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SEC Final Rules: 2002

Archive of older SEC Final Rules available include:

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Additional Archives

Release No. Date Details
Fourth Quarter
33-8171 Dec. 23, 2002 Exemption for Standardized Options From Provisions of the Securities Act of 1933 and From the Registration Requirements of the Securities Exchange Act of 1934
Release No.: 34-47082
File No.: S7-29-02
Effective Date: January 2, 2003
See also: Proposed Rule Rel. No. 33-8114 and comments
34-47013 Dec. 17, 2002 Repeal of the Trade-Through Disclosure Rules for Options
File No.: S7-18-02
Effective Date: December 27, 2002
See also: Proposed Rule Rel. No. 34-46002 and comments
IA-2091 Dec. 12, 2002 Exemption for Certain Investment Advisers Operating Through the Internet
File No.: S7-10-02
Effective Date: January 20, 2003
See also: Proposed Rule Rel. No. IA-2028 and comments
33-8147 Nov. 13, 2002 Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Annuity Contracts
Release No.: IC-25802;
File No.: S7-07-02
Effective Date: December 23, 2002.
Compliance Dates:
Initial Compliance Date: Form N-4 or Form N-6 on or after January 1, 2003.
Final Compliance Date: Form N-4 or N-6 filed on or after January 1, 2003, and no later than January 1, 2004.
See also: Proposed Rule Rel. No. 33-8087 and comments
34-46667 Oct. 16, 2002 Delegation of Authority to the Director of the Division of Market Regulation
Effective Date: October 23, 2002
Third Quarter
34-46473 Sept. 9, 2002 Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products
File No.: S7-17-01
Effective Date: September 13, 2002, except § 240.17a-4(l) and (m) will be effective May 2, 2003.
See also: Proposed Rules, Rel. Nos. 34-44996, 34-44854 and comments
34-46471 Sept. 6, 2002 Confirmation Requirements for Transactions of Security Futures Products Effected in Futures Accounts
File No.: S7-19-02
Effective Date: October 15, 2002
Compliance Dates: October 15, 2002 and June 1, 2003. Section V of this document contains more information on transition prior to June 1, 2003.
See also: Proposed Rule Rel. No. 34-46014 and comments
33-8128 Sept. 5, 2002 Acceleration of Periodic Report Filing Dates and Disclosure Concerning Website Access to Reports
File No.: S7-08-02
Effective Date: November 15, 2002.
Compliance Dates: See release.
Release Nos.: 34-46464; FR-63
See also: Technical Amendments to Final Rule Release No. 33-8128;
Proposed Rule Rel. No. 33-8089 and comments
33-8124 Aug. 29, 2002 Certification of Disclosure in Companies' Quarterly and Annual Reports
File No.: S7-21-02
Effective Date: August 29, 2002
Comment Date: Comments on the extension of the certification requirement to definitive proxy and information statements should be received on or before 30 days after publication in the Federal Register.
Release Nos.: 34-46427, IC-25722
See also: Revised statement by the Division of Corporation Finance regarding compliance by asset-backed issuers with Exchange Act Rules 13a-14 and 15d-14 and Release No. 34-46441, IC-25723, "Certification of Management Investment Company Shareholder Reports and Designation of Certified Shareholder Reports as Exchange Act Periodic Reporting Forms;"
Proposed Rules, Rel. Nos. 33-8109, 34-46079 and comments
34-46421 Aug. 27, 2002 Ownership Reports and Trading by Officers, Directors and Principal Security Holders
File No.: S7-31-02
Effective Date: August 29, 2002
Comment Date: Comments on the amended rules must be received on or before September 30, 2002.
Release Nos.: 34-46421; 35-27563; IC-25720
See also: Release. No. 34-46313 and comments
34-46418 Aug. 27, 2002 Delegation of Authority to the General Counsel of the Commission
Effective Date: September 3, 2002
34-46292 Aug. 1, 2002 Customer Margin Rules Relating to Security Futures
File No.: S7-16-01
Effective Date: September 13, 2002
See also: Proposed Rules, Rel. Nos. 34-44996, 34-44853 and comments
IC-25666 July 18, 2002 Investment Company Mergers
File No.: S7-21-01
Effective Date: July 25, 2002.
Compliance Date: October 25, 2002. See Section II of this document for more information.
See also: Proposed Rule Rel. No. IC-25259 and comments
34-46169 July 8, 2002 Assessments on Security Futures Transactions and Fees on Sales of Securities Resulting from Physical Settlement of Security Futures Pursuant to Section 31 of the Exchange Act
File No.: S7-14-02
Effective Date: August 12, 2002
See also Proposed Rule, Rel. No. 34-45854 and comments
Second Quarter
34-46106 June 24, 2002 Technical Amendments to Rules and Forms Due to the National Securities Markets Improvement Act of 1996 and the Gramm-Leach-Bliley Act
Release No.: IC-25621
Effective Date: July 8, 2002
34-45956 May 17, 2002 Cash Settlement and Regulatory Halt Regulations for Security Futures Products
File No.: S7-15-01
Effective Date: June 24, 2002
See also Proposed Rule, Rel. No. 34-44743 and comments
33-8099 May 14, 2002 Mandated EDGAR Filing for Foreign Issuers
File No.: S7-18-01
Effective Date: November 4, 2002, except for §232.101(d), §232.101(b)(10), and §232.101(c)(9), which are effective May 24, 2002.
Comments Due: Comments are due on or before June 24, 2002.
See also Proposed Rule, Rel. No. 33-8016 and comments
IC-25560 Apr. 30, 2002 Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate
File No.: S7-20-00
Effective Date: May 10, 2002
See also Proposed Rule, Rel. No. IC-24775 and comments
34-45848 April 30, 2002 Delegation of Authority to the Secretary of the Commission
Effective Date: May 6, 2002.
33-8091 Apr. 17, 2002 Amendment to Definition of "Equity Security"
File No.: S7-11-02
Effective Date: Effective June 7, 2002.
Comment Date: Comments must be received on or before May 23, 2002.
33-8088 Apr. 12, 2002 Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Life Insurance Policies
File No.: S7-9-98
Effective Date: June 1, 2002
Release Nos.: 33-8088; IC-25522
First Quarter
33-8071 Mar. 20, 2002 Approved Information Collections
Effective Date: March 27, 2002
Release Nos.: 34-45601 35-27505; 39-2396; IC-25471; and IA-2021
33-8070 Mar. 18, 2002 Requirements for Arthur Andersen LLP Auditing Clients
File No.: S7-03-02
Effective Date: March 18, 2002, except Temporary Notes 1T, 2T and 3T preceding § 210.3-01; § 228.304T; Temporary Notes 1T and 2T in § 228.310; §§ 228.601T, 229.304T, 229.601T, 230.427T; Instruction 2T following paragraph (b)(2)(iv) in § 230.428; and the amendments to Form 20-F will be effective from March 18, 2002 to December 31, 2002.
34-45371 Jan. 31, 2002 Exemption of Transactions in Certain Options and Futures on Security Indexes from Section 31 of the Exchange Act
Effective Date: February 1, 2002
34-45291 Jan. 16, 2002 Amendments to Rule 31-1, Securities Transactions Exempt From Transaction Fees
File No.:   S7-02-02
Effective Date: January 16, 2002

 

http://www.sec.gov/rules/final/finalarchive/finalarchive2002.shtml


Modified: 10/16/2014