SEC Final Rules

Final rules currently available include:

Second Quarter |  First Quarter

Release No. Date Details
Second Quarter
33-10071 Apr. 27, 2016 Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-77693; 39-2509; IC-32091
Effective Date: Date of publication in the Federal Register
34-77617 Apr. 14, 2016

Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
File No.: S7-25-11
Effective Date: 60 days after publication in the Federal Register
Compliance Date: The compliance dates are discussed in Section IV.B of this release
See also:  Proposed Rule Release No. 34-64766

First Quarter
34-77104 Feb. 10, 2016

Security-Based Swap Transactions Connected with a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed By Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent; Security-Based Swap Dealer De Minimis Exception (Corrected to Conform to Federal Register Version)
File No.: S7-06-15
Effective Date: April 19, 2016
Compliance Date: The later of (a) February 21, 2017 or (b) the SBS Entity Counting Date, as defined in Section VII.
See also:  Proposed Rule Release No. 34-74834
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