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SEC Final Rules: 2009

Final rules currently available include:

Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

Additional Archives

Release No. Date Details
Fourth Quarter
IA-2965A Dec. 31, 2009 Temporary Rule Regarding Principal Trades with Certain Advisory Clients (Correction)
File No.: S7-23-07
Effective Date:  December 31, 2009. The DATES section for FR Doc. 2009-30877, published on December 30, 2009 (74 FR 69009) is corrected to read "DATES: The amendments in this document are effective December 30, 2009 and the expiration date for 17 CFR 275.206(3)-3T is extended to December 31, 2010".
Note:  The amendments are effective December 31, 2009, and the expiration date for 17 CFR 275.206(3)-3T is now December 31, 2010. This is a technical correction only for purposes of Federal Register publication to provide clearly that final Rule 206(3)-3T remains in effect through December 31, 2010, consistent with Release No. IA-2965.
See also:  Final Rule Release No. IA-2965; Interim Final Temporary Rule Release No. IA-2653; Small Entity Compliance Guide; Letter to SIFMA regarding expiration of rule 206(3)-3T
Federal Register version
IA-2968 Dec. 30, 2009 Custody of Funds or Securities of Clients by Investment Advisers
File No.: S7-09-09
Effective Date:  March 12, 2010
See also:  Proposed Rule Release No. IA-2876; Interpretive Release No. IA-2969; and comments; Staff Responses to Questions About the Custody Rule; Small Entity Compliance Guide
Federal Register version
IA-2965 Dec. 23, 2009 Temporary Rule Regarding Principal Trades with Certain Advisory Clients
File No.: S7-23-07
Effective Date:  December 30, 2009
See also:  Final Rule Release No. IA-2965A (Correction); Interim Final Temporary Rule Release No. IA-2653; Small Entity Compliance Guide; Letter to SIFMA regarding expiration of rule 206(3)-3T
Federal Register version
33-9089 Dec. 16, 2009 Proxy Disclosure Enhancements
Other Release Nos.: 34-61175, IC-29092
File No.: S7-13-09
Effective Date:  February 28, 2010
See also:  Proposed Rule Release No. 33-9052; Final Rule (Correction) Release No. 33-9089A; Small Entity Compliance Guide
Federal Register version
33-9087 Dec. 15, 2009 Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities
File No.: S7-23-09
Effective Date:  December 31, 2009
See also:  Proposed Rule Release No. 33-9074
Federal Register version
34-61050 Nov. 23, 2009 Amendments to Rules for Nationally Recognized Statistical Rating Organizations
File No.: S7-04-09
Effective Date:  February 2, 2010
Compliance Date:  June 2, 2010
See also:  Proposed Rule Release No. 34-59343; comments on S7-04-09; Small Entity Compliance Guide
Federal Register version
34-61003 Nov. 16, 2009 Final Model Privacy Form under the Gramm-Leach-Bliley Act
Other Release Nos.: IA-2950, IC-28997
File No.: S7-09-07
Additional Materials: Small Entity Compliance Guide, Model form with opt-out, Model form with no opt-out, and Model Consumer Privacy Notice Online Form Builder
Effective Date:  December 31, 2009; see release for exceptions to this effective date
Federal Register version
34-60946 Nov. 5, 2009 Regulation S-AM: Limitations on Affiliate Marketing; Extension of Compliance Date
Other Release Nos.: IA-2946, IC-28990
File No.: S7-29-04
Effective Date:  The effective date for Regulation S-AM (17 CFR 248.101 through 248.128) remains September 10, 2009. The compliance date for Regulation S-AM is extended from January 1, 2010 to June 1, 2010.
See also:  Proposed Rule Release No. 34-49985; Final Rule Release No. 34-60423
Federal Register version
33-9077 Oct. 26, 2009 Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-60875, 39-2468, IC-28984
Effective Date:  October 30, 2009
Federal Register version
33-9072 Oct. 13, 2009 Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers
Other Release No.: 34-60813
File No.: S7-06-03
Effective Date:  December 18, 2009
See also:  Proposed Rule Release Nos. 33-8212, 33-8731, 33-8889; Final Rule Release Nos. 33-8238, 33-8392, 33-8618, 33-8545, 33-8760, 33-8730A, 33-8934, 33-8934A
Federal Register version
34-60789 Oct. 5, 2009 References to Ratings of Nationally Recognized Statistical Rating Organizations
Other Release No.: IC-28939
File Nos.: S7-17-08, S7-19-08
Effective Date:  November 12, 2009
See also:  Proposed Rule Release Nos. 34-58070 and IC-28327; comments on S7-17-08; comments on s7-19-08; Small Entity Compliance Guide
Federal Register version
Third Quarter
IC-28903 Sep. 18, 2009 Disclosure of Certain Money Market Fund Portfolio Holdings (Interim Final Temporary Rule; Request for Comment)
File No.: S7-20-09
Effective Date:  September 18, 2009 through September 17, 2010
Comment Due Date:  October 26, 2009
Comments received are available for this notice.
Federal Register version
33-9063 Sep. 14, 2009 Extension of Temporary Exemptions for Eligible Credit Default Swaps to Facilitate Operation of Central Counterparties to Clear and Settle Credit Default Swaps (Interim Final Temporary Rules; Extension) [Conforming Version — to Conform to Release Published in the Federal Register]
Other Release No.: 34-60663, 39-2467
File No.: S7-02-09
Effective Date:  September 17, 2009
See also:  Final Rule Release No. 33-8999
Federal Register version
34-60448 Aug. 5, 2009 Delegation of Authority to Director of Division of Enforcement
Effective Date:  August 11, 2009
Federal Register version
34-60423 Aug. 4, 2009 Regulation S-AM: Limitations on Affiliate Marketing
Other Release Nos.: IC-28842, IA-2911
File No.: S7-29-04
Effective Date:  September 10, 2009
See also:  Proposed Rule Release No. 34-49985; Small Entity Compliance Guide
Federal Register version
33-9058 Jul. 28, 2009 Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-60390, 39-2466, IC-28838
Dates:  Effective Date: August 4, 2009. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of August 4, 2009.
Federal Register version
34-60388 Jul. 27, 2009 Amendments to Regulation SHO (Corrected - Conforming to Federal Register Version)
File No.: S7-30-08
Effective Date:  July 31, 2009
See also:  Interim Final Temporary Rule Release No. 34-58773 and comments; Small Entity Compliance Guide
Federal Register version
Second Quarter
33-8934A Jun. 22, 2009 Technical Amendment: Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers (Conforming to Federal Register Version)
Other Release No.: 34-58028A
File No.: S7-06-03
Effective Date:  The effectiveness of §§ 210.2-02T and 229.308T, which currently terminates on June 30, 2009, is extended through June 30, 2010. This technical correction does not affect the effective date for compliance by a non-accelerated filer with the rules implementing Section 404(b) of the Sarbanes-Oxley Act of 2002. Under the amendments adopted in Release No. 33-8934, a non-accelerated filer is required to file the auditor’s attestation report on internal control over financial reporting when it files an annual report for a fiscal year ending on or after December 15, 2009.
See also:  Final Rule Release No. 33-8934
Federal Register version
33-8998A May 28, 2009 Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies; Correction
Other Release No.: IC-28584A
File No.: S7-28-07
Effective Date:  June 4, 2009
See also:  Final Rule Release No. 33-8998; Proposed Rule Release Nos. 33-8861 and 33-8949 (reopening the comment period); and comments; Small Entity Compliance Guide
Federal Register version
33-9006A May 1, 2009 Interactive Data For Mutual Fund Risk/Return Summary; Correction
Other Release Nos.: 34-59391A; 39-2462A; IC-28617A
File No.: S7-12-08
Effective Date:  July 15, 2009
See also:  Final Rule Release No. 33-9006; Proposed Rule Release No. 33-8929; Small Entity Compliance Guide
Federal Register version
34-59829 Apr. 28, 2009 Delegation of Authority to the General Counsel
Effective Date:  May 4, 2009
Federal Register version
33-9027 Apr. 16, 2009 Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-59776, 39-2465, IC-28698
Effective Date:  April 23, 2009
See also:  Federal Register version
33-9026 Apr. 15, 2009 Technical Amendments to Rules, Forms, Schedules and Codification of Financial Reporting Policies
Other Release Nos.: 34-59775, FR-79
Effective Date:  April 23, 2009
See also:  Federal Register version
33-9022 Apr. 8, 2009 Adoption of Updated EDGAR Filer Manual (Conforming Version)
Other Release Nos.: 34-59728; 39-2464; IC-28691
Effective Date:  April 16, 2009
See also:  Federal Register version
33-9002A Apr. 1, 2009 Interactive Data to Improve Financial Reporting (Correction)
Other Release Nos.: 34-59324A; 39-2461A; IC-28609A
File No.: S7-11-08
Effective Date:  April 13, 2009
See also:  Final Rule Release No. 33-9002; Proposed Rule Release No. 33-8924; Small Entity Compliance Guide
Federal Register version
First Quarter
33-9013 Mar. 9, 2009 Attaching Authenticating Documents to Online Form ID Applications
Other Release Nos.: 34-59536, 39-2463, IC-28642
Effective Date:  March 16, 2009
Federal Register version
33-9009 Feb. 25, 2009 Adjustments to Civil Monetary Penalty Amounts
Other Release Nos.: IA-2845; IC-28635
Effective Date:  March 3, 2009
Federal Register version
33-9006 Feb. 11, 2009 Interactive Data for Mutual Fund Risk/Return Summary
Other Release No.: 33-9006, 34-59391, 39-2462, IC-28617
File No.: S7-12-08
Effective Date:  July 15, 2009
See also:  Final Rule Release No. 33-9006A (Correction); Proposed Rule Release No. 33-8929; Small Entity Compliance Guide
Federal Register version
34-59342 Feb. 2, 2009 Amendments to Rules for Nationally Recognized Statistical Rating Organizations
File No.: S7-13-08
Effective Date:  April 10, 2009
See also:  Proposed Rule Release No. 34-57967; Small Entity Compliance Guide
Federal Register version
33-9002 Jan. 30, 2009 Interactive Data to Improve Financial Reporting
Other Release Nos.: 34-59324; 39-2461; IC-28609
File No.: S7-11-08
Effective Date:  April 13, 2009 except §232.406T is effective from April 13, 2009 until October 31, 2014
See also:  Final Rule Release No. 33-9002A (Correction); Proposed Rule Release No. 33-8924; Small Entity Compliance Guide
Federal Register version
33-8999 Jan. 14, 2009 Temporary Exemptions for Eligible Credit Default Swaps to Facilitate Operation of Central Counterparties to Clear and Settle Credit Default Swaps (Interim Final Temporary Rule)
Other Release Nos.: 34-59246, 39-2549
File No.: S7-02-09
Effective Date:  January 22, 2009 until September 25, 2009
Comment Due Date:  March 23, 2009
Comments received are available.
See also:  Final Rule Release No. 33-9063
Federal Register version
33-8998 Jan. 13, 2009 Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies
Other Release No.: IC-28584
File No.: S7-28-07
Effective Date:  March 31, 2009
See also:  Proposed Rule Release No. 33-8861; Release No. 33-8949 (reopening the comment period); and comments; Small Entity Compliance Guide
Federal Register version
33-8996 Jan. 8, 2009 Indexed Annuities and Certain Other Insurance Contracts
Other Release No.: 34-59221
File No.: S7-14-08
Effective Date:  The effective date of § 230.151A is January 12, 2011. The effective date of § 240.12h-7 is May 1, 2009. Sections III.A.3. and III.B.3. of this release discuss the effective dates applicable to rule 151A and rule 12h-7, respectively.
See also:  Proposed Rule Release No. 33-8933; Release No. 33-8976 (reopening the comment period); comments; and Dissent of Commissioner Paredes; Small Entity Compliance Guide for Rule 12h-7; Small Entity Compliance Guide for Rule 151A
Federal Register version

 

http://www.sec.gov/rules/final/finalarchive/finalarchive2009.shtml


Modified: 05/05/2014