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SEC Final Rules: 2003

Archive of older SEC Final Rules available include:

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Additional Archives

Release No. Date Details
Fourth Quarter
34-48949 Dec. 18, 2003 Recordkeeping Requirements for Registered Transfer Agents
File No.: S7-13-03
Effective Date:  January 28, 2004
Federal Register PDF
See also Proposed Rule, Rel. No. 34-48036 and comments
IA-2204 Dec. 17, 2003 Compliance Programs of Investment Companies and Investment Advisers
Release No.: IC-26299
File No.: S7-03-03
Effective Date:  February 5, 2004
Compliance Dates:  (see text of the release)
Federal Register PDF
See also Proposed Rule, Rel. No. IC-25925; comments; and Summary of Comments
Notice of OMB Approval of Collections of Information
34-48931 Dec. 16, 2003 Processing Requirements for Cancelled Security Certificates
File No.: S7-18-00
Effective Date:  January 22, 2004
Federal Register PDF
See also Proposed Rule and comments
33-8340 Nov. 24, 2003 Disclosure Regarding Nominating Committee Functions and Communications Between Security Holders and Boards of Directors
Release Nos.: 34-48825; IC-26262
File No.: S7-14-03
Effective Date:  January 1, 2004
Compliance Date:  (see Compliance Dates section of the release)
Federal Register PDF
See also Proposed Rule, Rel. No. 34-48301 and comments
33-8335 Nov. 10, 2003 Purchases of Certain Equity Securities by the Issuer and Others
Release Nos.: 34-48766; IC-26252
File No.: S7-50-02
Effective Date:  December 17, 2003, except §§ 270.23c-1(a)(11) and 274.201 are effective July 15, 2004.
Compliance Date:  (see Compliance Dates section of the release)
Federal Register PDF
See also Proposed Rule, Rel. No. 33-8160; comments; and comment summary
Third Quarter
33-8294 Sep. 29, 2003 Amendments to Investment Company Advertising Rules
Release Nos.: 34-48558; IC-26195
File No.: S7-17-02
Effective Date:  November 15, 2003.
Compliance Date:  (see section II.F. of the release)
Federal Register PDF
See also Proposed Rule, Rel. No. 34-45953; comments; and comment summary
IA-2176 Sep. 25, 2003 Custody of Funds or Securities of Clients by Investment Advisers
File No.: S7-28-02
Effective Date:  November 5, 2003.
Compliance Date:  April 1, 2004.
Federal Register PDF
See also Proposed Rule, Rel. No. IA-2044
Staff Responses to Questions About Amended Custody Rule
33-8255A Sep. 4, 2003 Adoption of Updated EDGAR Filer Manual; Correction
Release No.: 34-48204A; 35-27700A; 39-2409A; IC-26103A
Federal Register PDF
See also Final Rule, Rel. No. 33-8255
33-8267 Aug. 19, 2003 Adoption of Filing Fee Account Rule
Release No.: 34-48361; 35-27714; 39-2410; IC-26153
Effective Date:  October 21, 2003
Federal Register PDF
34-48272 Aug. 1, 2003 Broker-Dealer Exemption from Sending Certain Financial Information to Customers
Release No.: 34-48272
File No.: S7-48-02
Effective Date:  September 5, 2003
Federal Register PDF
33-8255 July 22, 2003 Adoption of Updated EDGAR Filer Manual
Release No.: 34-48204; 35-27700; 39-2409; IC-26013
Effective Date:  July 31, 2003
Federal Register PDF
34-48167 July 11, 2003 Electronic Filing by Investment Advisers; Amendments to Form ADV; Technical Amendments
Release No.: IA-2144
File No.: S7-10-00
Effective Date:  July 31, 2003
Federal Register PDF
See also IA-1897; Proposed Rule, Rel. No. 34-42620 and comments
Second Quarter
IC-26077 June 16, 2003 Certain Research and Development Companies
File No.: S7-47-02
Effective Date:  August 19, 2003
See also Proposed Rule, Rel. No. IC-25835 and comments
33-8240 June 11, 2003 Rules of Practice
Release Nos.: 34-48018; 35-27686; 39-2408; IA-2137; IC-26074
File No.: S7-04-03
Effective Date:  July 17, 2003
See also Proposed Rule, Rel. No. 33-8190 and comments
33-8238 June 5, 2003 Management's Reports on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports
Release Nos.: 34-47986; IC-26068
File Nos.: S7-40-02; S7-06-03
Effective Date:  August 14, 2003.
Compliance Dates: See release for details.
See also Final Rules, Rel. Nos. 33-8177A, 33-8177, 34-47262;
Proposed Rules, Rel. Nos. 33-8212 and comments; 33-8138 and comments
34-47890 May 20, 2003 Improper Influence on Conduct of Audits
Release No.: IC-26050
File No.: S7-39-02
Effective Date:  June 27, 2003
See also: Proposed Rule Rel. No. 34-46685 and comments
33-8230 May 7, 2003 Mandated Electronic Filing and Website Posting for Forms 3, 4 and 5
Release No.: 34-47809, 35-27674, IC-26044
File No.: S7-52-02
Effective Date:  June 30, 2003.
Compliance Date: June 30, 2003. See release for additional information.
See also: Proposed Rule Rel. No. 33-8170 and comments;
Summary of Comments
33-8224 Apr. 30, 2003 Adoption of Updated EDGAR Filer Manual
Release Nos: 34-47766; 35-27672; 39-2407; IC-26032
Effective Date:  May 7, 2003; See Release for further information.
IC-26031 Apr. 29, 2003 Customer Identification Programs for Mutual Funds
File No.: S7-26-02
Effective Date:  June 9, 2003
Compliance Date: October 1, 2003. See release for additional information.
See also: Proposed Rule Rel. No. IC-25667, comments and Questions and Answers Regarding the Mutual Fund Customer Identification Program Rule
34-47752 Apr. 29, 2003 Customer Identification Programs For Broker-Dealers
File No.: S7-25-02
Effective Date:  June 9, 2003
Compliance Date:  October 1, 2003.
See also: Proposed Rule Rel. No. 34-46192 and comments
33-8220 Apr. 9, 2003 Standards Relating to Listed Company Audit Committees
Release Nos: 34-47654; IC-26001
File No.: S7-02-03
Effective Date:  April 25, 2003
Compliance Dates:  Please see release.
See also: Proposed Rule Rel. No. 33-8173 and comments
33-8128A Apr. 8, 2003 Acceleration of Periodic Report Filing Dates and Disclosure Concerning Website Access to Reports
Release No.: 34-46464A; FR-63A
File No.: S7-08-02
Effective Date:  April 14, 2003
See also: Final Rule Rel. No. 33-8128;
Proposed Rule Rel. No. 33-8089 and comments
First Quarter
33-8216 Mar. 27, 2003 Filing Guidance Related To: Conditions for Use of Non-GAAP Financial Measures; and Insider Trades During Pension Fund Blackout Periods
Release Nos: 34-47583; IC-25983; FR-69
File Nos.: S7-43-02 and S7-44-02
Effective Date:  March 28, 2003
See also: Final Rules, Rel. Nos. 34-47225 and 33-8176;
Proposed Rules, Rel. Nos. 34-46778 and comments; 33-8145 and comments
33-8177A Mar. 26, 2003 Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002
Release No.: 34-47235A
File No.: S7-40-02
Effective Date:  March 31, 2003
See also: Final Rule Rel. No. 33-8177;
Final Rule Rel. No. 34-47262;
Proposed Rule Rel. No. 33-8138 and comments
33-8183A Mar. 26, 2003 Strengthening the Commission's Requirements Regarding Auditor Independence
Release Nos: 34-47265A; 35-27642A; IC-25915A; IA-2103A, FR-68
File No.: S7-49-02
Effective Date:  March 31, 2003
See also: Final Rule Rel. No. 33-8183;
Proposed Rule Rel. No. 33-8154 and comments
34-44992A Mar. 26, 2003 Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
File No.: S7-26-98
Effective Date: May 2, 2003
Notice of OMB Approval of Collections of Information
See also: Final Rule Rel. No. 34-44992; Proposed Rule Rel. No. 34-40518 and comments
34-47480 Mar. 11, 2003 Customer Protection Reserves and Custody of Securities: Delegation of Authority to the Director of the Division of Market Regulation
File No.: S7-20-02
Effective Date: April 16, 2003
See also: Release No. 34-47683;
Proposed Rule Rel. No. 34-46019 and comments
33-8193 Feb. 20, 2003 Regulation Analyst Certification
Release No.: 34-47384
File No.: S7-30-02
Effective Date: April 14, 2003
Notice of OMB Approval of Collections of Information
See also: Proposed Rule Rel. No. 33-8119 and comments; Other Rule, Rel. No.34-47591
34-47364 Feb. 14, 2003 Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934
File No.: S7-41-02
Effective Date: March 26, 2003
Compliance Date: September 30, 2003
See also: Order Extending Temporary Exemption;
Proposed Rule Rel. No. 34-46745 and comments
See also Bank Dealer Compliance Guide
IC-25934 Feb. 13, 2003 Custody of Investment Company Assets with a Securities Depository
File No.: S7-22-01
Effective Date: March 28, 2003
See also: Proposed Rule Rel. No. IC-25266 and comments
33-8188 Jan. 31, 2003 Disclosure of Proxy Voting Policies and Proxy Voting Records by Registered Management Investment Companies
Release Nos.: 34-47304, IC-25922
File No.: S7-36-02
Effective Date: April 14, 2003
Compliance Date: See Section III of this Release.
Comments Due: March 14, 2003
See also: Proposed Rule Rel. No. 33-8131 and comments
IA-2106 Jan. 31, 2003 Proxy Voting by Investment Advisers
File No.: S7-38-02
Effective Date: March 10, 2003
Compliance Date: August 6, 2003
See also: Proposed Rule Rel. No. IA-2059 and comments
33-8185 Jan. 29, 2003 Implementation of Standards of Professional Conduct for Attorneys
Release Nos: 34-47276; IC-25919
File No.: S7-45-02
Effective Date: August 5, 2003
See also: Proposed Rule Rel. No. 33-8150 and comments
33-8183 Jan. 28, 2003 Strengthening the Commission's Requirements Regarding Auditor Independence
Release Nos: 34-47265; 35-27642; IC-25915; IA-2103, FR-68
File No.: S7-49-02
Effective Date: May 6, 2003.
Transition Dates: See text of Release.
Notice of OMB Approval of Collections of Information
See also Correction to Final Regulations, Release No. 33-8183a; Proposed Rule Rel. No. 33-8154 and comments
33-8182 Jan. 28, 2003 Disclosure in Management's Discussion and Analysis about Off-Balance Sheet Arrangements and Aggregate Contractual Obligations
Release Nos: 34-47264; FR-67; International Series No. 1266
File No.: S7-42-02
Effective Date: April 7, 2003
Compliance Date: See text of Release.
See also: Proposed Rule Rel. No. 33-8144 and comments
34-47262 Jan. 27, 2003 Certification of Management Investment Company Shareholder Reports and Designation of Certified Shareholder Reports as Exchange Act Periodic Reporting Forms; Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002
Release No.: IC-25914
File No.: S7-33-02 and S7-40-02
Effective Date: March 1, 2003.
Compliance Date: See Section III of this Release.
See also: Final Rules, Rel. Nos. 33-8238, 33-8177A; 33-8177;
Proposed Rules, Rel. Nos. 33-8138 and comments; 34-46441 and comments
33-8180 Jan. 24, 2003 Retention of Records Relevant to Audits and Reviews
Release Nos.: 34-47241; IC-25911; FR-66
File No.: S7-46-02
Effective Date: March 3, 2003
Compliance Date: October 31, 2003
See also: Proposed Rule Rel. No. 33-8151 and comments
33-8177 Jan. 23, 2003 Disclosure Required by Sections 406 and 407 of the Sarbanes-Oxley Act of 2002
Release Nos.: 34-47235
File No.: S7-40-02
Effective Date: March 3, 2003.
Comments Due: February 18, 2003; see text for details
Compliance Date: See text of release.
(Note: Text of release corrected Jan. 24, 2003, 9:35 am)
See also: Correction to Final Regulations, Rel. No. 33-8177a; Final Rule Rule Rel. No. 34-47262; Proposed Rule Rel. No. 33-8138 and comments
34-47225 Jan. 22, 2003 Insider Trades During Pension Fund Blackout Periods
Release Nos.: IC-25909
File No.: S7-44-02
Effective Date: January 26, 2003
Compliance Date: March 31, 2003
See also: Final Rule Rel. No. 33-8216;
Proposed Rule Rel. No. 34-46778 and comments
33-8176 Jan. 22, 2003 Conditions for Use of Non-GAAP Financial Measures
Release Nos.: 34-47226; FR-65
File No.: S7-43-02
Effective Date: March 28, 2003
Compliance Date: See text of release.
See also: Final Rule Rel. No. 33-8216;
Proposed Rule Rel. No. 33-8145 and comments
IC-25888 Jan. 14, 2003 Transactions of Investment Companies with Portfolio and Subadviser Affiliates
File No.: S7-13-02
Effective Date: February 24, 2003
Compliance Date: April 23, 2003. Section II of this document contains more information on transition prior to the compliance date.
See also: Proposed Rule Rel. No. IC-25557 and comments

 

http://www.sec.gov/rules/final/finalarchive/finalarchive2003.shtml


Modified: 01/15/2009