register. New rules § 240.15Ga-2, § 240.17g-8, § 240.17g-9, § 240.17g-10, and Form ABS Due Diligence-15E are effective nine months after this release is published in the Federal Register.
See also:  Proposed Rule Release No. 33-9408
33-9616 Jul. 23, 2014 Money Market Fund Reform; Amendments to Form PF (Corrected to conform to Federal Register version)
File No.: S7-03-13
Effective Date:  October 14, 2014
Compliance Dates:  see section III.N. of Release
See also:  Rule 2a-7 Amendments Adopted by SEC in July 2014 Marked to Show Changes from Previous Rule 2a-7; Proposed Rule Release No. 33-9408
Federal Register (79 FR 47735): HTML | PDF | text | XML
Second Quarter
34-72472 Jun. 25, 2014 Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities
File No.: S7-02-13
Effective Date:  September 8, 2014
See also:  Proposed Rule Release No. 34-69490
Federal Register (79 FR 47277): HTML | PDF | text | XML
33-9600 Jun. 20, 2014 Adoption of Updated EDGAR Filer Manual
Other Release No.: 34-72394; 39-2497; IC-31081
Effective Date:  June 20, 2014
Federal Register (79 FR 35280): HTML | PDF | text | XML
First Quarter
33-9554 Mar. 4, 2014 Adoption of Updated EDGAR Filer Manual
Other Release No.: 34-71643; 39-2496; IC-30972
Effective Date:  March 10, 2014
Federal Register (79 FR 13216): HTML | PDF | text | XML
34-71288 Jan. 13, 2014 Temporary Stay of Final Rule on Registration of Municipal Advisors (Corrected to conform to Federal Register version)
Effective Date:  Effective January 13, 2014, 17 CFR 240.15Ba1-1 through 15Ba1-8 and 240.15Bc4-1 and 17 CFR 249.1300, 249.1310, 249.1320, and 249.1330 are stayed until July 1, 2014.
File No.: S7-45-10
See also:  Final Rule Release No. 34-70462; Interim Temporary Final Rule Release No. 34-70468, Extension of Temporary Registration of Municipal Advisors; Proposed Rule Release No. 34-63576; Small Entity Compliance Guide
Federal Register (79 FR 2777): HTML | PDF | text | XML
34-71238 Jan. 6, 2014 Responsibilities of the General Counsel
Effective Date:  January 10, 2014
Federal Register (79 FR 1734): HTML | PDF | text | XML

 

http://www.sec.gov/rules/final.shtml


Modified: 08/27/2014