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Final Rules: 2011

Final rules currently available include:

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Additional Archives

Release No. Date Details
Fourth Quarter
33-9287 Dec. 21, 2011 Net Worth Standard for Accredited Investors
Other Release Nos.: IA-3341, IC-29891
File No.: S7-04-11
Effective Date:  February 27, 2012
See also:  Proposed Rule Release No. 33-9177; Small Entity Compliance Guide; Technical Amendement Release No. 33-9287a
Federal Register: HTML | PDF | text | XML
33-9286 Dec. 21, 2011 Mine Safety Disclosure
Other Release No.: 34-66019
File No.: S7-41-10
Effective Date:  January 27, 2012
See also:  Proposed Rule Release No. 33-9164; Small Entity Compliance Guide
Federal Register: HTML | PDF | text | XML
33-9281 Nov. 22, 2011 Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-65803, 39-2481, IC-29868
Effective Date:  November 29, 2011
Federal Register: HTML | PDF | text | XML
34-65742 Nov. 14, 2011 Reporting Line for the Commission's Ethics Counsel
Effective Date:  November 18, 2011
Federal Register: HTML | PDF | text | XML
33-9273 Nov. 4, 2011 Rescission of Outdated Rules and Forms, and Amendments to Correct References
Other Release Nos.: 34-65686, 39-2480, IA-3310, IC-29855
Effective Date:  November 21, 2011
See also:  Technical Amendement Release No. 33-9273a
Federal Register: HTML | PDF | text | XML
IA-3308 Oct. 31, 2011 Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF; Joint Final Rule
Effective Date:  March 31, 2012 for CEA rule 4.27, Advisers Act rule 204(b)-1 and Form PF
Compliance Dates:  See section III of the Release
See also:  Form PF; Proposed Rule Release No. IA-3145; Comments; Small Entity Compliance Guide
Federal Register: HTML | PDF | text | XML
34-65628 Oct. 26, 2011 Technical Amendment to Delegation of Authority to the Director of the Division of Trading and Markets
Effective Date:  November 2, 2011
Federal Register: HTML | PDF | text | XML
Third Quarter
34-65385 Sep. 23, 2011 Consolidation of the Office of the Executive Director with the Office of the Chief Operating Officer
Effective Date:  September 29, 2011
Federal Register: HTML | PDF | text | XML
33-9259 Sep. 15, 2011 Facilitating Shareholder Director Nominations (Notice of Effective Date) [Corrected to conform to Federal Register version]
Other Release No.: 34-65343, IC-29788
File No.: S7-10-09
Effective Date:  September 20, 2011
See also:  FR Notice of Stay of Effective and Compliance Dates; Order Granting Stay; Final Rule Release No. 33-9136; Proposed Rule Release No. 33-9086; Proposed Rule Release No. 33-9046; Small Entity Compliance Guide
Federal Register: HTML | PDF | text | XML
PA-47 Sep. 12, 2011 Privacy Act of 1974: Implementation and Amendment of Exemptions
File No.: S7-19-11
Effective Date:  October 17, 2011
See also:  Proposed Rule Release No. PA-45; Technical Amendment Release No. 34-62575A
Federal Register version
33-9256 Sep. 1, 2011 Amendments to Include New Applicant Types on Form ID
Other Release Nos.: 34-65244, 39-2478, IC-29780
Effective Date:  September 9, 2011
Federal Register version
33-9175A Aug. 25, 2011 Correcting Amendment: Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act [Corrected to conform to Federal Register version]
Other Release No.: 34-63741A
File No.: S7-24-10
Effective Date:  September 1, 2011
See also:  Final Rule Release No. 33-9175; Proposed Rule Release No. 33-9148
Federal Register version
34-65148 Aug. 17, 2011 Suspension of the Duty to File Reports for Classes of Asset-Backed Securities Under Section 15(d) of the Securities Exchange Act of 1934
File No.: S7-02-11
Effective Date:  September 22, 2011
See also:  Proposed Rule Release No. 34-63652
Federal Register version
33-9250 Aug. 8, 2011 Technical Amendments to Commission Rules and Forms Related to the FASB's Accounting Standards Codification
Other Release Nos.: 34-65052, IC-29748
Effective Date:  August 12, 2011
Federal Register version
33-9246 Aug. 1, 2011 Adoption of Updated EDGAR Filer Manual
Effective Date:  August 5, 2011
Federal Register version
34-64976 Jul. 27, 2011 Large Trader Reporting
File No.: S7-10-10
Effective Date:  October 3, 2011
See also:  Proposed Rule Release No. 34-61908
Federal Register version
33-9245 Jul. 27, 2011 Security Ratings
Other Release No.: 34-64975
File No.: S7-18-08
Effective Date:  September 2, 2011
See also:  Proposed Rule Release Nos. 33-8940; 33-9069; 33-9186
Federal Register version
34-64913 Jul. 19, 2011 Technical Amendment to Commission Procedures for Filing Applications for Orders for Exemptive Relief under Section 36 of the Exchange Act
Effective Date:  July 22, 2011
Federal Register version
Second Quarter
34-64778 Jun. 30, 2011 Delegation of Authority to the Director of its Division of Enforcement
Effective Date:  July 7, 2011
Federal Register version
34-64748 Jun. 27, 2011 Risk Management Controls for Brokers or Dealers with Market Access
File No.: S7-03-10
Effective Date:  June 30, 2011
Compliance Dates:  See release
See also:  Final Rule Release No. 34-63241; Proposed Rule Release No. 34-61379
Federal Register version
IA-3222 Jun. 22, 2011 Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers
File No.: S7-37-10
Effective Date:  July 21, 2011
See also:  Proposed Rule Release No. IA-3111 and comments
Federal Register version
IA-3221 Jun. 22, 2011 Rules Implementing Amendments to the Investment Advisers Act of 1940 (Corrected)
File No.: S7-36-10
Effective Date:  see release
Compliance Date:  see release
Additional Materials:
Appendix A: Form ADV: General Instructions
Appendix B: Form ADV: Instructions for Part 1A
Appendix C: Form ADV: Glossary of Terms
Appendix D: Form ADV, Part 1A
Appendix E: Form ADV Execution Pages
Appendix F: Form ADV-H
Appendix G: Form ADV-NR
Appendix H: Form ADV-E
See also:  Small Entity Compliance Guide; Frequently Asked Questions Regarding Mid-Sized Advisers; Proposed Rule Release No. IA-3110; Final Rule Release No. IA-3403, and comments
Federal Register version
IA-3220 Jun. 22, 2011 Family Offices
File No.: S7-25-10
Effective Date:  August 29, 2011
See also:  Proposed Rule Release No. IA-3098; Small Entity Compliance Guide; Staff Responses to Questions About the Family Office Rule
Federal Register version
34-64649 Jun. 13, 2011 Delegation of Authority to the Director of its Division of Enforcement
Effective Date:  June 17, 2011
Federal Register version
34-64628 Jun. 8, 2011 Beneficial Ownership Reporting Requirements and Security-Based Swaps (Confirmation)
File No.: S7-10-11
Effective Date:  July 16, 2011
See also:  Proposed Rule Release No. 34-64087
Federal Register version
34-64545 May 25, 2011 Implementation of the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934
File No.: S7-33-10
Effective Date:  August 12, 2011
See also:  Proposed Rule Release No. 34-63237
Federal Register version
33-9208 May 13, 2011 Amendment to Procedures for Holding Funds in Dormant Filing Fee Accounts
Other Release Nos.: 34-64495; IC-29670
Effective Date:  May 19, 2011
Federal Register version
34-64251 Apr. 7, 2011 Technical Amendment to Rule 19b-4: Filings with Respect to Proposed Rule Changes by Self-Regulatory Organizations
Effective Date:  April 13, 2011
Federal Register version
34-64172 Apr. 4, 2011 Amendment of Outside Employment and Activities Section of the SEC's Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
Effective Date:  May 11, 2011
Federal Register version
First Quarter
34-63949 Feb. 23, 2011 Technical Amendments to Rule 17a-8: Financial Recordkeeping and Reporting of Currency and Foreign Transactions
Effective Date:  March 1, 2011
Federal Register version
33-9178 Jan. 25, 2011 Shareholder Approval of Executive Compensation and Golden Parachute Compensation
Other Release No.: 34-63768
File No.: S7-31-10
Effective Date:  April 4, 2011
Compliance Date:  April 4, 2011
See also:  Proposed Rule Release No. 33-9153; Small Entity Compliance Guide
Federal Register version
33-9176 Jan. 20, 2011 Issuer Review of Assets in Offerings of Asset-Backed Securities
Other Release No.: 34-63742
File No.: S7-26-10
Effective Date:  March 28, 2011
See also:  Proposed Rule Release No. 33-9150
Federal Register version
33-9175 Jan. 20, 2011 Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Other Release No.: 34-63741
File No.: S7-24-10
Effective Date:  March 28, 2011
See also:  Final Rule Release No. 33-9175A; Proposed Rule Release No. 33-9148
Federal Register version
34-63723 Jan. 14, 2011 Rules of Practice
Effective Date:  January 24, 2011
Federal Register version
34-63699 Jan. 11, 2011 Delegation of Authority to the Chief Accountant
Effective Date:  January 18, 2011
Federal Register version
33-9169 Jan. 5, 2011 Adoption of Updated EDGAR Filer Manual
Other Release Nos.: 34-63646, 39-2473, IC-29547
Effective Date:  January 11, 2011
Federal Register version

 

http://www.sec.gov/rules/final/finalarchive/finalarchive2011.shtml


Modified: 09/03/2015