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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
34-75611 Aug. 5, 2015

Registration Process for Security-Based Swap Dealers and Major Security-Based Swap Participants
File No.: S7-40-11
Effective Date: October 13, 2015
Compliance Date: The later of: six months after the date of publication in the Federal Register of a final rule release adopting rules establishing capital, margin and segregation requirements for SBS Entities; the compliance date of final rules establishing recordkeeping and reporting requirements for SBS Entities; the compliance date of final rules establishing business conduct requirements under Exchange Act Sections 15F(h) and 15F(k); or the compliance date for final rules establishing a process for a registered SBS Entity to make an application to the Commission to allow an associated person who is subject to a statutory disqualification to effect or be involved in effecting security-based swaps on the SBS Entity's behalf.
Counting Date: For purposes of complying with the registration and other requirements, persons are not required to begin calculating whether their activities meet or exceed the thresholds established in Exchange Act Rules 3a71-2, 3a67-3, and 3a67-5 until two months prior to the Compliance Date of these rules.
See also: Proposed Rule Release No: 34-65543
Federal Register (80 FR 48963): HTML | PDF | text | XML

33-9877 Aug. 5, 2015 Pay Ratio Disclosure
Other Release No.: 34-75610
File No.: S7-07-13
Effective Date: October 19, 2015
Compliance Date: Registrants must comply with the final rule for the first fiscal year beginning on or after January 1, 2017.
See also: Proposed Rule Release No: 34-65543
Federal Register (80 FR 50103): HTML | PDF | text | XML
33-9874 Aug. 3, 2015

Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-75586; 39-2505; IC-31735
Effective Date: August 24, 2015
Federal Register (80 FR 51123): HTML | PDF | text | XML

34-75388 Jul. 8, 2015 Freedom of Information Act Regulations: Fee Schedule, Addition of Appeals Time Frame, and Miscellaneous Administrative Changes
File No.: S7-07-14
Effective Date: August 14, 2015
See also: Proposed Rule Release No: 34-72440
Federal Register (80 FR 41432): HTML | PDF | text | XML
Second Quarter
33-9849 Jun. 18, 2015 Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-75242; 39-2504; IC-31680
Effective Date:
  June 29, 2015
Federal Register (80 FR 36913): HTML | PDF | text | XML
33-9773 May 18, 2015 Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-74982, 39-2503, IC-31604
Effective Date:
  May 26, 2015
Federal Register (80 FR 29942): HTML | PDF | text | XML
33-9746 Apr. 13, 2015 Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-74714; 39-2502; IC-31551
Effective Date:
  April 20, 2015
Federal Register (80 FR 21649): HTML | PDF | text | XML
First Quarter
33-9741 Mar. 25, 2015 Amendments to Regulation A (Corrected to Conform to Federal Register Version)
File No.: S7-11-13
Effective Date:  June 19, 2015
See also: Federal Register (80 FR 21805): HTML | PDF | text | XML
34-74246 Feb. 11, 2015 Security-Based Swap Data Repository Registration, Duties, and Core Principles (Corrected to Conform to Federal Register Version)
File No.: S7-35-10
Effective Date:  May 18, 2015
Compliance Date:  March 18, 2016
See also: Proposed Rule Release Nos. 34-69491, 34-63347, and Comments
Federal Register (80 FR 14437): HTML | PDF | text | XML
34-74244 Feb. 11, 2015 Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information (Corrected to Conform to Federal Register Version)
File No.: S7-34-10
Effective Date:  May 18, 2015
Compliance Date:  For Rules 900, 907, and 909 of Regulation SBSR, the compliance date is May 18, 2015. For Rules 901, 902, 903, 904, 905, 906, and 908 of Regulation SBSR, compliance dates are being proposed in a separate release, 34-74245 (February 11, 2015).
See also: Proposed Rule Release Nos. 34-69491, 34-69490, 34-63346, Comments, and Administrative Notice
Federal Register (80 FR 14563): HTML | PDF | text | XML
33-9720 Feb. 3, 2015 Asset-Backed Securities Disclosure and Registration (Technical Amendment)
Other Release No.: 34-74194
File No.: S7-08-10
Effective Date:  February 6, 2015
Federal Register (80 FR 6652): HTML | PDF | text | XML

 

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


Modified: 09/03/2015