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SEC Final Rules: 2010

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Additional Archives

Release No. Date Details
Fourth Quarter
IA-3129 Dec. 28, 2010 Amendments to Form ADV; Extension of Compliance Date
File No.: S7-10-00
Effective Date:  see release
See also:  Proposed Rule Release Nos. IA-2711; IA-1897; 34-42620; Final Rule Release Nos. IA-3060; IA-1916; 34-48167; Comments; Small Entity Compliance Guide; Staff Responses to Questions About Part 2 of Form ADV
Federal Register version
IA-3128 Dec. 28, 2010 Temporary Rule Regarding Principal Trades with Certain Advisory Clients
File No.: S7-23-07
Effective Date:  December 30, 2010.
See also:  Proposed Rule Release No. IA-3118; Final Rule Release No. IA-2965 and correction; Interim Final Temporary Rule Release No. IA-2653; Small Entity Compliance Guide
Federal Register version
33-9165 Dec. 16, 2010 Extension of Filing Accommodation for Static Pool Information in Filings with Respect to Asset-Backed Securities
File No.: S7-18-10
Effective Date:  December 31, 2010.
See also:  Proposed Rule Release No. 33-9137 and Comments
Federal Register version
34-63247 Nov. 4, 2010 Regulation SHO (Extension of Compliance Date)
File No.: S7-08-09
Effective Date:  The effective date for Rule 201 (17 CFR 242.201) and Rule 200(g) (17 CFR 242.200(g)) remains March 10, 2010.
Compliance Date:  The compliance date for both Rules has been extended from November 10, 2010 to February 28, 2011.
See also:  Final Rule Release No. 34-61595; Proposed Rule Release No. 34-60509; Proposed Rule Release No. 34-59748
Federal Register version
34-63241 Nov. 3, 2010 Risk Management Controls for Brokers or Dealers with Market Access
File No.: S7-03-10
Effective Date:  January 14, 2011
Compliance Date:  July 14, 2011
See also:  Frequently Asked Questions; Final Rule Release No. 34-64748; Proposed Rule Release No. 34-61379; Small Entity Compliance Guide
Federal Register version
33-9152 Oct. 14, 2010 Indexed Annuities (Final Rule; Withdrawal; Request for Comment on Paperwork Reduction Act Burden Estimate)
File No.: S7-14-08
See also:  Proposed Rule Release Nos. 33-8976 and 33-8933; Final Rule Release No. 33-8996; Comments
Federal Register version
34-63087 Oct. 13, 2010 Technical Amendments to Forms N-CSR and N-SAR in Connection with the Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010
Other Release No.: IC-29461
Effective Date:  October 19, 2010
See also:  Small Entity Compliance Guide
Federal Register version
34-63049 Oct. 6, 2010 Delegation of Authority to the Director of the Division of Trading and Markets
Effective Date:  October 12, 2010
Federal Register version
Third Quarter
33-9146 Sep. 29, 2010 Removal From Regulation FD of the Exemption for Credit Rating Agencies
Other Release No.: 34-63003, IC-29448
File No.: S7-23-10
Effective Date:  October 4, 2010
Federal Register version
33-9142 Sep. 15, 2010 Internal Control over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers
Other Release Nos.: 34-62914
Effective Date:  September 21, 2010
Federal Register version
34-62921 Sep. 15, 2010 Rescission of Rules Pertaining to the Payment of Bounties for Information Leading to the Recovery of Civil Penalties for Insider Trading
Effective Date:  September 21, 2010
Federal Register version
33-9140 Sep. 9, 2010 Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-62873, 39-2471, IC-29413
Effective Date:  September 15, 2010
Federal Register version
34-62821 Sep. 1, 2010 Delegation of Authority to the Director of its Division of Enforcement
Effective Date:  September 8, 2010
Federal Register version
33-9136 Aug. 25, 2010 Facilitating Shareholder Director Nominations [Conforming Version]
Other Release Nos.: 34-62764, IC-29384
File No.: S7-10-09
Effective Date:  November 15, 2010 (Delayed; new effective date for the amendment to Rule 14a-8 and related rules and amendments is September 20, 2011 - See Final Rule Release No. 33-9259)
See also:  FR Notice of Stay of Effective and Compliance Dates; Order Granting Stay; Proposed Rule Release No. 33-9086; Proposed Rule Release No. 33-9046; Small Entity Compliance Guide
Federal Register version
34-62690 Aug. 11, 2010 Delegation of Authority to the Director of its Division of Enforcement
Effective Date:  August 16, 2010
Federal Register version
IA-3060 Jul. 28, 2010 Amendments to Form ADV
File No.: S7-10-00
Effective Date:  October 12, 2010
See also:  Proposed Rule Release Nos. IA-2711; IA-1897; 34-42620; Final Rule Release Nos. IA-3129; IA-1916; 34-48167; Small Entity Compliance Guide; Comments; Staff Responses to Questions About Part 2 of Form ADV
Federal Register version
34-62575 Jul. 26, 2010 Amendments to the Informal and Other Procedures, Rules of Organization and Program Management, and Rules of Practice; Interim Commission Review of Public Company Accounting Oversight Board Inspection Reports and Regulation P
Effective Date:  September 7, 2010
See also:  Technical Amendment Release No. 34-62575A
Federal Register version
34-62520 Jul. 16, 2010 Technical Amendment to Rules of Organization; Conduct and Ethics; and Information and Requests
Effective Date:  July 22, 2010
Federal Register version
34-62501 Jul. 14, 2010 Adoption of Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission and Revisions to the Commission's Ethics Rules
Effective Date:  August 19, 2010
Federal Register version
IA-3043 Jul. 1, 2010 Political Contributions by Certain Investment Advisers
File No.: S7-18-09
Effective Date:  September 13, 2010
Compliance Dates:  See Release
See also:  Proposed Rule Release No. IA-2910; Small Entity Compliance Guide; Staff Responses to Questions About the Pay to Play Rule
Federal Register version
Second Quarter
34-62184A May 27, 2010 Amendment to Municipal Securities Disclosure (Final Rule; Interpretation)
File No.: S7-15-09
Effective Date:  August 9, 2010, except Part 241 will be effective on June 10, 2010.
Compliance Date:  December 1, 2010 with respect to §240.15c2-12
See also:  Proposed Rule Release No. 34-60332; MSRB Orders and Notices 34-62175, 34-62182, 34-62183; Small Entity Compliance Guide
Federal Register version
33-9115 Apr. 1, 2010 Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-61821, 39-2469, IC-29199
Effective Date:  April 8, 2010
Federal Register version
First Quarter
34-61595 Feb. 26, 2010 Amendments to Regulation SHO
File No.: S7-08-09
Effective Date:  May 10, 2010
See also:  Final Rule Release No. 34-63247; Proposed Rule Release No. 34-60509; Proposed Rule Release No. 34-59748; Comments; Small Entity Compliance Guide
Federal Register version
33-9089A Feb. 23, 2010 Proxy Disclosure Enhancements (Correction)
Other Release No.: 34-61175A; IC-29092A
File No.: S7-13-09
Effective Date:  February 28, 2010
See also:  Final Rule Release No. 33-9089
Federal Register version
IC-29132 Feb. 23, 2010 Money Market Fund Reform
File No.: S7-11-09, S7-20-09
Effective Date:  The rules, rule amendments, and form are effective May 5, 2010. The expiration date for 17 CFR 270.30b1-6T is extended from September 17, 2010 to December 1, 2010. Compliance dates are discussed in Section III of the Supplementary Information.
See also:  Proposed Rule Release No. IC-28807; Rule 2a-7 Amendments Adopted by SEC in February 2010 Marked to Show Changes from Previous Rule 2a-7; Staff Responses to Questions About Money Market Fund Reform; Staff Responses to Questions about Rule 30b1-7 and Form N-MFP; Staff Responses to Questions about Information Filed on Form N-MFP; Money Market Fund Reporting of Portfolio Information
Federal Register version
33-9108 Feb. 22, 2010 Amendments to Rules Requiring Internet Availability of Proxy Materials
Other Release No.: 34-61560, IC-29131
File No.: S7-22-09
Effective Date:  March 29, 2010
See also:  Proposed Rule Release No. 33-9073; Small Entity Compliance Guide
Federal Register version
34-61339 Jan. 13, 2010 Delegations of Authority to the Director of its Division of Enforcement
Effective Date:  January 19, 2010
Federal Register version
34-61335 Jan. 12, 2010 Shareholder Approval of Executive Compensation of TARP Recipients
File No.: S7-12-09
Effective Date:  February 18, 2010
See also:  Proposed Rule Release No. 34-60218 and Comments
Federal Register version

 

http://www.sec.gov/rules/final/finalarchive/finalarchive2010.shtml


Modified: 04/15/2014