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SEC Final Rules: 2007

Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

Additional Archives

Release No. Date Details
Fourth Quarter
33-8879 Dec. 21, 2007 Acceptance From Foreign Private Issuers of Financial Statements Prepared in Accordance With International Financial Reporting Standards Without Reconciliation to U.S. GAAP
Other Release No.: 34-57026; International Series Release No. 1306; File No. S7-13-07
File No.: S7-13-07
Effective Date:  March 4, 2008
Federal Register version
See also:  Proposed Rule Release No. 33-8818 and comments
33-8878 Dec. 19, 2007 Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 and F-3
File No.: S7-10-07
Effective Date:  January 28, 2008
Federal Register version
See also:  Proposed Rule Release No. 33-8812; comments; and Small Entity Compliance Guide
33-8876 Dec. 19, 2007 Smaller Reporting Company Regulatory Relief and Simplification
Other Release No.: 34 56994, 39-2451
File No.: S7-15-07
Effective Date:  February 4, 2008
Federal Register version
See also:  Proposed Rule Release No. 33-8819; comments; and Small Entity Compliance Guide
34-56914 Dec. 6, 2007 Shareholder Proposals Relating to the Election of Directors
Other Release No.: IC-28075
File No.: S7-17-07
Effective Date:  January 10, 2008
Federal Register version
See also:  Proposed Rule Release No. 34-56161; comments; and Small Entity Compliance Guide
33-8869 Dec. 6, 2007 Revisions to Rules 144 and 145 (Conforming Version)
File No.: S7-11-07
Effective Date:  February 15, 2008
Comment Due Date:  January 16, 2008
Federal Register version
See also:  Proposed Rule Release No. 33-8813; comments; and Small Entity Compliance Guide
34-56887 Dec. 3, 2007 Exemption of Compensatory Employee Stock Options From Registration Under Section
12(g) of the Securities Exchange Act of 1934

Other Release No.: International Series Release No. 1305
File No.: S7-14-07
Effective Date:  December 7, 2007
Federal Register version
See also:  Proposed Rule Release No. 34-56010 and comments
Third Quarter
IA-2653 Sep. 24, 2007 Temporary Rule Regarding Principal Trades with Certain Advisory Clients
File No.: S7-23-07
Effective Date:  September 30, 2007, except 17 CFR 275.206(3)-3T will be effective from September 30, 2007 until December 31, 2009
Comments Due:  November 30, 2007
Federal Register version
Comments received are available for this proposal.
See also:  Small Entity Compliance Guide
34-56502 Sep. 24, 2007 Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act of 1934 and Related Rules
File No.: S7-23-06
Effective Date:  November 2, 2007
Federal Register version
See also:  Proposed Rule Release No. 34-54947; Order Release No. 34-54948; and comments
34-56501 Sep. 24, 2007 Definitions of Terms and Exemptions Relating to the "Broker" Exceptions For Banks (Conforming Version)
File No.: S7-22-06
Effective Date:  see Federal Register version of release
Compliance Date:  first day of first fiscal year that commences after September 30, 2008
Federal Register version
Comments received are availablefor this release. See also:  Final Rule Release No. 34-56501A; Proposed Rule Release No. 34-54946; Order Release No. 34-54948; comments; Small Entity Compliance Guide
33-8834 Aug. 15, 2007 Adoption of Updated EDGAR Filer Manual
Other Release No.: 34-56256, 39-2448, IC-27928
Effective Date:  August 20, 2007
Federal Register version
34-56212 Aug. 7, 2007 Amendments to Regulation SHO
File No.: S7-12-06
Effective Date:  October 15, 2007
Federal Register version
See also:  Proposed Rule Releases No. 34-55520 and 34-54154; comments; Spotlight on Short Sales; and Small Entity Compliance Guide
34-56206 Aug. 6, 2007 Short Selling in Connection with a Public Offering
File No.: S7-20-06
Effective Date:  October 9, 2007
Federal Register version
See also: Small Entity Compliance Guide
33-8830 Aug. 6, 2007 Deletion Of References To IRS Identification Numbers
Other Release Nos.: 34-56205, IC-27923
Effective Date:  August 10, 2007
Federal Register version
IA-2628 Aug. 3, 2007 Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles
File No.: S7-25-06
Effective Date:  September 10, 2007
Federal Register version
Concurring Opinion of Commissioner Paul S. Atkins
33-8829 Aug. 3, 2007 Definition of the Term Significant Deficiency
Other Release No.: 34-56203
File No.: S7-24-06
Effective Date:  September 10, 2007
Federal Register version
See also: Small Entity Compliance Guide
34-56135 Jul. 26, 2007 Shareholder Choice Regarding Proxy Materials
Other Release No.: IC-27911
File No.: S7-03-07
Effective Date:  January 1, 2008, except §240.14a-16(d)(3) and §240.14a-16(j)(3) are effective October 1, 2007.
Compliance Dates:  See page 1 of the release.
See also: Small Entity Compliance Guide (Updated March 23, 2010)
Federal Register version
33-8823 Jul. 11, 2007 Extension of Interactive Data Voluntary Reporting Program on the EDGAR System to Include Mutual Fund Risk/Return Summary Information
Other Release No.:   IC-27884
File No.: S7-05-07
Effective Date:  August 20, 2007
Federal Register version
See also:  Proposed Rule Release No. 33-8781; comments; Comment Summary; and Small Entity Compliance Guide
Second Quarter
34-55970 Jun. 28, 2007 Regulation SHO and Rule 10a-1
File No.: S7-21-06
Effective Date:  July 3, 2007
Compliance Date:  July 6, 2007
Federal Register version
See also:  Proposed Rule Release No. 34-54891; comments; Reg SHO Pilot Study; and Small Entity Compliance Guide
33-8809 Jun. 20, 2007 Amendments to Rules Regarding Management’s Report on Internal Control Over Financial Reporting (Corrected)
Other Release Nos.:   34-55928; FR-76
File No.: S7-24-06
Effective Date:  August 27, 2007, except the amendment to §210.2-02T, is effective from August 27, 2007 until June 30, 2009.
Federal Register version
See also:  Interpretive Release No. 33-8810; Request for Comment; Proposed Rule Release No. 33-8762, comments; comment summary; and Small Entity Compliance Guide
34-55857 Jun. 5, 2007 Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical Rating Organizations
File No.: S7-04-07
Effective Date:  June 18, 2007; see effective date section of the release for exceptions.
Federal Register version
See also: Small Entity Compliance Guide
34-55643 Apr. 19, 2007 Technical Amendments to Form BD and Form BDW
Effective Date:  April 23, 2007
Federal Register version
33-8791 Apr. 18, 2007 Covered Securities Pursuant to Section 18 of the Securities Act of 1933
File No.: S7-18-06
Effective Date:  May 24, 2007
Federal Register version
First Quarter
34-55540 Mar. 27, 2007 Termination Of A Foreign Private Issuer's Registration of a Class of Securities Under Section 12(g) and Duty to File Reports Under Section 13(a) Or 15(d) of the Securities Exchange Act of 1934
(Corrected, Mar. 28, 2007)
File No.: S7-12-05
Effective Date:  June 4, 2007
Federal Register version
See also:   Proposed Rule Release Nos. 34-53020; 34-55005; and comments
34-55502 Mar. 21, 2007 Technical Amendment to Regulation S-T (Corrected to Conform to the Federal Register Version)
Effective Date:  April 27, 2007
Federal Register version
34-55160 Jan. 24, 2007 Regulation NMS Compliance Date Extension
File No.: S7-10-04
Effective Date:  January 30, 2007
Compliance Date:  See page 3 of the release.
Federal Register version
See also: Spotlight on Regulation NMS
34-55146 Jan. 22, 2007 Internet Availability of Proxy Materials
Other Release No.:   IC-27671
File No.: S7-10-05
Effective Date:  March 30, 2007
Compliance Date:  See page 2 of the release.
Federal Register version
Comments Due:   March 30, 2007
See also: Proposed Rule Release Nos. 34-55147 and 34-52926
34-40761A Jan. 5, 2007 Correcting Amendment: Amendment to Rule Filing Requirements for Self-Regulatory Organizations Regarding New Derivative Securities Products
File No.: S7-13-98
Effective Date:  February 20, 1999
Federal Register version
See also: Final Rule Release No. 34-40761 and Proposed Rule Release No. 34-39885

 

http://www.sec.gov/rules/final/finalarchive/finalarchive2007.shtml


Modified: 05/28/2014