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SEC Final Rules

Final rules currently available include:

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Additional Archives

Release No. Date Details
Fourth Quarter
34-73639 Nov. 19, 2014 Regulation Systems Compliance and Integrity
File No.: S7-01-13
Effective Date: 60 days after date of publication in the Federal Register
Compliance Date: see Section IV.F of this release.
See also: Staff Guidance on Current SCI Industry Standards
34-73407 Oct. 22, 2014 Credit Risk Retention
File No.: S7-14-11
Effective Date: One year after the date of publication in the Federal Register with respect to asset-backed securities collateralized by residential mortgages and two years after the date of publication in the Federal Register with respect to all other classes of asset-backed securities.
See also:  Division of Economic and Risk Analysis White Paper: Qualified Residential Mortgage: Background Data Analysis on Credit Risk Retention; Proposed Rule Release Nos. 34-70277, 34-64603 and 34-64148; Comments received
33-9668 Oct. 20, 2014 Adoption of Updated EDGAR Filer Manual-
Other Release Nos.: 34-73390; 39-2498; IC-312941
Effective Date:  October 29, 2014
Federal Register (79 FR 64311): HTML | PDF | text | XML
Third Quarter
34-73229 Sep. 26, 2014 Delegation of Authority to the Chief Financial Officer
Effective Date:  September 29, 2014
Federal Register (79 FR 59104): HTML | PDF | text | XML
33-9638 Sep. 4, 2014 Asset-Backed Securities Disclosure and Registration
Other Release No.: 34-72982
File No.: S7-08-10
Effective Date:  November 24, 2014
See also:  Proposed Rule Release Nos. 33-9552, 33-9244 and 33-9117, Federal Register Correction (79 FR 58674), Federal Register Correction (79 FR 66607), Comments received
Federal Register (79 FR 57184): HTML | PDF | Text | XML
34-72936 Aug. 27, 2014 Nationally Recognized Statistical Rating Organizations (Updated to include Federal Register corrections dated 10/14/14)
File No.: S7-18-11
Effective Date:  The amendments to existing rules are effective November 14, 2014; 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 June 15, 2015. New rules § 240.15Ga-2, § 240.17g-8, § 240.17g-9, § 240.17g-10, and Form ABS Due Diligence-15E are effective June 15, 2015.
See also:  Proposed Rule Release No. 34-64514; Correction, Release No. 34-72936A [Federal Register verson (79 FR 61576)]; Small Entity Compliance Guide
Federal Register (79 FR 55077): HTML | PDF | text | XML
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 47736): 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: 11/19/2014