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SEC Final Rules: 2006

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Additional Archives

Release No. Date Details
Fourth Quarter
33-8765 Dec. 22, 2006 Executive Compensation Disclosure
Other Release No.: 34-55009
File No.: S7-03-06
Effective Date:  December 29, 2006
Federal Register version
Comments Due:   January 29, 2007
Comments received are available.
See also: Final Rule Release Nos. 33-8732A; Proposed Rule Release Nos. 33-8735 and 33-8655
33-8760 Dec. 15, 2006 Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers and Newly Public Companies
Other Release No.: 34-54942
File No.: S7-06-03
Effective Date:  February 20, 2007; see effective date section of the release for temporary item exceptions.
Comments Due:   January 22, 2007
Comments received are available.
Federal Register version
See also: Final Rule Release Nos. 33-8730A; 33-8238; Proposed Rule Release Nos. 33-8212 and 33-8731 and comments
34-54867 Dec. 4, 2006 Delegation of Authority to Chief Administrative Law Judge
Effective Date:  January 8, 2007
Federal Register version
34-54864 Dec. 4, 2006 Electronic Filing of Transfer Agent Forms
File No.: S7-14-06
Effective Date:  January 11, 2007
Federal Register version
See also:   Proposed Rule 34-54356 and comments
34-54684 Nov. 1, 2006 Amendments to the Tender Offer Best-Price Rules
Other Release No.: IC-27542
File No.: S7-11-05
Effective Date:  December 8, 2006
Federal Register version
See also:   Proposed Rule 34-52968 and comments
IC-27538 Oct. 25, 2006 Definition of Eligible Portfolio Company under the Investment Company Act of 1940
File No.: S7-37-04
Effective Date:  November 30, 2006
Federal Register version
See also: Proposed Rules IC-27539; Release No. IC-26647; and comments
Third Quarter
IC-27504 Sep. 27, 2006 Mutual Fund Redemption Fees
File Nos.: S7-06-06; File No. 4-512
Effective Date:  December 4, 2006
Compliance Date:  See Section III of Release
Federal Register version
See also: Proposed Rule Release No. IC-27255; comments on S7-06-06; and comments on 4-512
33-8732A Aug. 29, 2006 Executive Compensation and Related Person Disclosure (conforming amendments)
Release No. 33-8732A reflects revision of Release No. 33-8732 to conform with the publication of two releases in the Federal Register — Release No. 33-8732A and Release No. 33-8735. Release 33-8732A reflects the addition of cross references to proposing release No. 33-8735.
Other Release Nos.: 34-54302A; IC-27444A
File No.: S7-03-06
Effective Date:  November 7, 2006
Compliance Dates:  see Release, page 2.
Comments Due:  October 23, 2006
Comments received are available for this proposal.
Federal Register version
See also: Proposed Rule Release Nos. 33-8735; 33-8655
33-8730A Aug. 9, 2006 Internal Control Over Financial Reporting In Exchange Act Periodic Reports of Foreign Private Issuers That Are Accelerated Filers
[Corrected August 11, 2006]
Other Release No.: 34-54294A
File No.: S7-06-03
Effective Date:  September 14, 2006; except Temporary ยง210.2-02T, Temporary Item 15T of Form 20-F, and Temporary Instruction 2T of General Instruction B(6) of Form 40-F are effective from September 14, 2006 to December 31, 2007
Federal Register version
See also: Proposed Rule Release Nos. 33-8731; 33-8212; and Final Rule Release No. 33-8238
33-8724 Jul. 18, 2006 Amendments to the Informal and Other Procedures; Public Company Accounting Oversight Board Budget Approval Process
Other Release No.: 34-54168
Effective Date:  August 23, 2006
Federal Register version
34-54106 Jul. 6, 2006 Joint Final Rules: Application of the Definition of Narrow-Based Security Index to Debt Securities Indexes and Security Futures on Debt Securities
File No.: S7-07-06
Effective Date:  August 14, 2006
Federal Register version
Second Quarter
33-8713 Jun. 20, 2006 Fund of Funds Investments
Other Release No.: IC-27399
File No.: S7-18-03
Effective Date:  July 31, 2006
Compliance Date:  January 2, 2007
Federal Register version
See also:  FAQ re: Disclosure of Fund of Funds Expenses
34-53937 Jun. 5, 2006 Amendments to Plan of Organization and Operation Effective During Emergency Conditions
File No.: S7-10-06
Effective Date: June 9, 2006
Federal Register version; see also Correction
34-53829 May 18, 2006 Regulation NMS: Extension of Compliance Dates
File No.: S7-10-04
Effective Date: May 24, 2006
Federal Register version
See also: Spotlight on Regulation NMS
34-53755 May 3, 2006 Description of Duties of the General Counsel
Effective Date:  May 3, 2006
Federal Register version
First Quarter
IA-2504 Mar. 30, 2006 Technical Amendments to Form ADV, Form ADV-W, Form ADV-H, Form ADV-E
Effective Date:  April 7, 2006
Federal Register version
33-8590A Feb. 8, 2006 Rulemaking for EDGAR System (technical amendment)
Other Release Nos.: 34-52052A; 35-28002A; 39-2437A; IC-26990A
File No.: S7-16-04
Effective Date:  February 8, 2006
Federal Register version
See also: Final Rule Release No. 33-8590; Proposed Rule Release No. 33-8401;
Comments
33-8591A Feb. 6, 2006 Securities Offering Reform; Correction (technical amendments)
Other Release Nos.: 34-52056A; IC-26993A; FR-75A; International Series Release No. 1294A
File No.: S7-38-04
Effective Date:  February 13, 2006
Federal Register version
See also: Final Rule Release No. 33-8591; Proposed Rule Release No. 33-8501;
Comments
33-8656 Jan. 27, 2006 Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-53186; 35-28081; 39-2441; IC-27219
Effective Date:  February 6, 2006
Federal Register version

 

http://www.sec.gov/rules/final/finalarchive/finalarchive2006.shtml


Modified: 10/16/2014