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SEC Final Rules: 2005

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Additional Archives

Release No. Date Details
Fourth Quarter
34-51808A Dec. 28, 2005 Regulation NMS: Correcting Amendment
File No.: S7-10-04
Effective Date: August 29, 2005
Compliance Date: September 28, 2005
See also: Spotlight on Regulation NMS
33-8644 Dec. 21, 2005 Revisions To Accelerated Filer Definition And Accelerated Deadlines For Filing Periodic Reports
Other Release No.: 34-52989
File No.: S7-08-05
Effective Date:  December 27, 2005
Federal Register PDF
See also Proposed Rule, Rel. No. 33-8617
34-52846 Nov. 29, 2005 Adoption of Amendments to the Rules of Practice and Related Provisions and Delegations of Authority of the Commission
File No.: S7-05-05
Effective Date:  January 4, 2006
Federal Register PDF
See also Proposed Rule, Rel. No. 34-51595
33-8518A Nov. 29, 2005 Asset-Backed Securities; Technical Amendments
Other Release No.: 34-50905A
File No.: S7-21-04
Effective Date:  December 5, 2005
Compliance Date:  same as in Release No. 33-8518
Federal Register PDF
See also Final Rule, Rel. No. 33-8518; Proposed Rule, Rel. No. 33-8419; comments
33-8633 Nov. 1, 2005 Adoption of Updated EDGAR Filer Manual
Other Release No.: 34-52708; 35-28053; 39-2440; IC-27139
Effective Date:  November 7, 2005
Federal Register PDF
34-52602 Oct. 13, 2005 Adoption of Amendment to Delegation of Authority to Secretary of the Commission
Effective Date:  November 21, 2005
Federal Register PDF
Third Quarter
33-8618 Sep. 22, 2005 Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports of Companies that Are Not Accelerated Filers
Other Release No.: 34-52492
File Nos.: S7-40-02; S7-06-03
Effective Date:  The effective date published on June 18, 2003, in Release No. 33-8238 [68 FR 36636] remains August 14, 2003. The effective date of this document is September 29, 2005.
Federal Register PDF
Comments Due:  Comments should be received on or before October 31, 2005.
See also Final Rule, extension of compliance date, Rel. No. 33-8392; and Final Rule, request for comment, Rel. No. 33-8124
S7-06-03: Proposed Rule, Rel. No. 33-8212 and comments
S7-40-02:Final Rules, Rel. Nos. 33-8238, 33-8177A, 34-47262, 33-8177
Proposed Rule, Rel. No. 33-8138 and comments
33-8612 Sep. 21, 2005 Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-52477; 35-28033; 39-2439; IC-27070
Effective Date:  October 14, 2005; the incorporation by reference approval date is October 14, 2005.
Federal Register PDF
34-52407 Sep. 12, 2005 Certain Broker-Dealers Deemed Not To Be Investment Advisers, Extension of Compliance Date
Other Release Nos.: IA-2426
File No.: S7-25-99
Effective Date:   see release
Compliance Date:   see release
Federal Register PDF
See also:  
DC Circuit Court of Appeals Stay
Notice of OMB Approval of Collections of Information, Rel. No. 34-52293;
Final Rule, Rel. No. 34-51523;
Temporary Rule, Rel. No. 34-50979;
Proposed Rule, Rel. No. 34-42099;
Release No. 34-50213 (reopening comment period);
Release No. 34-50980 (reproposed rule);
comments
34-52355 Aug. 29, 2005 Regulation NMS: Extension of Compliance Date
File No.: S7-10-04
Effective Date: August 29, 2005
Compliance Date: September 28, 2005
See also: Spotlight on Regulation NMS
34-51983A Aug. 3, 2005 Amendments to the Penny Stock Rules Correction
File No.: S7-02-04
Effective Date:  September 12, 2005.
Federal Register PDF
See also: Final Rule Release No. 34-51983; Proposed Rule Release No. 34-49037;
Comments
33-8600 Aug. 3, 2005 Ownership Reports and Trading by Officers, Directors and Principal Security Holders
Other Release Nos.: 34-52202; 35-28013; IC-27025
File No.: S7-27-04
Federal Register PDF
Effective Date:  August 9, 2005, except 228.405(a), (a)(2) and (b) and 229.405(a), (a)(2) and (b) are effective September 8, 2005. 240.16b-3(d) and (e) are effective August 9, 2005, but because they clarify regulatory conditions that applied to these exemptions since they became effective on August 15, 1996, they are available to any transaction on or after August 15, 1996 that satisfies the regulatory conditions so clarified. 240.16b-7 is effective August 9, 2005, but because it clarifies regulatory conditions that applied to that exemption since it was amended effective May 1, 1991, it is available to any transaction on or after May 1, 1991 that satisfies the regulatory conditions so clarified.
See also: Comment Summary; Proposed Rule Release No. 34-49895;
Comments
34-52196 Aug. 2, 2005 Regulation NMS: Extension of Compliance Date
File No.: S7-10-04
Effective Date: See release for dates
See also: Federal Register PDF; Spotlight on Regulation NMS
34-52115 Jul. 25, 2005 Technical Amendments to Rules Setting Forth the Method for Determining Market Capitalization and Dollar Value of Average Daily Trading Volume; Application of the Definition of Narrow-Based Security Index
File No.: S7-11-01
Federal Register PDF
Effective Date:  August 29, 2005
See also: Proposed Rule Release No. 34-44288; Proposed Rule (Extension of Comment Period) Release No. 34-44475;
Final Rule Release No. 34-44724
Comments
33-8591 Jul. 19, 2005 Securities Offering Reform
Other Release Nos.: 34-52056; IC-26993; FR-75
File No.: S7-38-04
Federal Register PDF
Effective Date:  December 1, 2005
See also: Final Rule Release No. 33-8591A; Proposed Rule Release No. 33-8501;
Comments
33-8590 Jul. 18, 2005 Rulemaking for EDGAR System
Other Release Nos.: 34-52052; 35-28002; 39-2437; IC-26990
File No.: S7-16-04
Federal Register PDF
Effective Date:  September 19, 2005; except 232.11; 232.101(b); 232.313; 239.64, 249.444, 259.603, 269.8, and 274.403 (Form SE); and 239.65, 249.447, 259.604, 269.10, and 274.404 (Form TH) are effective February 6, 2006; and 232.101(a) and 232.101(c) are effective June 12, 2006
See also: Proposed Rule Release No. 33-8401;
Comments
33-8587 Jul. 15, 2005 Use of Form S-8, Form 8-K, and Form 20-F by Shell Companies
Other Release Nos.: 34-52038, International Series Rel. No. 1293
File No.: S7-19-04
Effective Date:  August 22, 2005
Federal Register PDF
See also: Proposed Rule Release No. 33-8407;
Comments
34-52029 Jul. 14, 2005 Removal from Listing and Registration of Securities Pursuant to Section 12(d) of the Securities Exchange Act of 1934
File No.: S7-25-04
Effective Date:  August 22, 2005
Compliance Date:  April 24, 2006
Federal Register PDF
See also: Proposed Rule Release No. 34-49858;
Comments
34-51983 Jul. 7, 2005 Amendments to the Penny Stock Rules
File No.: S7-02-04
Effective Date:  September 12, 2005
Federal Register PDF
See also: Proposed Rule Release No. 34-49037;
Comments
Correction
Second Quarter
IC-26985 Jun. 30, 2005 Commission Response to Remand by Court of Appeals
See Final Rule: Investment Company Governance, IC-26520, July 27, 2004
34-51808 Jun. 9, 2005 Regulation NMS: Final Rules and Amendments to Joint Industry Plans
File No.: S7-10-04
Effective Date: August 29, 2005
Compliance Dates: See section VII of this release
See also: Federal Register PDF; Dissent of Commissioners Glassman and Atkins; Spotlight on Regulation NMS
33-8573 May 19, 2005 Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-51710; 35-27970; 39-2436; IC-26872
Effective Date:  June 6, 2005
Federal Register PDF
33-8568 Apr. 15, 2005 Amendment to Rule 4-01(a) of Regulation S-X Regarding the Compliance Date for Statement of Financial Accounting Standards No. 123 (Revised 2004), Share-Based Payment
Other Release Nos.: 34-51558; 35-27959; IC-26833; FR-74
Effective Date:  April 21, 2005
Federal Register PDF
33-8567 Apr. 12, 2005 First-Time Application of International Financial Reporting Standards
Other Release Nos.: 34-51535; IS-1285
File No.: S7-15-04
Effective Date:  May 20, 2005 (Corrected)
Federal Register PDF
See also Proposed Rule, Rel. No. 33-8397A; Rel. No. 33-8397; comments
34-51523 Apr. 12, 2005 Certain Broker-Dealers Deemed Not To Be Investment Advisers
Other Release No.: IA-2376
File No.: S7-25-99
Effective Date:  April 15, 2005, except that 17 CFR 275.202(a)(11)-1(a)(1)(ii) is effective May 23, 2005
Federal Register PDF
See also:
Notice of Broker-Dealer/Investment Adviser Study, Rel. No. 34-53406
Notice of OMB Approval of Collections of Information, Rel. No. 34-52293;
Temporary Rule, Rel. No. 34-50979;
Proposed Rule, Rel. No. 34-42099;
Release No. 34-50213 (reopening comment period);
Release No. 34-50980 (reproposed rule);
comments
First Quarter
IC-26782 Mar. 11, 2005 Mutual Fund Redemption Fees; request for additional comment
File No.:   S7-11-04
Effective Date:  May 23, 2005
Compliance Date:  October 16, 2006; see also Section III of this release.
Federal Register PDF
See also Proposed Rule, Rel. No. IC-26375A; comments
Notice of OMB Approval of Collections of Information
33-8545 Mar. 2, 2005 Management’s Report on Internal Control over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports of Non-Accelerated Filers and Foreign Private Issuers; Extension of compliance dates
Other Release Nos.: 34-51293
File Nos.:   S7-40-02; S7-06-03
Effective Date:  August 14, 2003
Compliance Date:  see release
Federal Register PDF
See also Final Rule, extension of compliance dates; request for comment, 33-8618 Final Rule, extension of compliance date, Rel. No. 33-8392; and Final Rule, request for comment, Rel. No. 33-8124
S7-06-03: Proposed Rule, Rel. No. 33-8212 and comments
S7-40-02:Final Rules, Rel. Nos. 33-8238, 33-8177A, 34-47262, 33-8177
Proposed Rule, Rel. No. 33-8138 and comments
33-8530 Feb. 4, 2005 Adjustments to Civil Monetary Penalty Amounts
Other Release Nos.: 34-51136; IA-2348; IC-26748
Effective Date:  February 14, 2005
Federal Register PDF
33-8529 Feb. 3, 2005 XBRL Voluntary Financial Reporting Program on the EDGAR System
Other Release Nos.: 34-51129, 35-27944, 39-2432, IC-26747
File No.:   S7-35-04
Effective Date:  March 16, 2005
Federal Register PDF
See also Proposed Rule, Rel. No. 33-8496; comments
33-8528 Feb. 3, 2005 Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-51128; 35-27943; 39-2431; IC-26746
Effective Date:  February 7, 2005
Federal Register PDF
34-50979 Jan. 6, 2005 Certain Broker-Dealers Deemed Not To Be Investment Advisers
File No.:   S7-25-99
Effective Date:  January 6, 2005
Federal Register PDF
See also Proposed Rule, Rel. No. 34-42099; Release No. 34-50213 (reopening comment period); Release No. 34-50980 (reproposed rule); comments

 

http://www.sec.gov/rules/final/finalarchive/finalarchive2005.shtml


Modified: 05/28/2014